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Administrative Law
Question: I have been contacted by my licensing board
for an unknown reason. Do I need to employ legal
representation at this stage?
Answer: Absolutely. Ultimately, many license suspensions
are based mainly on oral or written responses to
questions furnished by licensees in the early stages of
an investigation. Many licensees believe that they can
convince the investigators and the board that there are
no problems without the help of legal representation.
Question: Is my personal attorney able to handle the
procedures associated with licensure defense, or are
there attorneys who handle these cases on a regular
basis?
Answer: If your personal attorney has not handled
administrative licensing board hearings in the past, he
or she should contact an attorney who has handled at
least two full board hearings before you, or your
attorney, have any discussions with the licensing board
representatives.
Question: I have determined that I am under
investigation by my licensing board. What should I
expect from this and what steps should I be proactively
taking?
Answer: As soon as you find out that any activity is
occurring regarding your license your attorney must
contact and interview everyone who could possibly be
involved with the matter or situation which is the
subject of the investigation, in advance of any formal
action by the licensing board. After organizing
documentation and lining up anyone who has knowledge of
the facts, your attorney can then contact the Board to
assist in concluding the investigation with minimal
exposure to you. Beware, however, that just because the
licensing board’s investigators have not contacted a
potential witness or discovered possible evidence does
not mean that they are not going to pursue the case.
Many cases lie dormant for considerable periods of time
before picking up speed.
Question: My licensing board has offered me a proposed
settlement, and my attorney has advised me to accept it
because it’s the best opportunity that I have to keep my
license. Is this true?
Answer: Not necessarily. You need to know what the law
states regarding your involvement with the board and
whether the rules allow the proposed settlement, as it
applies to your circumstances. You need to know what
agencies, insurance companies, and databases will be
notified of the settlement and how it will reflect upon
your licensure and your job in the future. Occasionally,
the settlement is harsher than the results of a
full-scale evidentiary hearing.
Question: I am preparing my initial or renewal license
application. I was convicted of a minor misdemeanor
several months ago. Does this need to be disclosed?
Answer: The only appropriate disclosure is
over-disclosure. Non-disclosure allegations are always
publicly labeled as fraudulent. An attorney should be
consulted to interpret the questions and answers, to be
certain the answers do not violate any rules. Errors in
filling out initial applications or re-credentialing
forms are never tolerated by licensing boards.
Question: How proactive do I need to be about my recent
criminal conviction, in terms of dealing with my
licensing board?
Answer: Each agency has its own published administrative
rules. If immediate disclosure of the offense is
required by those administrative rules, then disclosure
must occur immediately after consulting with an
attorney. Hesitating to act regarding disclosure often
results in serious complications. There is no room for
argument regarding whether the offense affects your
professional responsibilities. That is to be determined
by the board, not you.
Question: I received notice of a hearing regarding my
licensure and was previously unaware of any problems.
What should I do?
Answer: Immediately retain an experienced attorney with
administrative hearing experience. Your attorney can
request a continuance of the hearing date and gain time
to prepare a defense of the allegations. Your attorney
can request copies of all of the board’s investigative
files and the complaint that prompted the investigation.
Question: Some of my competitors have reported me to my
licensing board under false pretenses. Can they do this?
Won’t this just go away, because the allegations are not
true?
Answer: Complaints made by competitors, while in reality
are unethical, are serious problems, because boards
cannot know which complaints are substantive and which
are not. The boards will conduct a complete
investigation and making a determination, which is a
public record. Even if the initial complaint is not
true, the investigation can lead to discovery of other
possible professional violations. Each board inquiry
should be treated the same, regardless of how the
complaint was raised.
Question: Can I sue my licensing board and the state for
making me defend myself, if the accusations are false?
Answer: Not likely. There has never been a successful
suit for damages against a state licensing agency in
Iowa. There are multiple levels of immunity for
licensing boards, and the assistant attorneys general
who prosecute the cases. That is not to say that it is
impossible to proceed with a civil lawsuit, but, even
with appropriate proof and evidence, it is still
extremely difficult and costly.
Question: How often do licensing boards just dismiss
charges without detriment to a person’s license?
Answer: Boards close numerous complaint files in the
investigative stage without any action at all. However,
once formal charges have been filed, the cases are
rarely dismissed without a full hearing and
determination. Legal representation at the earliest
stage increases the chances that a file can be closed
without disciplinary action against a licensee.
Question: An investigator for my licensing board
approached me with subpoenas for information. Do I have
to give it to the board?
Answer: Yes. Every licensee agrees, by statute, to
comply with any reasonable request for information,
documents, and materials deemed necessary by
investigators to conduct an investigation.
Question: I have been told in confidence that an
investigator for my licensing board has been asking
questions about me. What can I do about this?
Answer: Have an experienced attorney contact the board
and its investigator in an attempt to determine what is
prompting the investigation. Technically, the board does
not have to reveal any information until the filing of a
formal complaint; however, some boards will occasionally
work with a licensee’s attorney prior to that point.
Only an attorney will be able to handle these stages of
the investigation for you.
Question: Are the costs associated with defending my
licensure worth it, considering that I don’t believe the
board will ever leave me alone, now that I’ve been in
trouble?
Answer: Yes. A strong defense may limit the exposure to
any discipline you may face. Many professionals have
insurance policies that provide coverage for at least a
portion of the costs associated with the case, and you
may as well take advantage of that coverage. Too often,
professionals will choose to simply retire, instead of
facing the uphill battle and stress associated with
defending against claimed violations. This is an
unnecessary and unrealistic choice. You can enjoy a
continued and successful career, as long as you stay
focused and work diligently with your attorney to manage
your case.
Question: I had a hearing with a committee of a board
and lost, now what?
Answer: You will, or already have, received a “proposed
ruling”. It can be appealed to the full board but there
are different rules for each board regarding the details
of the appeal process. If after an appeal to the full
board you are still not satisfied with the results you
may have legal grounds for an appeal to District Court.
Those decisions are only made after careful analysis of
the basis for the initial “proposed ruling” and the
relevant fact and law issues.
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