Federal Professional License Defense: Protecting Your Career.

1. State Licensing Board Proceedings Professionals facing a state licensing board proceeding need to understand that licensing boards operate independently from the criminal court process. State occupational licensing boards have the authority to discipline professionals based on their own set of regulations and standards, and their proceedings are not automatically tied to the outcome of a criminal trial.

2. Administrative Proceedings vs. Criminal Cases

Administrative proceedings and criminal cases are two very different types of legal actions, and they are subject to different procedures and legal standards. While criminal proceedings involve rules of evidence and burdens of proof such as beyond a reasonable doubt, administrative proceedings are governed by administrative law. Both types of proceedings must be handled carefully and strategically, and it is possible for a professional to prevail in one proceeding but not the other.

3. No Automatic Single Nationwide License-Defense Procedure

As a general matter, even if the United States Department of Justice initiates a federal criminal case, this does not automatically provide a single, nationwide procedure for protecting a professional license. Depending on the nature of the professional license, various federal and state administrative procedures may apply.

4. Federal Credential Proceedings

Federal credential proceedings can be very different from state occupational-board disciplinary proceedings. While both can potentially lead to the loss of a professional license, each involves its own unique set of procedures and regulations.

5. Potential for Multiple Separate Proceedings

As a result of the same conduct, a professional may face separate and concurrent federal proceedings, board proceedings, employer proceedings, and criminal proceedings. While these proceedings may share some commonalities, they are distinct in terms of their goals, timelines, and potential consequences. Each proceeding must be addressed independently, while remaining cognizant of the potential for cross-contamination of evidence and other risks.

Which federal credentials and regulators create separate career exposure?

1. Federal Aviation Credentials

Along with FAA enforcement rules, FAA reporting duties apply to a wide range of aviation professionals and, in some circumstances, their employers or medical review officers. The reporting duty depends on the specific certificate, event, and regulation; for example, qualifying drug- or alcohol-related motor-vehicle actions generally must be reported within 60 calendar days, while certain drug- and alcohol-testing results must be reported within 2 working days.

2. Commercial-Driver Licensing

Like many other professional credentials, commercial driver licensing is issued at the state level. However, it is governed by federal transportation laws and regulations, and it also involves the potential for federal transportation agencies (such as the Department of Transportation) to initiate proceedings and take enforcement actions.

3. No General Federal Statute

Although there is no single federal statute that governs professional licensure generally, different agencies govern different types of professional credentials. In any federal professional license defense case, we begin by identifying the relevant agency and the relevant regulations that govern your license.

4. Federal Professional Credentials

There are a number of federal professional credentials. With no general federal statute, they are governed by agency-specific statutes and regulations. With a broad range of federal credentials at issue, you cannot assume that the rules and procedures involved in one type of license defense are the same as those involved in another type of license defense.

5. FAA Reporting Deadlines

When facing an FAA enforcement action, FAA reporting deadlines are not always straightforward. The applicable regulation, as well as the specific event triggering reporting requirements, will dictate the professional’s reporting deadline. The tighter the reporting deadline is, the more urgent it becomes to engage a lawyer with a clear understanding of these rules.

What conduct and reporting events can expose a license before conviction?

1. Where do licensing investigations start?

A licensing investigation can begin at any time, and it can be triggered by a variety of reporting events. For example, patients, clients, coworkers, or employers can file complaints with your state’s licensing board, and a licensing board can decide to initiate an investigation against you even if you have not been criminally charged (or even nominated for a civil lawsuit).

2. How much of a professional’s personal and professional life can a licensing board scrutinize?

Licensing boards have the authority to scrutinize professional conduct and, in some cases, personal conduct as well. This includes not only a professional’s daily practice but other activities as well. A professional’s daily practice can lead to a number of allegations, including fraud, negligence, substance abuse, boundary violations, inadequate medical documentation, and other issues. But conduct outside the workplace can create professional-license exposure as well.

3. What are some other examples of conduct that could trigger licensing proceedings?

When facing criminal charges, these are just a few more examples of conduct that could trigger licensing proceedings as well:

• Embezzlement, fraud, billing misconduct, insurance fraud, prescription drug violations, drug diversion, and related offenses;
• DWI, DUI, and impaired driving;
• Family violence;
• And other personal conduct.

4. Can convictions for misdemeanors have consequences for professional licenses as well?

For many licensed professionals, a conviction for a felony is a bright-line rule when it comes to losing your professional license. However, even if a professional is facing criminal charges that are not felonies, it may still lead to professional-license consequences. As a result, it is critical to engage an experienced professional license defense lawyer as soon as you learn about your case.

5. What are some examples of crimes that may lead to professional-license consequences?

Regardless of criminal charges, it is important to be mindful of the civil implications of any possible criminal charges. Here are some more examples of crimes that can lead to professional-license consequences, including:

• Criminal billing misconduct;
• Fraud;
• Embezzlement;
• Drug-related offenses (including illegal possession or distribution of a controlled substance);
• Impaired driving (including DWI or DUI offenses);
• And other personal conduct.

How do investigators, hearings, and appeals move on different clocks?

1. Why not give licensing investigators the answers they want right away?

Licensing boards routinely make requests for information from licensed professionals during their investigations. Often, professionals give the investigators the answers they want. However, when facing a professional license defense matter, you may not want to be fully available, especially if you are under investigation for an offense with criminal implications. Even if you do not get in trouble for not responding to an investigator’s request, you could give licensing investigators statements that you cannot retract, and that will be taken as admissions during an administrative hearing.

2. Will my professional license be revoked before a board investigation becomes a trial?

Not necessarily. The outcome of a board investigation is unpredictable. Even after the investigation, complaints can be dismissed. They can also be resolved without any formal charges, and professional licenses can be retained. Then again, licensing boards can also initiate formal charges.

3. Is there an administrative hearing after formal charges?

It depends. Depending on whether there are material disputed facts, you might be able to avoid a formal administrative hearing. Some systems allow professionals to have an informal hearing if there are no disputed facts. However, some systems do not have informal hearings, and you must go through the entire administrative process.

4. How does the formal administrative hearing work?

A formal administrative hearing is similar to a criminal trial, and you will have the chance to present and examine evidence. The hearing is usually presided over by an administrative law judge, who will determine the facts in dispute. However, the professional’s board still retains the power to impose discipline based on those facts.

5. Can you challenge the board’s decision?

If the board’s decision is unfavorable, you may be able to challenge the decision in judicial review or on administrative appeal. The timing, standard of review, and grounds for appeal will depend on the specific license at issue. For example, challenging an FAA certificate holder’s license might involve the FAA’s emergency suspension or revocation process; challenging a DEA registration may involve the Controlled Substances Act.

What can a board do to your practice, record, and return to work?

1. What are some examples of sanctions that a licensing board can impose?

Licensing boards have a wide range of enforcement options, and they have the discretion to choose one or more. Common sanctions include:

• Reprimands and letters of concern;
• Fines;
• Probation;
• Practice monitoring;
• License suspension;
• License revocation;
• And other sanctions.

2. What are some other examples of sanctions?

In addition to the sanctions mentioned above, boards can also impose other sanctions as well. These sanctions are often focused on treatment or education, and they are intended to ensure that the professional can safely and competently resume practice. For example, a doctor facing suspension or revocation of a DEA registration because of unlawful prescription-drug use may be required to address substance-use issues, potentially including treatment or rehabilitation.

If you have recently been appointed to a professional-license defense attorney at Spodek Law Group, this is a perfect example of why it’s important to involve a healthcare-informed defense attorney in your case early in the process.

3. What happens if a board decides to suspend my license?

A suspension of professional licensure will prevent you from practicing until it is lifted, and it will interrupt your ability to earn income. Because of this, avoiding a suspension can be one of your key priorities. Even if a suspension is ultimately inevitable, your professional license defense attorney should still work hard to minimize the duration and scope of your suspension to protect your career.

4. What happens if a board decides to revoke my professional license?

Revocation of professional licensure is the ultimate sanction. Revoking a license will prevent you from practicing, and you will have to initiate a separate reinstatement process to resume practice.

5. What happens to my professional-license disciplinary record?

Board disciplinary records are a matter of public record, and this is why board disciplinary proceedings can also have collateral consequences beyond the license. For example, board disciplinary records can be accessible to future employers, clients, and the public.

Get Advice on Your Situation

If you want someone to look at the specifics of your case, Spodek Law Group handles federal criminal defense nationwide from New York and Los Angeles. The firm has been practicing since 1976 and its motto is simple: we owe loyalty to only you. Call 888 348 8028.