As a licensed professional, you are subject to the rules and laws governing your profession. You can face disciplinary action before your licensing board if you violate any of those rules or laws. The sanctions you may face from your licensing board can be quite severe, ranging from a reprimand or minor corrective actions to losing your professional license. As a result, you need strong legal representation during these proceedings to protect your license and career. A professional license defense lawyer can represent you before your licensing board in disciplinary proceedings and help avoid or mitigate the potential sanctions you may face.
Potential Sanctions that a Licensing Board May Impose
The laws governing each profession provide a set of sanctions for different violations that licensees can receive during disciplinary proceedings. However, the general types of sanctions that a licensing board may impose include the following:
- Written warnings that may not constitute formal disciplinary action;
- Public or private reprimands;
- Required remedial or continuing education requirements;
- Assessment of administrative penalties, which are monetary penalties or fines;
- Mandated completion of substance abuse treatment or counseling programs;
- Periodic drug testing;
- License suspension;
- Probated license suspension, subjection to certain conditions;
- Placement of restrictions or limitations on the ability to practice;
- Required licensing board reporting requirements;
- License revocation
Factors Affecting the Potential Sanctions in a Disciplinary Case
The laws governing many professions provide factors that decisionmakers must consider when determining the appropriate sanctions to assess in a disciplinary case. Some of these laws outline mitigating and aggravating factors. In contrast, other laws list factors in general that licensing boards, agency staff, and administrative law judges must consider in making decisions on sanctions. Listing these factors lends consistency in sanctions so that professionals can know what to expect from the disciplinary process.
Some of the most common factors that licensing boards consider in imposing sanctions in disciplinary proceedings are as follows.
Seriousness of the Violation
A licensing board will often consider the severity of the violation, including the circumstances surrounding the violation. The sanction may be more serious if the violation directly harmed third parties, such as patients, clients, students, or other individuals. Likewise, the potential penalties may increase if the misconduct poses a general threat or danger to the public. On the other hand, if the conduct harms no one but involves a technical violation of a rule, such as failure to complete continuing education requirements, then the penalties are likely to be less severe.
Previous History of Disciplinary Proceedings
Most licensing boards and agencies will consider any previous history of disciplinary proceedings in assessing the extent of sanctions a licensee should receive. For example, an individual facing a first-time instance of misconduct may receive lesser sanctions than someone with a history of repeated violations.
Efforts at Remediation
Efforts an individual makes at remediation can be a mitigating factor regarding sanctions. For instance, if the misconduct involves alcohol or drug use, completion of a rehabilitation program and ongoing substance abuse counseling and treatment can go a long way toward lessening the sanctions that an individual might receive. Likewise, remedial efforts can show the licensing board that an individual is taking the disciplinary proceedings seriously and taking immediate action to remedy the violations.
Level of Sanction Necessary to Avoid Future Violations
A licensing board typically will consider whether a proposed sanction is sufficient to deter the license from future misconduct. In other words, if the sanction is too lenient, the fear is that it may be insufficient to prevent future violations. The goal of the licensing board is to impose a sanction that will be substantial or punitive enough to deter the licensee from committing a similar violation in the future.
Examples of Specific Licensing Board Factors Affecting Sanctions
The Texas Department of Licensing & Regulation
The Texas Department of Licensing & Regulation (TDLR) licenses and regulates various professions, from cosmetologists to electricians. As a result, TDLR is responsible for investigating complaints and prosecuting disciplinary proceedings against licensees when merited. TDLR develops specific enforcement plans for each profession that set forth the penalties and sanctions for each type of violation. Generally, TDLR prosecutors will seek sanctions within those ranges unless exceptional circumstances warrant a departure from those ranges and the TDLR’s Director of Enforcement grants approval.
The TDLR also must consider various factors to determine the appropriate amount of an administration penalty or the degree of a proposed sanction in a disciplinary case:
- The severity or seriousness of the violation;
- Whether the violation was willful or intentional;
- Whether you acted in good faith to avoid or mitigate the violation or to correct the violation when it became apparent;
- Whether you engaged in similar violations in the past;
- The level of penalty or sanction necessary to deter future violations; and
- Any other matter that justice may require.
The Texas Medical Board
The Texas Medical Board (TMB), which licenses and regulates physicians, physician’s assistants, and other medical professionals, also handles disciplinary actions against those professionals. 22 Tex. Admin. Code §190.15 lists aggravating and mitigating factors that the TMB must consider in assessing sanctions in disciplinary cases. For instance, mitigating factors include voluntary admission of misconduct, implementation of remedial measures, rehabilitative potential, and the professional’s acknowledgment of wrongdoing. Conversely, aggravating factors include the harm to one or more patients caused by the misconduct, the severity of that harm, prior similar violations, attempted concealment of the misconduct, and previous disciplinary action.
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We Will Represent Your Interests Before Your Licensing Board
We know how important it is for you to maintain your license and your ability to practice in your professional field. We aim to help you deal with any disciplinary proceedings and minimize or avoid the sanctions necessary to preserve your license and career. The experienced professional license defense lawyers at Bertolino LLP will advocate for you to protect your professional license during your licensing board proceedings. Call us at (512) 515-9518 or contact us online.
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