You went to school and/or worked for the opportunity to sit for an examination with a licensing board. You passed the exam and became a licensed professional. Congratulations. Maybe you then worked for 10 or 20 years without a complaint to your licensing entity. Again, congratulations. Then a complaint is filed against you. The natural question is: Should you respond directly to your occupational licensing board?
Should I Respond Directly to an Occupational Licensing Board Complaint?
It depends on the circumstances, but you may be ethically required to respond. In many cases, you may have no choice but to provide an initial response—and possibly more—to your professional licensing board. In other cases, you may not be required to respond, but responding may still be in your best interest. Generally speaking, anytime someone is accused of something, the bare minimum should be an acknowledgment that you received the complaint.
How Much Information Should I Provide in a Licensing Board Response?
Provide truthful information, but the amount and timing of your response depend on whether the allegation is legitimate. If you are required to provide a written response and/or participate in an interview with a board investigator or staff member, you have to be honest. Providing false information can, and likely will, lead to an additional complaint initiated by the board itself and harm the initial case.
If an allegation can be proven false with documentation, attach as much supporting documentation as possible. Responses to legitimate allegations require more nuance than responses to illegitimate allegations.
Responding to a Legitimate Licensing Board Allegation
A response to a legitimate allegation often involves mitigation. Boards want to know why a violation occurred, whether the public was made whole, if possible, and what, if anything, has been done to ensure that the violation will not happen in the future.
Mitigation often is not completed immediately because it may not be feasible right away. Determining how a mistake happened takes time, and determining if and how to make a customer whole takes time. It also takes time to develop new policies and procedures and properly train management and staff so the violation does not happen again. As a result, it may be in the licensee’s best interest to provide a short, concise, but accurate response and supplement it later once mitigation has been completed.
Responding to an Illegitimate Licensing Board Allegation
Do not rush a response to an illegitimate complaint when the facts show that you did nothing wrong. The goal is to have the complaint dismissed without it progressing past the initial stage. If you rush, you may forget important details showing that the allegation could not have happened, or you may forget an important document showing that the complainant is untruthful.
You also may not initially know exactly what you are accused of doing. Many boards and agencies are very coy about which administrative codes and statutes are at issue and what the allegation is exactly about. If you respond before fully understanding the allegation, you may provide the wrong information and the complaint may progress through the board’s process.
What If a Licensing Board Requires a Follow-Up Response?
A follow-up response can be the right time to provide mitigation documents, new information, and other updates. Enough time may have passed since your initial response for you to implement new policies, train staff, and/or work out issues with your client. New information may also have been acquired since your previous response, and it may benefit you to provide it to the board.
If you acquire new information—for example, a key piece of documentation—you do not have to wait for the board to request a follow-up response. You can supplement your original response with the new information.
Is an Extension to Respond to the Licensing Board Possible?
Yes. An extension is possible and highly likely when you make a reasonable and polite request. If you need more time, ask for it. The last thing you want is to feel rushed into preparing a response. Once you put information in writing or make a statement to a board investigator, you cannot take it back. You want to be truthful and deliberate when responding to a board inquiry.
Can an Attorney Assist With an Occupational Licensing Board Response?
Yes. An attorney can assist with an occupational licensing board response. Your attorney will have to send a letter of representation to the board’s contact person, and the board should—but does not always—communicate directly through your attorney. Your attorney can then work with you on a truthful, accurate statement and documentation supporting your position.
Whether you have an illegitimate complaint or a legitimate complaint, it is best to consult with an attorney who has experience in this area of law. One mistake in responding to your licensing board can create a problem that may be too big to solve later in your case.
If you have a complaint and want to make the right decision, please give us a call at 919-521-8810 for a FREE 15-minute discovery call.
Nothing in this blog establishes an attorney-client relationship. Nothing in this blog is legal advice. If you have any questions, please check out our other blogs and our YouTube channel.
