What Really Happens When Your Licensing Board Sends That Letter?

Transcript

Speaker 1: 0:01

This podcast is for educational purposes only, does not constitute legal advice and does not create an attorney-client relationship. If you need legal assistance about a legal problem, contact an attorney. Welcome back to Know your Regulator. The podcast that inspires you to engage. I am your host, simone Murphy. Today we’re diving into one of the most anxiety-inducing moments a license holder can face getting that letter. Whether you’re a nurse, a veterinar holder can face getting that letter. Whether you’re a nurse, a veterinarian, dentist or chiropractor, a notice of complaint from your regulatory agency is never easy to receive, but it doesn’t have to mean disaster. We’ve gathered insights from across the professional spectrum with experts, regulators and license holders to answer a burning question what really happens when you receive a complaint notice?

Speaker 2: 0:46

Every complaint goes through about three steps to make sure that we’re doing our processes well. It comes in and we’ll go through a screening for whether there’s a potential violation. We have jurisdiction. There’s some things that we just simply don’t regulate. There’s some things that we just simply don’t regulate. Then we’ll have either a staff committee or a medical reviewer to evaluate the case to see whether any violations have occurred and whether it’s being recommended for enforcement, and then finally, it comes over to the enforcement branch. There, of course, we look at things like is there sufficient evidence, what are the most important aspects of the case and is this the kind of thing that we think is a real problem that needs priority, or is this a complaint about an individual that had one instance? Like I said, people make mistakes. So we try to prioritize cases that are going to affect the public most, of course, because that’s what our mission is cases that are going to affect the public most, of course, because that’s what our mission is.

Speaker 1: 1:45

So first things first. Agencies don’t launch full-blown investigations without a process. Whether you’re under the Texas Board of Veterinary Medical Examiners, texas Department of Licensing and Regulation or another board, there’s a triage system that’s in place.

Speaker 3: 1:59

I don’t have 38 different complaint processes for each program, I have one process. I have a complaint resolution procedures manual that my team follows, you know, from intake, through investigations, through prosecution. That process works for every program.

Speaker 4: 2:16

Even if it seems, you know, flat out ridiculous or that there’s, you know, bad motive from the complaint. And these regulators have a job to kind of thoroughly go through any allegation. But they also are obviously going to reach out to the licensee and most of the time that’s probably where they’re getting a lot of their information from. So that’s why it’s kind of so important that you know a licensee knows that, understands the process and, you know, responds. Because I think a lot of the time people have the thought process of, like I’m not going to, I just won’t say anything and it’ll go away, you know, like, and that’s actually going to make everything worse.

Speaker 1: 2:53

So it’s a really crucial point that we made there. Ignoring the letter does not make things go away. In fact, it could make things worse.

Speaker 5: 3:01

Our doctors will always be notified of a complaint by a letter that they’re going to receive in the mail. Most of the complaints we receive are going to be filed by patients. We are what you’ll sometimes hear referred to as a complaint-driven agency, so what that means is that really we’re only going to be looking into a doctor or taking action against someone because we received a complaint. We’re not the type of agency that goes out there and is kind of hunting for stuff.

Speaker 1: 3:28

And remember your initial response matters. It’s often the first time that regulators hear from you.

Speaker 6: 3:34

Something that I think a lot of people get confused, because sometimes license holders will refer to ISCs as hearings and they’re really not A SOA. Hearing is the actual hearing. It’s what you think about when you think about a civil case or a criminal case. You see something you know on TV. So it’s much more like what you would think of when you hear the term hearing Definitely is more formal. Like I said, it’s going to feel like what you would think of for a trial or a hearing. Definitely is more formal. Like I said, it’s going to feel like what you would think of for a trial or a hearing.

Speaker 6: 4:01

The ISC might feel kind of intimidating, especially for, like, a license holder and certainly if they don’t have a lawyer present. But it really is a chance for the licensee to kind of tell their side of the story, present any type of evidence they want or any type of argument that they have. But at a SOA all the rules of evidence, all the rules of civil procedure, they all apply. So it makes a SOA much more rigid, much more litigious, much more kind of discerning. Basically, the agency at the time in which they’re at SOA is not really interested anymore in what the license holder has to say right, they don’t really care about your side of the story. They’re not trying to be nice, they’re not trying to resolve it, they’re generally at that point at a SOA seeking a revocation of your license.

Speaker 1: 4:51

The translation there. Take the ISC seriously. It’s not a coffee chat. It’s your chance to get in front of the board. Tell them your story before things get more formal and expensive.

Speaker 2: 5:01

By the time we get a case to the state office administrative hearings. We’ve put a lot of time and effort into it and you can pretty much assume that we’ve got the goods. We don’t take these cases lightly. We don’t run to SOA every time we get a chance to, and so a license holder might want to seriously consider what options are rather than going to a hearing because, as you’ve put in the past, you know they’re unlikely to hit a no hitter Proof of rehabilitation efforts is a big one, you know.

Speaker 7: 5:28

I find it very persuasive if somebody can present to me here’s the rehabilitation I’ve done for my drug addiction. For my drug addiction, you know, what programs have I participated in? Am I going to a group, you know? Am I participating in some sort of therapy? Anything like that to show that I’ve addressed the root cause of my criminal history, of my thefts, you know, is always very persuasive.

Speaker 1: 5:55

Accountability and transparency matter. Whether you’re responding to a criminal history concern or a new complaint showing growth and awareness can shift how regulators perceive your case.

Speaker 2: 6:05

And we do try to get each case resolved informally. And again, you know I can’t emphasize enough people make mistakes. If you can recognize it and take corrective action, that goes a long way towards resolving any issues. If we take a case to SOA, we have guidelines in our sanctions matrix about what the range of outcomes should be. But we often will give someone a break, just like you know, doing a criminal case, who makes a plea deal, they’re accepting responsibility. We recognize that and we give them a lighter or a less severe result because we recognize that they’re trying to make it right and we appreciate the fact that they’re saving our time and resources and honesty is a big part of that. If you can’t accept that there’s a problem where you try to mislead us, that’s a real issue.

Speaker 3: 6:57

Make sure that you understand what happened in the situation. Very often a negotiated settlement can be achieved. In fact, I prefer that the money from penalties doesn’t go in my pocket, it doesn’t go in the pocket of my prosecutors, it doesn’t even stay with our agency, it goes back to the general revenue fund. It doesn’t even stay with our agency, it goes back to the general revenue fund. I would much rather you figure out a way of making the consumer whole, making things right with the consumer maybe a restitution or refund, or maybe fixing the thing that they said you didn’t fix, or whatever it is. Trying to make things right. That way you can get to a negotiated settlement where either the penalty gets reduced or maybe it gets removed and you just get a warning letter. And that doesn’t happen if you’re not operating in good faith, trying to figure out what actually happened. You know, ignoring a notice is not a solution.

Speaker 1: 7:49

So what should you do when you receive that letter? Four things. Number one take it seriously. Number two respond promptly and professionally. Number three understand it seriously. Number two respond promptly and professionally. Number three understand your process. Number four be transparent with your documentation. And remember you’re not alone in this. Every episode of Know your Regulator is designed to give you the tools and insights that you need to navigate your license with confidence. Check out our full episode library for guidance from regulators, industry leaders and professionals just like you, and if there’s a topic you want us to cover next, let us know in the comments below. As always, thank you for listening, stay engaged, stay informed and, until next time, continue engaging with your regulatory agency.

Speaker 4: 8:33

Know your Regulator. The podcast that inspires you to engage.