Prinz v. State Counselor and Soc. Wkr. Bd., Unpublished Decision (1-21-2000)
Prinz v. State Counselor and Soc. Wkr. Bd., Unpublished Decision (1-21-2000)
Opinion of the Court
DECISION.
Appellant, Peter O. Prinz, appeals a judgment of the court of common pleas affirming the revocation of his independent social-worker license by appellee, State of Ohio Counselor and Social Worker Board. We have sua sponte removed this case from the accelerated calendar. We find no merit to Prinz's four assignments of error, and, therefore, we affirm the judgment of the common pleas court.
The record shows that Prinz worked as a counselor at West by Northwest Counseling Center. His responsibilities included recording important client data on a Diagnostic Assessment Form (DAF). The clinic used this seven-page form, which contained information about the client's history, previous treatment, and other important matters, to determine the appropriate treatment for that individual.
The board sent notice to Prinz that it proposed to take disciplinary action against his license. It alleged that on three occasions Prinz had photocopied three DAFs completed for clients on previous occasions by him and two other therapists and had then submitted those documents with a new signature page as if he had completed a new form for the clients. At a hearing, Prinz acknowledged committing the acts alleged by the board. He claimed that his caseload was too high given the extensive paperwork requirements of the clinic, that he felt pressured to complete the paperwork the clinic required so that the clinic could get paid, and that he felt that the clinic placed more emphasis on paperwork than on the therapists' relationships with their clients. He also stated that he had spent adequate time with the clients in question and had determined that their conditions were unchanged.
The hearing examiner found Prinz's claim that the clients' conditions had not changed to be incredible, given the specific details of their histories and the amount of time that had passed between the dates of their original assessments and the dates Prinz resubmitted the forms. She found that his conduct violated Section I(A)(2) of the Code of Ethics of the National Association of Social Workers, which provides that a social worker "should not participate in, condone, or be associated with dishonesty, fraud, deceit, or misrepresentation[,]" as well as Section I(D), which provides that a social worker "should act in accordance with the highest standards of professional integrity and impartiality." Therefore, she concluded, the board had authority under former R.C.
The board overruled Prinz's objections to the hearing examiner's report and adopted her recommendation that his license be revoked. Prinz appealed the board's order to the court of common pleas pursuant to R.C.
In his first assignment of error, Prinz states that the common pleas court erred in affirming the board's order, because his conduct did not constitute "dishonesty, fraud, deceit or misrepresentation" as that clause is used in Section I(A)(2) of the Code of Ethics of the National Association of Social Workers. He contends that the board was required to show that he had an intent to deceive to prove that he violated Section I(A)(2), and that the board failed to present evidence on that issue. This assignment of error is not well taken.
In an administrative appeal pursuant to R.C.
Prinz relies on Rajan v. State Medical Bd. (1997),
Here, Prinz's actions were deceitful on their face. By signing and submitting two of the DAFs as if he had written them when others had in fact written them, he misrepresented the true author to his employer. He also misrepresented the dates that all of the DAFs were completed by removing the true dates and by adding new ones. He held out these new dates as the actual dates of completion of the forms when they were not. In so doing, he misrepresented the condition of the patients. He admitted to falsifying the DAFs to avoid the clinic's paperwork requirements and to artificially inflate his billable hours. Prinz engaged in a clear pattern of intentional misrepresentation, the goal of which was to deceive his employer. His claim that the patients' conditions were unchanged was questionable, and the board was not required to believe his version of the facts. Under the circumstances, we hold that there was substantial, reliable, and probative evidence to show that Prinz had an intent to deceive, and that his actions constituted "fraud, dishonesty, deceit or misrepresentation" in violation of Section I(A)(2) of the code of ethics. See Morgan v. Ohio State Medical Bd. (Sept. 7, 1999), Franklin App. No. 98AP-1625, unreported; Krain, supra. Consequently, the trial court did not abuse its discretion in affirming the board's order, and we overrule Prinz's first assignment of error.
In his second assignment of error, Prinz states that the common pleas court erred in affirming the board's order, because the board's evidence was inadmissible and immune from discovery. He contends that R.C.
R.C.
Proceedings and records within the scope of the peer review or utilization review functions of all review boards, committees, or corporations described in section
2305.25 of the Revised Code shall be held in confidence and shall not be subject to discovery or introduction in evidence in any civil action against a health care professional, a hospital, a not-for-profit health care corporation that is a member of a hospital or of which a hospital is a member, or another health care entity arising out of matters that are the subject of evaluation and review by the review board, committee, or corporation. No person in attendance at a meeting of a review board, committee, or corporation or serving as a member or employee of a review board, committee, or corporation shall be permitted or required to testify in any civil action as to any evidence or other matters produced or presented during the proceedings of the review board, committee, or corporation or as to any finding, recommendation, evaluation, opinion, or other action of the review board, committee, or corporation or a member or employee of it. * * *
The board contends that this statute does not apply to administrative proceedings, but we need not reach that issue. The statute sets forth an evidentiary privilege, which, like any other privilege, may be waived by the holder. See Wall v. OhioPermanente Medical Group, Inc. (1997),
In his third assignment of error, Prinz states that the trial court erred in affirming the board's order, because its conduct denied him due process of law. He contends that the board failed to give him proper notice of the charges against him, improperly refused his request for a continuance, and failed to review the transcript of the hearing. This assignment of error is not well taken.
R.C. 119.17 requires an administrative agency to provide notice to the appropriate parties that they have the right to a hearing before it issues an adjudication order. It goes on to state that the notice "shall include the charges or other reasons for the proposed action" and "the law or rule directly involved[.]" The purpose of this notice is to give the parties charged with a violation adequate notice to enable them to prepare a defense to the charges. Sohi, supra, at 422,
First, Prinz argues that the statutory references in the notice he received from the board were insufficient. It stated that his actions had violated R.C.
The laws and regulations governing the practice of social work, in existence since 1985, were amended for the first time in 1997. At that time, former R.C.
At the conclusion of the hearing, Prinz did state that he was "kind of confused" because the statutes in the notice were not in the copy of the Ohio Revised Code he had consulted. He went on to state, however, that "I guess they were revised and they reflected the time that these occurrences occurred. I guess I was going to bring that up, but I don't know if that's any relevance." After the hearing examiner stated that the statutes had been renumbered and the board's council pointed out that a copy of the old law was contained in the board's exhibits, Prinz said nothing further. He did not contend that he did not understand the charges against him or that he was unable to prepare a defense. To the contrary, the record shows that Prinz had actual notice of the charges against him, that he knew exactly the nature of his alleged misconduct, and that he vigorously maintained a defense. See Fogt v. OhioState Racing Comm. (1965),
Next, Prinz argues that the board's decision was based upon issues apart from the falsification of the DAFs described in the notice. He contends that evidence was presented, and the board based its decision in part, on the allegation that Prinz completed "service tickets" along with the falsified DAFs. Service tickets allowed the clinic to bill the client for services rendered. Prinz contends that because the notice he received contained no reference to these billing issues, he was not adequately informed about "the charges or other reasons for the proposed action" as required by R.C.
Prinz also contends that the hearing examiner's findings and recommendations were based upon the issue of his mental competence, an issue also not raised in the notice. In her report, the hearing examiner expressed concern about Prinz's mental health due to "his refusal to acknowledge the inappropriateness of his conduct" and his demeanor and behavior at the hearing. However, her comments were nothing more than dicta. Her findings and the recommendation that Prinz's license be revoked were not based upon his mental state, and we cannot conclude that the notice was defective on that basis. SeeBollinger, Inc. v. Mayerson (1996),
In sum, the board substantially complied with the notice provisions of R.C.
Next, Prinz argues that the board deprived him of due process when it denied his request for a continuance so that he could obtain counsel. R.C.
Finally, Prinz contends that the board denied him due process by failing to review the transcript of the hearing and by relying on the hearing examiner's report. R.C.
In his fourth assignment of error, Prinz states that the trial court erred in affirming the board's order, because the board had exceeded its statutory authority in disciplining him. In her report, the hearing examiner stated that she was inclined to recommend revocation of Prinz's license as a penalty for his misconduct, because he was also licensed in Kentucky. She said that if his Ohio license were merely suspended, he would likely serve out any suspension in Kentucky. Prinz contends that the board's reliance on this reasoning for revoking his license exceeded the scope of its disciplinary authority set forth in R.C.
In an appeal from the order of an administrative agency, the common pleas court may only reverse, vacate or modify the order pursuant to R.C.
Judgment affirmed.
GORMAN, P.J., SUNDERMANN and SHANNON, JJ.
RAYMOND E. SHANNON, retired, from the First Appellate District, sitting by assignment.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.