IDFPR Monitoring Conditions: Failure to File Quarterly Reports May Result in License Suspension

Published on by Melissa

Licensed professionals who have entered into a Consent Order with the Illinois Department of Financial and Professional Regulation, Division of Professional Regulation (“IDFPR”), should be aware of the serious consequences that may result from failing to comply with reporting requirements.

Some Consent Orders require the licensee, employer, mental health provider, recovery program, and/or a practice monitor to submit quarterly reports regarding the licensee’s compliance with the terms of the Consent Order. These reports are often due by the 10th day following the end of each reporting quarter.

We have observed an increase in enforcement actions in which the Department has pursued suspension against licensees when required quarterly reports were not timely submitted and, in some cases, not complete.

Licensees should understand that the Department generally considers compliance with all terms of a Consent Order to be the licensee’s responsibility, even when a practice monitor, employer, or mental health provider is designated to prepare or submit reports on the licensee’s behalf. Reliance on a monitor, employer, or mental health provider alone will not protect a licensee from disciplinary consequences if reports are not filed.

To reduce the risk of non-compliance, licensees subject to monitoring conditions should consider the following best practices:

  • Independently track all reporting deadlines and due dates.
  • Submit reports in advance of the deadline whenever possible.
  • Maintain proof of submission, including emails, certified mail receipts, upload confirmations, or other documentation.
  • Follow up with the Department if acknowledgment of receipt is not received.
  • Keep detailed records of communications with practice monitors, mental health providers, employers and recovery programs regarding report preparation and submission.
  • Promptly address any missed deadlines rather than waiting until the next reporting period.

Licensees should take proactive steps to ensure that all reports are timely submitted and properly documented to avoid unnecessary disciplinary action. With decades of experience, Crick Walanka Law Group is ready to assist you with any questions or assistance with filing your quarterly reports.

Disclaimer: This web site is addressed to those who hold professional licenses issued by the Illinois Department of Financial and Professional Regulation and by similar licensing agencies in other states. Suggestions herein are, in most circumstances, valid for any type investigation, whether administrative, criminal, or civil. However, it should be noted that in some other states, one who holds a professional license may be required to submit to an investigative interview as a condition of being licensed. Whatever the circumstances, a licensed professional who becomes the subject of an investigation would be wise to immediately retain legal counsel. No content, whole or in part, is to be considered as “legal advice,” and by reading this document, no attorney-client relationship is formed with the Crick Walanka Law Group, Ltd.
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