Negotiation and Settlement of Professional Licensing Board Cases
| Publication year | 1992 |
| Pages | 675 |
| Citation | Vol. 21 No. 4 Pg. 675 |
1992, April, Pg. 675. Negotiation and Settlement of Professional Licensing Board Cases
A significant majority of disciplinary cases commenced by professional licensing boards should be settled by the licensee rather than defended at an adjudicative hearing. In this author's opinion, the only cases that should not be settled are those in which a reasonable settlement is not possible or where the board case is weak.
Good reasons for settlement are many and varied. A known, reasonable settlement is preferable to an unanticipated, adverse final order. The significant expenditure of time, money and energy required to litigate the matter fully may not be justified in certain cases. If the licensee is guilty of committing the alleged violation of the licensing statute, it is advisable to mitigate against the potential loss of licensure by entering into a settlement that provides for discipline short of license revocation. Perhaps the licensee wants to avoid the publicity some disciplinary hearings generate.
Whatever the reason, the attorney representing a licensed professional must evaluate whether, in the best interests of the client, the case should be settled. This article discusses the issues to be considered in such an evaluation.
The issue of whether a disciplinary case involving a licensed professional should be settled requires analysis of at least five factors:
1. The attorney must know the client. This includes knowing what the client wants to do. Some licensees are nearing the end of their careers and want to retire with dignity. They do not want the adverse publicity and cannot afford the emotional investment required to defend the case. These clients want a settlement. Other clients may be recently licensed professionals just starting their careers. They can afford neither the adverse publicity nor the financial investment required to defend the case. They want to learn from their mistakes and proceed onward toward successful careers. These clients also may want a settlement.
An attorney who represents a licensed professional must learn as much as possible about the client and his or her practice in order to be a good advocate. The following issues are among those which must be considered: (1) where the licensee is in terms of professional development; (2) how the licensee is viewed in the professional community; (3) what type of practice the licensee maintains; (4) what type of clientele the licensee sustains; (5) what the licensee's financial condition is; (6) whether the licensee had previous discipline taken against his or her license; (7) whether the licensee has any malpractice lawsuits pending or threatened or has had any settled; and (8) what the licensee's future plans are.
2. The attorney must know the law. The attorney must have a good working knowledge of the practice act relevant to the client's profession. The attorney also must know the...
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