With over 10 years’ experience working for regulatory agencies of the State of Kansas, Ms. Bellquist now utilizes her government experience to defend licensed individuals and entities before their respective regulatory boards. Her regulatory defense practice includes appealing application denials, responding in investigations of complaints, negotiating settlement agreements, defending against allegations in formal disciplinary proceedings, […]
Now, or at some point in your career, you may be in the position of receiving correspondence from your licensing board. Before you panic, and certainly before you respond, there are a few steps you should take to protect your best interests. If you have questions concerning the status of your license or if you have been notified of disciplinary proceedings, it’s time to retain the skilled professional licensure defense counsel of Joseph, Hollander & Craft.
Why Licensing Boards Reach Out
Once you receive your license, you likely will have little or no contact from the board. If a board does reach out to you, not every communication is of equal importance. A primary role of a licensing body is regulating the members of its profession. This lends to the board communicating with licensees to ensure the professional is operating in compliance with all related rules and regulations. These are a few common reasons for correspondence from a licensing board:
- Administrative matters: These are fairly routine and may involve paperwork updates, new rules, payment of dues, renewal of your license, and the like. Since all licensees are subject to these matters, they are not usually cause for concern.
- Mandatory reports: Professionals often have an ongoing duty to submit regular reports. These are frequently during the renewal cycle, but some agencies require reporting of events mid-renewal cycle. Reports required mid-renewal cycle can have pressing deadlines. A missed report or deadline could trigger independent disciplinary grounds
- Audits or Inspections: Boards periodically conduct audits or inspections to ensure licensed members and entities are abiding by their professional duties. Licensees should take the audit or inspection seriously and make sure they respond appropriately to the board completely and in a timely manner.
- Criminal charges and convictions: If you have pending criminal charges, even misdemeanors, you may hear from the licensing board. Criminal misconduct can call into question a licensee’s moral character or fitness. A reactive approach may not best protect your interests. Having experienced counsel advise you on a proactive, strategic defense of your license can materially impact the outcome.
- Complaints: A complaint indicates that someone (often a client, a patient, colleague or employer), believes you have breached your professional duties. When a board receives a complaint, they may open an investigation. Each board takes credible complaints seriously and will often request a statement from you in response to the complaint.
The manner in which the licensing board makes initial contact will vary. In some professions, a staff member of the board will send written correspondence such as an email or letter, but it is possible you may receive a phone call instead. It is imperative that you keep your contact information updated with the licensing board in case the board needs to reach you.
Step 1: Read the Communication Carefully
It can be jarring to receive a formal letter or other message from your licensing board. Even so, you should read over the communication carefully. Keep the following points in mind as you do:
- Clarify the nature of the communication: The message should indicate whether it is a routine, mass communication or if it is particularized to you.
- Note any timelines and deadlines: Communications will often include important dates and will impose some sort of deadline to respond, so it is important to identify these right away.
- Understand the potential for serious allegations: The language may not fully communicate the seriousness of the underlying issue, but a complaint carries the risk of a larger matter.
- Make a copy of the communication: If the communication is written, make a copy of it so you can add notes and highlight key information, while keeping the original intact.
- Start documenting everything: After you have read the description or allegations in the communication, begin gathering all records you have that pertain to them and documenting the surrounding facts in as much detail as you can.
Step 2: Start Planning, But Do Not Respond Immediately
Even if you believe you have done nothing wrong, resist the urge to respond too quickly at this early stage. A quick response risks self-incrimination or misrepresentation without taking the time to consider the best path forward. Responding too quickly can risk inadvertently leaving out essential details, or failing to include supporting materials which could absolve you of any wrongdoing. Additionally, resist reaching out to a client or patient identified in the complaint. While you may hope to resolve the matter yourself, this could worsen the situation instead. Retain counsel and involve your malpractice insurer, as the circumstances dictate.
What Happens If I Ignore the Board’s Letter?
This is one of the costliest mistakes you can make. At a minimum, the board will likely commence disciplinary proceedings, indicating the failure to respond as an additional infraction.
Will There Automatically Be a Hearing?
Not all board communications automatically prompt a hearing as many start off with written communications alone. However, if one is offered in the process, a hearing could allow you an opportunity to defend the allegations. Licensees usually must expressly request an administrative hearing, and do so by a certain date. If you do not timely avail yourself of a hearing, you may permanently forfeit the right to one. Attorneys at Joseph, Hollander & Craft have deep experience with administrative hearings.
Can I resolve this without a hearing?
Fortunately, it may be possible to dispense with the complaint without the need for a hearing. The board may determine, for instance, that there is insufficient evidence to prove the allegations or violations of law and decide to dismiss the matter. Other times the facts and law demonstrate clear violations where it is in the licensee’s interest to settle with the board for the best negotiated outcome possible. Retaining legal counsel early is the best step you can take if you wish to avoid a hearing.
Step 3: Call Joseph, Hollander & Craft
Your license, and therefore your professional and financial well-being, could be in jeopardy. Contact our law firm immediately. Joseph, Hollander & Craft has extensive experience representing healthcare providers, lawyers, judges, and other professionals in their dealings with licensing boards. Our firm is well-versed in both Kansas and Missouri laws, regulations, and proceedings that concern professional licensure matters. We have built a reputation for excellence in this niche area of law.
For each client who retains our firm, we develop a customized strategy aimed at handling each step of the board’s investigation, from informal inquiries to full hearings. In the event you receive an adverse decision from your board, our firm can help you appeal it and take steps to protect and restore your license.
Step 4: Notify Key Entities
There are certain parties you should inform of the communication you receive from a licensing board. Those entities include:
Your Malpractice or Professional Liability Carrier
- Healthcare and legal practitioners, in particular, should reach out to their malpractice or professional liability insurers. Your policy may require this as a condition of covering any damages and losses related to disciplinary actions.
- Many insurance carriers provide representation or coverage for licensing board matters. If you are uncertain whether you have such coverage, read your policy or contact the insurance company for details.
Your Employer (When Appropriate)
- There are both risks and benefits to contacting your employer. Your employment agreement may require disclosure, but it could open the door to additional ramifications. Speak with an attorney to determine whether, and when, you should report board matters to an employer.
- Confidentiality and timing are important. You need to ensure that you communicate with the correct person at your place of employment to maintain your confidentiality. Also, you should do so in a reasonable amount of time. Your attorney can assist with this.
Step 5: Begin Preserving Records
Documentation is key to answering board complaints and other communications:
- Create a chronology of relevant events and decisions: This will help you stay organized and tell a clear, compelling narrative of what happened.
- Make a list of individuals who have personal knowledge: Anyone who knows about the substantive facts and events referenced in the board’s communication should be on this list.
- Never assume a record is not important: You should err on the side of including more, rather than fewer, records when providing context for your attorney. Your lawyer can assess what will be required for your defense, and what can reasonably be set aside.
- Do not destroy evidence: You may come across a damaging document, and be tempted to delete or destroy it. Doing this will almost certainly cause more problems.
- Be upfront with your attorney: Let your lawyer know about anything and everything pertaining to the licensing board’s communication. This includes even the evidence which could be used against you. Your lawyer will know how best to handle it.
Step 6: Prepare for the Long-Term
Board communications may have lasting effects on your professional future and the process can extend for several months, if not much longer. As a medical professional, for instance, board matters can impact your license, hospital privileges, and credentials.
Moreover, these communications can inflict significant stress. For that reason, you should seek available support resources and counseling if warranted. Many professions offer confidential hotlines and other forms of assistance. You can take advantage of these, while protecting your license.
Lastly, don’t be afraid to ask for help securing your professional future. We can help you implement a strategy to address concerns like these.
Contact Joseph, Hollander & Craft
If you have been contacted by your licensing board for any reason, you should contact Joseph, Hollander & Craft. We represent professionals throughout Kansas and Missouri from offices in Overland Park, Lawrence, Topeka, Wichita, and Kansas City.
