Licensing and FAQs

Most matters begin with a complaint from a patient, client, customer, employer or colleague. Others begin with a mandatory report, such as a health care facility's report of a practitioner's impairment or a licensee's own report of a criminal matter, with a referral from another agency, or with the results of an inspection or a continuing education audit.

Not necessarily. The Department does not ordinarily disclose the complainant's identity during an investigation, although the substance of the allegations must be disclosed if formal charges are filed. In many cases the source of the complaint is apparent from the allegations themselves.

A letter of inquiry or a call from an investigator should not be ignored, and a statement should not be given in haste. Retain the letter and envelope, note the date of receipt, preserve all relevant records and obtain advice before responding. In some matters, a careful early response may resolve the matter before formal charges are filed, and an ill-considered one may supply the evidence needed to file them.

Licensees generally should cooperate with a lawful investigation, and certain practice acts and regulations impose specific obligations to produce records or permit inspections. Cooperation does not, however, require an immediate, unprepared statement. A licensee is entitled to be represented by counsel, and an interview can ordinarily be scheduled so that counsel may attend.

Yes. On application of the Commonwealth's prosecuting attorney, the General Counsel or a designee may issue investigative subpoenas. Patient and client records that are privileged may generally be obtained only with the patient's or client's consent or by court order, and questions about privilege should be addressed before records are produced.

The length of an investigation varies with the complexity of the allegations and the number of witnesses and records involved. Some matters are closed within a few months; others take a year or more before a decision is made whether to file formal charges.

No. Some complaints are closed without formal action after review or investigation. Whether a matter is closed often depends on the quality and timing of the licensee's response.

A formal hearing is an evidentiary proceeding before a hearing examiner or the board. The Commonwealth bears the burden of proving the charges. Each party may present documents and witnesses, cross-examine the other side's witnesses and submit legal argument. The licensee may present evidence of mitigation, including character evidence, rehabilitation and remedial measures.

When a hearing examiner conducts the hearing, the examiner issues a proposed adjudication and order. Depending on the board's rules, the parties may file exceptions or an application for review, and the board may adopt, modify or reject the examiner's proposal. The deadlines are short and vary by board, so the deadline stated in the order should be calendared immediately.

Yes. A party may apply for rehearing or reconsideration of a final order, ordinarily within 15 days. An application for reconsideration does not by itself extend the time to appeal, so the appeal deadline must be tracked separately.

Depending on the profession, a board may impose a public reprimand, a civil penalty, probation with conditions, required education or treatment, limitation or restriction of practice, suspension or revocation. Pennsylvania law also authorizes boards to impose civil penalties of up to $10,000 per violation and to assess the costs of investigation.

Generally, yes. Final disciplinary orders, including approved consent agreements, are public records. Disciplinary actions appear on the Department of State's license verification system and in its published lists of disciplinary actions, and actions against health care practitioners are reported to the National Practitioner Data Bank. For that reason, even a modest complaint deserves prompt attention. A single disciplinary record for a continuing education violation, or for practicing six months or less on a lapsed license, may be expunged on application after five years.

Yes, in serious cases. Where a board finds that a licensee's continued practice presents an immediate and clear danger to public health and safety, it may order a temporary suspension without a prior hearing. A preliminary hearing must be held within 30 days, and a temporary suspension may not exceed 180 days. These proceedings move quickly and require immediate attention.

Yes. Under the practice acts of many health-related boards, a license is automatically suspended upon a felony conviction under the Controlled Substance, Drug, Device and Cosmetic Act or an equivalent law, or upon a legal commitment for mental incompetency. Act 53 of 2020 provides that practice-act provisions on felony drug convictions apply only to an individual convicted of a drug trafficking offense, so this trigger may now be narrower than the practice acts suggest.

The Professional Health Monitoring Program (PHMP) serves licensees whose practice may be affected by a substance use disorder or another mental or physical condition. It has two parts. The Voluntary Recovery Program (VRP) is an alternative to discipline for eligible licensees of participating boards; a licensee who complies may avoid public discipline. The Disciplinary Monitoring Unit (DMU) monitors licensees whose monitoring is part of a public disciplinary order.

The VRP is available to licensees of the participating health-related boards. A licensee must be evaluated by an approved provider, follow the resulting treatment plan and enter a monitoring agreement, which usually lasts several years. Licensees with certain drug convictions, allegations of significant patient harm, diversion for sale or sexual boundary violations are generally not eligible. Participation carries significant obligations, and a licensee should obtain advice before agreeing to any terms.

Pennsylvania law requires licensees to notify their board in writing within 30 days of a finding of guilt, guilty plea, plea of nolo contendere, probation without verdict, disposition in lieu of trial or Accelerated Rehabilitative Disposition on a felony or misdemeanor charge, and of discipline imposed in another jurisdiction. Some practice acts and regulations impose additional duties, including in some cases a duty to report the filing of charges. A late or omitted report may itself constitute a separate violation.

The licensing matter and the criminal case are separate proceedings with different standards and consequences, and a resolution in one may affect the other. A plea that avoids incarceration may nonetheless lead to automatic or significant licensing consequences. Where a licensee faces criminal charges, the firm handles the licensing matter and coordinates with the licensee's criminal defense counsel.

As early as possible, and ideally before responding to a letter of inquiry, an investigator's call or an Order to Show Cause. The decisions made in the first weeks of a matter, including what records to produce and what to say, often shape the outcome.

Yes. An individual may appear on his or her own behalf before a licensing board. Because the Commonwealth is represented by an experienced prosecuting attorney and the consequences for a license may be lasting, most licensees benefit from counsel who practices regularly before the boards.

Communications with an attorney for the purpose of obtaining legal advice are generally protected by the attorney-client privilege. The initial consultation is an opportunity to describe the matter and learn what to expect; contacting the firm does not, however, create an attorney-client relationship until the firm agrees to represent you. Information a prospective client shares in a consultation is protected by the Rules of Professional Conduct even if the firm is not retained.