ReinstatementPetitions:RelevantEvidenceandBurdensby MarkR.Brengelman,JD,MA

11:00a.m.– 12:00p.m.June14,2017

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Introduction– Markis:§ retiredfromtheKentuckyOfficeoftheAttorneyGeneral;

§ inprivatepractice(sinceAugust2012),and;

§ along-timepresenterincontinuingeducationforovertwentynationalandstateorganizations,includingFARBandtheNCSBN,andprivatecompanies.

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Thiscontinuingeducationwas:§ developedforFARB,ofwhichNCSBNisamember;

§ originallypresentedatthe2017FARBForum,SanAntonio,and;

§ updatedfortheNCSBNfortheDCMConference.

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Objectives– toprovideattendeeswith:§ afocusonreinstatementpetitionsforastateagency–

non-disciplinaryversusdisciplinaryaction;

§ ananalysisofrelevantevidencereviewedbyastateagencyandtheburdenofproofinareinstatementproceeding;

§ arecommendationonstatutesandadministrativeregulations/rules,orotherprovisions,regardingreinstatementproceedings,and;

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Objectives– toprovideattendeeswith:§ apresentationherethatismorerelevanttoBoardstaff,

Boardmembers,andother(presumably)non-attorneys.

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Disclaimer– whatthiscovers,ornot:§ doesprovideabroadoverviewofreinstatementissueswith

exampleshigh-lightedfromKentuckylaw;

§ doesnotcoverallnursinglawsinthe50statesandjurisdictions,and;

§ doeseducatethepersonattendingtoasktherightquestionsintheirownstateandprofession.

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Disclaimer– nottheofficialpositionof:Thiscontinuingeducationmaterialisnottheofficialpositionof:

§ theNCSBN;

§ anyKentuckystateagency,or;

§ anysaneperson.

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Disclaimer– sowhyarewehere?Thiscontinuingeducationmaterialisintendedto:

§ coverawideperspectiveofcoreissuesinstatelicensureregardingreinstatements;

§ generatediscussionfromyouranalysisoftheissues,and;

§ beaproductiveandworthwhileuseofourtime.

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Introduction– whatarewereinstating?Non-disciplineversusdisciplinaryreinstatement:

§ retiredorinactivelicensereinstatementorreactivationapplicationstoastateagency;

§ disciplineunderactive,on-goingdisciplinaryterms,and;

§ post-disciplineafteractive,disciplinaryterms,i.e.,reinstatementofarevokedlicense.

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Non-disciplinereinstatementofalicense:Non-disciplinereinstatement:

§ inactivelicense,retiredlicense– doyouhavethese?

§ whatareinactiveorretiredlicenses,presumablyonesthatyoucannotuse?Whyhavethem?

§ whatlimitsarethereonholdinganinactiveorretiredlicense?

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Non-disciplinereinstatementofalicense:Whatlimitsarethereonholdingaretiredorinactivelicense?

§ cannotpracticethatprofession;

§ mustpayaregularlicensurefee(thesameorless?),and;

§ mayhavetodothingslater(andallatonce)toreinstate/reactivatearetired/inactivelicensethatwouldhavebeendoneovertimeasalicensee.

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Non-disciplinereinstatementofalicense:Whatadvantagesarethereifyoucannotpractice?

§ donothavetoobtaincontinuingeducation;

§ maypaylessthantheregularlicensurefee;

§ canstillcallyourselfamemberofthatprofessionthusentitlingyoutomembershipinastateassociation(andassociationbenefits);

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Non-disciplinereinstatementofalicense:Whatadvantagesarethereifyoucannotpractice?

§ servesasaplaceholderintimethuseasiertoresumepractice,and;

§ hasadvantagesforprofessionalslicensedinmorethanonejurisdictionwhomayneedonlyholdoneactivelicense,butcouldmoreeasilyreactivatetheirinactivelicensesinotherjurisdictionsonanas-neededbasis.

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Non-disciplinereinstatementofalicense:Howdoyoureinstatesuchalicense?Thisshould:

§ beaministerialact,thatis,a“cookbook”stylestepfoundinadministrativeregulationorrulethatspecifiesexactlywhathastobedone;

§ beacheck-offlistcreatedbasedontherequirementsinthelaw,whichboardstaffmaycarryoutthatdoesnotrequireprofessionalexpertiseandjudgment.

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Non-disciplinereinstatementofalicense:Howdoyoureinstatesuchalicense?Thisshould:

§ requireawrittenapplicationforreinstatementinanapprovedformdocumentavailabletothepublicandrecognizedbylawwithanadministrativeregulationorrule,and;

§ includeallthesamequestionsonaregularinitialapplicationorregularrenewalform(seeFARBmodelapplication/renewaldocuments).

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Non-disciplinereinstatementofalicense:Howdoyoureinstatesuchalicense?Thisrequires:

§ onetoapplywithinaperiodoftimesincelastfullylicensed;

§ theBoardtoactinadiscretionarymatterifthereisanysubstantivequestiononthereinstatementapplication-- thesufficiencyofrequiredcontinuingeducationortheexistenceofacriminalconviction;

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Non-disciplinereinstatementofalicense:Howdoyoureinstatesuchalicense?Thisrequires:

§ afteraperiodoftimeholdinganinactiveorretiredlicense,onemust“startover”ordosomethingelse,and;

§ reinstatementinthesecontextsnottobepejorativeactions.

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Non-disciplinereinstatementofalicense:Examplesinthelaw?Note:

§ whatisthatperiodoftimemeasuredfrom?Fromlastholdingalicense?Orfromlastengagingintheactivepracticeofthatprofessionwithalicense?

§ furthernote:Whatis“activepractice?”

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Non-disciplinereinstatementofalicense:Examplesinthelaw?

§ manyexamplesbyadministrativeregulationorrule;

§ eachboardshouldhaveanadministrativeregulationfor:licensurerenewal;laterenewalandgraceperiod(ifany);reinstatementwithin“X”time,and;reinstatementaftermorethan“X”time.

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Non-disciplinereinstatementofalicense:Examplesinthelaw?

§ alicensemaylapseorexpireforthesimplefailuretorenewit;

§ lapsingorexpiringaretermsunderlawtoreflectthechangeinthatlegalstatus,and;

§ non-pejorativeactionsandterms.

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Non-disciplinereinstatementofalicense:Examplesinthelaw?

§ inKentucky,statestatuteholdsalicensenotrenewedsimply“lapses”butmaybe“reinstated”uponappropriateapplication.KentuckyRevisedStatute314.071(2);

§ thesameadministrativeregulationappliestotheprocesstoreinstatealapsedlicenseoraretiredlicense.201KentuckyAdministrativeRegulation20:225§ 1.

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Disciplinaryreinstatementofalicense:Disciplinaryreinstatement– theseapplyto:

§ termsandconditionsofaSettlementAgreementorConsentDecree,anadministrativedocumenttakingdisciplinaryactionandmaycontainautomaticordiscretionaryreinstatementterms(seeFARBmodelsettlementagreementdocuments),and;

§ automaticversusdiscretionaryterms.

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Disciplinaryreinstatementofalicense:Disciplinaryreinstatement– automaticversusdiscretionaryterms:advantagesanddisadvantagesofeach?

§ automatictermsallowself-implementingreinstatementbasedonexpresstermsandconditions;

§ discretionarytermsallowopen-endedtimetocomply– mayprovidetoomuchdiscretionandmayunreasonablydelayreinstatement;

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Disciplinaryreinstatementofalicense:Disciplinaryreinstatement– pejorativeactions:

§ disciplinaryreinstatementsshouldbeautomatictoimplementthetermsandconditionsofadisciplinaryaction,and;

§ maynotrequirespecificformssuchasnon-disciplinaryreinstatements,butdoescallforpreciseadherencetothetermsandconditionsofeachindividualdisciplinaryaction.

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Relevantevidenceandburdens:§ allreinstatementsshouldincludeallstatutoryand

administrativerequirementsofthelawasevidencetocomply;

§ theburdentoprovereinstatementisontheapplicant,thelicensee,orformerlicenseeseekingreinstatement,and;

§ adeniedreinstatementshouldtriggeradueprocessrightofthedeniedapplicanttorequestanadministrativehearing.

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Relevantevidenceandburdens:§ whataboutadueprocessrightofthedeniedapplicantto

requestanadministrativehearing?

§ practicetip:theagencymayissueapreliminarydenialstatinggroundswhythereinstatementisdenied,thenofferanadministrativehearingbywrittenrequest,and;

§ burdenofproofisembodiedinastateadministrativeproceduresact.

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Relevantevidenceandburdens:Anexample- KRS13B.090(7):

§ “Inalladministrativehearings,unlessotherwiseprovidedbystatuteorfederallaw,thepartyproposingtheagencytakeactionorgrantabenefithastheburdentoshowtheproprietyoftheagencyactionorentitlementtothebenefitsought....Thepartywiththeburdenofproofonanyissuehastheburdenofgoingforwardandtheultimateburdenofpersuasionastothatissue.Theultimateburdenofpersuasioninalladministrativehearingsismetbyapreponderanceofevidenceintherecord.Failuretomeettheburdenofproofisgroundsforarecommendedorderfromthehearingofficer.”

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Relevantevidenceandburdens:Checkyourgoverningstatutesaboutrevokedlicenses:

§ whatdoesrevokemean?Shouldyourstatutesay“permanentrevocation?”

§ doesarighttoseekreinstatementapplybystatute?and;

§ ifso,suchstatutestypicallygoverntheperiodoftimeandthestandardofreinstatement.

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Relevantevidenceandburdens:Anexample– KRS319.082(4):

§ “Three(3)yearsfromthedateofarevocation,anypersonwhoselicensehasbeenrevokedmaypetitiontheboardforreinstatement.Theboardshallinvestigatehisorherpetitionandmayreinstatehisorherlicenseuponfindingthattheformerlicenseehascompliedwiththeprovisionsofthischapterandadministrativeregulationspromulgatedbytheboardandisagainabletoengageinthepracticeofpsychologywithreasonableskill,competency,andsafetytothepublic.”

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Relevantevidenceandburdens:Enactyourevidentiarystandardsandburdenofproofintolaw:“thethreeRs”ofremorse,restitution,rehabilitation.

Anexample:KentuckySupremeCourtRule2.300(7):

§ “ApetitionerforreinstatementwillbeheldtoasubstantiallymorerigorousstandardthanafirsttimeapplicantforaninitialadmissiontotheBar.Thepriordeterminationthathe/sheengagedinprofessionalmisconductcontinuestobeevidenceagainsthimorherandtheproofpresentedmustbesufficienttoovercomethatprioradversejudgment.”

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Relevantevidenceandburdens:Amongtheconsiderationstobeweighedare:

§ “thenatureofthemisconductforwhichtheapplicantwassuspendedordisbarred;§ theapplicant’sconceptionoftheseriousnatureofhisorheract;§ theapplicant’ssenseofwrongdoing;§ theapplicant’spreviousandsubsequentconductandattitudetowardthecourts

andthepractice,includingtheelementoftimeelapsedsincedisbarment;§ theapplicant’scandorindealingwiththeCharacterandFitnessCommittee,and;§ therelevantknowledgeofwitnessescalledbytheapplicant.”

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Relevantevidenceandburdens:Enactyourevidentiarystandardsandburdenofproofintolaw:

§ administrativeregulationorrule,orbystatestatute;§ intheabsenceofregulation,rule,orstatute,putthemina

SettlementAgreementorConsentDecreewhenyouhaveone;

Anexample:KentuckySupremeCourtRule3.330:§ “InreinstatementhearingstheburdenshallrestupontheApplicant,andhe/she

mustdemonstrateby clear and convincing evidencehis/hersuitabilityforreinstatement.”

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Relevantevidenceandburdens:§ “inreinstatementcasestheapplicanthastheburdenofprovingbyclearand

convincingevidencethathe/shepossessestherequisitecharacter,fitnessandmoralqualificationforre-admissiontothepracticeoflaw.(SCR3.330)Issuesthatwillbeconsideredinclude,butarenotlimitedto,thefollowing:

§ (a) Whethertheapplicanthaspresented clear and convincing evidencethathe/shehascompliedwitheverytermoftheorderofsuspensionordisbarment;

§ (b) Whethertheapplicanthaspresented clear and convincing evidencethathis/herconductwhileundersuspensionshowsthathe/sheisworthyofthetrustandconfidenceofthepublic;”

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Relevantevidenceandburdens:§ (c) Whethertheapplicanthaspresented clear and convincing evidencethat

he/shepossessessufficientprofessionalcapabilitiestoservethepublicasalawyer;

§ (d) Whethertheapplicanthaspresented clear and convincing evidencethathe/shepresentlyexhibitsgoodmoralcharacter,and;

§ (e) Whethertheapplicanthaspresented clear and convincing evidencethathe/sheappreciatesthewrongfulnessofhis/herpriormisconduct,thathe/shehasmanifestcontritionforhis/herpriorprofessionalmisconduct,andhasrehabilitatedhimself/herselffrompastderelictions.”

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Checkapplicablecaselaw:Whatdoesrevokemean?Forhowlong?Whathappensnext?

§ Shamaeizadehv.KentuckyBoardofMedicalLicensure,2006Ky.App.Unpub.LEXIS1229,CourtofAppealsofKentucky,No.2004-CA-001768-MR,renderedJanuary27,2006;

§ discretionaryreviewdeniedbytheSupremeCourtofKentucky,andopinionoftheCourtofAppealsorderednottobepublished.KentuckyBoardofMedicalLicensurev.Shamaeizadeh,2006Ky.LEXIS244(September13,2006)

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Checkapplicablecaselaw:Applicationforreinstatementbyarevokedphysician;

§ questionstoask:- non-disciplinaryordisciplinaryreinstatement?- whohadtheburdenofproof?- whatstandardofevidence?- whatweightwasgiventoaBoardfinalorder?

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Checkapplicablecaselaw:§ conclusion:TheCourtofAppealsreversedandremandeda

casetothelowercourtdirectingthatcourttoconductajudicialreviewoftheBoard’sdenialofthephysician’sreinstatementpetition.

§ facts:PhysicianwasrevokedMarch7,2000– upheldbythelowercourt(circuitcourt)onjudicialappeal,andupheldagainbytheCourtofAppeals.PhysicianreappliedinOctober2003understatuteallowingapetitiontwoyearsafterrevocation.

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Checkapplicablecaselaw:KRS 311.607 allowed for a reinstatement petition:

§ “A licensee who has had his license revoked may, after two (2) years from the effective date of the revocation order, petition the board for a license to again practice in the Commonwealth of Kentucky; [Note: the statute has exceptions and qualifications.]

§ No new license shall be issued to such former licensee unless the applicant satisfies the board that he is presently of good moral character and qualified both physically and mentally to resume the practice of medicine without undue risk or danger to his patients or the public.”

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Checkapplicablecaselaw:On December 3, 2003, the Board issued a final order denying the reinstatement under “good moral character and qualified both physically and mentally” ordering:§ “Furthermore, having considered all available information, particularly the

licensee’s disciplinary history before this Board and the bases for those disciplinary orders, [the Board] orders that it will not consider another petition for reinstatement filed by the licensee prior to its November 2013 meeting, a period of ten (10) years.”

§ judicial review was denied by the lower court – reversed by the Court of Appeals.

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Checkapplicablecaselaw:Rationale: § “The legislature has created a procedure for reinstatement of a medical

license; it is a proceeding separate and distinct from the disciplinary action that preceded the revocation of the license. The order adjudicating the application for reinstatement concludes that process and constitutes a final order. If a physician is aggrieved by the final order, that order becomes subject to judicial review.

§ [T]he non-ministerial orders of an administrative agency are inherently reviewable for abuse or arbitrariness regardless of whether there is a statutory procedure established for that purpose.”

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Checkapplicablecaselaw:§ answers and comments:

- non-disciplinary or disciplinary reinstatement?- who had the burden of proof?- what standard of evidence?- what weight was given to the lower court’s conclusion agreeing with

the Board that there was no right to judicial review?

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Checkapplicablecaselaw:InrethereinstatementofDrain,2016OK68,376P.3d208,OklahomaSupremeCourt(2016)(seeFARBTopRegulatoryCases):

§ applicationforreinstatementbyaformerlylicensedattorney;

§ questionstoask:- non-disciplinaryordisciplinaryreinstatement?- whohadtheburdenofproof?- whatstandardofevidence?- whatweightwasgiventoarecommendationtoreinstate?

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Checkapplicablecaselaw:§ conclusion:TheSupremeCourtofOklahomadeterminedan

attorneyseekingreinstatementofhislawlicensedidnotdemonstratetherequiredcompetencytogranthispetition.

§ facts:Drainhadresignedfromthepracticeoflaw10yearsearlierwithnodisciplinaryproceedingspending,butanadministrativesuspensionhadbeenissuedforfailingtopay$100inCLElatefeespriortohisresignation.

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Checkapplicablecaselaw:§ morefacts:Drainhadworkedthereafterasaparalegalandas

aninstructorofparalegalcourses.Drainfiledforreinstatement- theProfessionalResponsibilityTribunalrecommendedreinstatementanddetermined:

- Drainhadcompliedwithallproceduralrules,establishedhehadnotengagedinunlicensedpractice,andhaddemonstratedcompetence.

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Checkapplicablecaselaw:§ rationale:TheOklahomaSupremeCourtoverruledthe

recommendationfindingtherewasnoevidenceDraincompletedthemandatoryCLEinthe10yearssincehisresignationandteachingparalegalcoursestonon-attorneysdidnotrisetothelevelandcompetencyexpectedofattorneys;

§ basedonDrain’sextendedabsencefromtheprofession,hemustretakethestatebarexaminationastheonlyrecourseforreinstatement.

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Checkapplicablecaselaw:§ answersandcomments:

- non-disciplinaryordisciplinaryreinstatement?- whohadtheburdenofproof?- whatstandardofevidence?- whatweightwasgiventoarecommendationtoreinstate?

§ denovoreview– courtherelooksatthefactsandlawwithoutgivingweighttoanyrecommendation(nodeference),and;

§ passingtheexaminationagainseemsalwaysapathtoreinstatement.

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Checkapplicablecaselaw:§ couldDrainpassthestatebarexaminationagain?Perhaps!

§ wasDrainsuccessfulinavoidingthatrequirementsimplybybeingreinstated?No!

§ whatmayweultimatelyconclude?!?!?

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Conclusion:Wehavecovered:

§ identifyingreinstatementpetitionsforreview,non-disciplinaryactionversusdisciplinaryaction;

§ analyzingrelevantevidencereviewedbyastateagencyandtheburdenofproofinareinstatementproceeding,and;

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Conclusion:Wehavecovered:

§ recommendingstatutesandadministrativeregulations/rules,orotherprovisions,regardingreinstatementproceedings.

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