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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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