State licensing boards and agencies license and regulate professionals in Texas. These agencies ensure that the professionals they oversee comply with state and federal rules and laws that govern their profession. As a result, disciplinary proceedings may result if someone alleges that you have violated a rule or law related to your profession.
Contested disciplinary proceedings can lead to a hearing before the State Office of Administrative Hearings (SOAH). A professional license defense attorney can help if you are facing disciplinary proceedings. Contact the offices of Bertolino LLP at (512) 980-3751 or visit us online today to schedule an appointment.
Defining Proposals for Decision
Most professional disciplinary proceedings are resolved informally and by agreement. However, some cases are contested in that the parties cannot resolve them in a mutually acceptable way. Most state licensing agencies forward the case to SOAH for a contested administrative hearing when this situation occurs.
SOAH assigns an administrative law judge (ALJ) to the case, overseeing all stages of the hearing process, including discovery, pre-trial motions, and the hearing. However, under the laws and rules of most agencies, the ALJ is not responsible for deciding whether a licensee violated laws or rules governing their profession. Likewise, the ALJ does not decide what sanctions a licensee should receive for the violation. The role of the ALJ is to hear evidence from both sides and issue a Proposal for Decision (PFD), which typically contains findings of fact and conclusions of law resulting from the hearing. An ALJ generally completes a PFD within 60 days of the hearing, although that timeline may vary. The PFD then goes to the appropriate licensing board or agency for a final disposition of the case.
Disagreements with the PFD
1 Tex. Admin. Code 155.507 requires the ALJ to submit the PFD to the licensing agency and the licensee. If either party disagrees with the PFD, they may submit exceptions to the PFD to the ALJ and the agency. Generally, parties have 15 days to submit their exceptions and another 15 days to submit any replies to filed exceptions. However, the ALJ may change the times for filing exceptions or replies if the parties agree or on the request of one party for good cause shown.
Once the ALJ has reviewed all exceptions and replies, they will consider whether to make any amendments to the PFD. If the ALJ recommends any amendments to the original PFD, the ALJ will submit those recommendations to the licensing agency and the licensee.
Licensing Agency Disciplinary Decisions
In most disciplinary cases, the board of the licensing agency at issue ultimately decides how to resolve the alleged violations. The appropriate board can accept, modify, reject, or remand the PFD for further findings. Although the findings of fact and conclusions of law are presumptively binding on the licensing agency, acceptance of the PFD is not required. However, if the agency chooses to disregard findings of fact and/or conclusions of law in the PFD, they must explain the reasons for their decision in writing.
On the other hand, the ALJ’s proposed sanctions for the licensee are not subject to the same presumption. As a result, the licensing board can impose or decline to impose a particular sanction on the licensee despite the ALJ’s recommendation.
In most professional licensing cases, the PFD goes to the referring licensing agency for review. Ultimately, it will be up to that licensing board or agency to accept, modify, remand for further findings, or reject the PFD. The findings of fact and conclusions of law are presumptively binding on the agency, so if the agency disregards those findings and/or conclusions, they must state their reasons for doing so in writing. However, the same presumption does not apply to the sanction recommended by the ALJ. As a result, a licensing board may impose a sanction that the ALJ did not recommend.
Every licensing board is subject to different statutes. As a result, a particular licensing board’s permissible actions concerning a PFD issued in a disciplinary case vary. For example, some licensing boards may only disregard the findings of an ALJ in a PFD in specific situations, such as where an error of law has occurred. Other agencies permit the parties to come and argue their cases before their board before determining the disposition of the PFD.
All licensing agencies hold periodic meetings. Part of their duties at those meetings is considering PFDs issued in contested disciplinary cases and providing the licensee with a final order. Ultimately, the licensing board either will find that the licensee committed no violation and dismiss the complaint or that the licensee committed a violation and assess a sanction.
The final order of a licensing agency is subject to appeal in district court. Therefore, a licensee who disagrees with the outcome of the disciplinary case can file an appeal within a certain timeframe to challenge the agency’s final order.
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We Are Here to Represent Your Interests Before Your Licensing Board
We know how much is at stake if you face a disciplinary complaint against your professional license. Meet with us to discuss your case and learn how we can help. You’ll meet with one of our experienced professional license defense attorneys to discuss the details of the allegations filed against you. If you have received a licensing complaint accusing you of misconduct or a rules violation, BERTOLINO LLP can help. Contact us today or call (512) 980-3751 and schedule a case evaluation.
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