DOPL INVESTIGATIONS:

Here is what this blog will cover about DOPL:
(1). Are you being investigated by DOPL?
(2). What are your rights (many)?
(3). Can you remain silent (yes)?
(4). Do you have to participate in any investigator interviews (no)? Will what you say be used against you (yes)?
(5). The complaint, investigation and discipline process and overview.

DOPL STANDS FOR:

DOPL stands for the “Division of Professional Licensing.” DOPL is a division of the bigger Department of Commerce (think higher headquarters). DOPL licenses some 60 categories of licensure in the State of Utah. This means that DOPL is responsible for good order and discipline as the licensing body for these 60 categories.

DOPL has two main internal functions: Investigations and Licensing.

This article is about dealing with DOPL investigations and discipline process.

COMMON DOPL LICENSED PROFESSIONS:
Utah’s DOPL licenses the following medical professionals:
(1). Chiropractic Physician. (2). Clinical Mental Health Counseling. (3). Physician Assistant. (4). Podiatry. (5). Clinical Psychologist. (6). Optometry. (7). Osteopathic Physician and Surgeon. (8). Pharmacy. (9). Physical Therapist (10). Physician and Surgeon. (11). Nursing. (12). Social Worker. (13). Substance Abuse Counselor. (14). Respiratory Care Therapist. (15). Dentistry.

DO I HAVE PARTICIPATE IN THE DOPL INVESTIGATION?
No. You never have to participate in any DOPL investigation. Our Utah and United States Constitutions have a BIG thing called the 5th Amendment. You have a constitutional right to refuse to participate in DOPL investigations where they are investigating for criminal misconduct.
The 5th Amendment is a big deal because in other countries where the rule of law is weak, you are often just beat, or interrogated under duress until you confess to save yourself.

Because our Utah and United States Constitutions are so important, liberty is taken here to recite it and liberty requires a frequent look at the entire 5th

Amendment which reads so beautifully:

U.S. Const. amend. V.
“No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger; nor shall any person be subject for the same offence to be twice put in jeopardy of life or limb; nor shall be compelled in any criminal case to be a witness against himself, nor be deprived of life, liberty, or property, without due process of law; nor shall private property be taken for public use, without just compensation.”

Utah Constitution. Article I, Section 12. [Rights of accused persons.]
In criminal prosecutions the accused shall have the right to appear and defend in person and by counsel, to demand the nature and cause of the accusation, to have a copy thereof, to testify in the accused’s own behalf, to be confronted by the witnesses against the accused, to have compulsory process to compel the attendance of witnesses in the accused’s own behalf, to have a speedy public trial by an impartial jury of the county or district in which the offense is alleged to have been committed, and the right to appeal in all cases. In no instance shall any accused person, before final judgment, be compelled to advance money or fees to secure the rights herein guaranteed. The accused shall not be compelled to give evidence against himself or herself; a person shall not be compelled to testify against the person’s spouse, nor shall any person be twice put in jeopardy for the same offense.

Where the defendant is otherwise entitled to a preliminary examination, the function of that examination is limited to determining whether probable cause exists unless otherwise provided by statute. Nothing in this constitution shall preclude the use of reliable hearsay evidence as defined by statute or rule in whole or in part at any preliminary examination to determine probable cause or at any pretrial proceeding with respect to release of the defendant if appropriate discovery is allowed as defined by statute or rule.

HIRE ATTORNEY JAKE GUNTER FOR THE DOPL INVESTIGATION
Every day Utah DOPL attorney Jake Gunter is defending clients against government investigations for misconduct. When you hire Jake he contacts the DOPL investigator, he meets with you to get the full story and strategizes ways to resolve the DOPL complaint. He has been the distance, start to finish in full licensing board formal trials.

Going in alone to a DOPL investigation or interview is generally a mistake and every word you say will be used against you. More often than not interviewing makes the matter worse, not better. DOPL hires ex-law enforcement often with years of investigation experience. The interviews are recorded and you can be subjecting yourself to criminal charges at the same time.

CONCURRENT CRIMINAL CHARGES
Many times, especially with sexual misconduct allegations there will be a concurrent parallel criminal investigation proceeding at the same time as your DOPL investigation. Be wary—Not just your physician’s license is at-risk, but your liberty and criminal record is at-stake also.

DOPL INVESTIGATION AND DISICPLINARY PROCESS
The DOPL investigation and disciplinary process can be long. It can truncate and end with a stipulated agreement, administrative citation or end after a hearing in front of your particular medical board. See THIS overview of the process directly from DOPL.

Here is a basic overview of the DOPL investigation and disciplinary process:
(1). Complaint. A complaint is filed against your license with DOPL.
(2). Triage Intaking. Initial determination by DOPL of: (a). No violation. (b). Alleged violation does not meet need for DOPL to investigate. (c). Alleged violation does need a DOPL investigation. Informal letters of concern, education interviews and other non-disciplinary measures may be taken by DOPL against the licensing holder short of recorded discipline.
(3). Investigation Begins. If informal measures of re-education or letters of concern are not appropriate, an investigation begins. DOPL Investigations can consist of: interviewing complainants, interviewing witnesses, interviewing involved individuals, obtaining appropriate records or documentation (subpoena), gathering other evidence or obtaining input from applicable experts.
(4). Complaint Goes Formal or Informal Resolution.

Informal:
Administrative Citation. Some minor violations such as practicing without a license, exceeding the scope of a license, and hiring someone who is required to be licensed that is unlicensed are good examples of citable offenses for all professions.
Stipulated Agreement Informal Resolution. A stipulated agreement is a written settlement accepted by all applicable parties with regard to the involved individual’s license. It may include any combination of the same actions that are possible during an informal adjudicative proceeding. A stipulated agreement may also be the result of the voluntary surrender of an individual’s license.

Formal:
Stipulated Agreement. Same as a stipulated informal agreement.
Formal Adjudicative Proceeding. This is like a full blown trial, but instead of a jury, the matter is tried to the respective professional board. So the nursing board would hear nursing complaints, the chiropractic board would hear chiropractor complaints. An administrative law judge is assigned to referee the matter. The ultimate recommendations from the respective professional board can be accepted in whole, in part or rejected by the DOPL director.

APPEAL OF ADMINITRATIVE AGENCY DECISION—JUDICAL REVIEW
Beyond the scope of this blog, you can always appeal the ultimate DOPL agency decision to a sitting District Court or Appellate Court Judge by filing for judicial review. Appeals are always difficult and generally great weight is given to factual determinations given by DOPL. Legal standards are generally reviewed for correctness and incorrect legal standards applied are given no weight on appeal.

TXT/CALL DOPL ATTORNEY JAKE GUNTER (801) 373-6345. FREE CONSULTATION ON HOW TO HANDLE YOUR CASE. HIRE A PROFESSIONAL ADVOCATE TO PROTECT YOUR LICENSE

IMPORTANT DOPL RELATED LAWS AND RULES

Title 58 Occupations and Professions Code. UtahLegislature.org

When accused of misconduct by DOPL it is critical to read your pertinent section of the Title 58 Occupations and Professions code. For example, The Nurse Practice Act at 58-31a-101 describes what nursing misconduct is, what unprofessional conduct is and how the DOPL Nursing Board works. Specifically 58-31B-501 Unlawful and Unprofessional Conduct – Penalties details these matters.

Each profession is outlined in Title 58 and it is a must read.

Utah Office of Administrative Rules. https://adminrules.utah.gov/public/home

Every federal and state governmental agency has administrative rules. Every Utah agency has current agency rules published at “The Utah Office of Administrative Rules.” Administrative rules detail further what the legislative statute calls for.

Example Physicians and Surgeons. Utah Code 58-67-101 details licensing, regulation and disciplining of physicians and surgeons in Utah. Code sections are: Part 3 Licensing. Part 4 License Denial and Discipline. Part 5 Unlawful and Unprofessional Conduct – Penalties. Part 6 Impaired Physician. Part 7 Immunity Provisions and Part 8 Practice Standards. Administrative Rule R156-67. Utah Medical Practice Act Rule further details the statutory scheme in Code 58-67-101. Rule R1567-67-502 specifies what “Unprofessional Conduct” entails.

The Utah Administrative Procedures Act. Utah Code 63G-4-1.
The Utah Administrative Procedures Act is how administrative law is governed in Utah. The Act basically splits administrative discipline measures into (1). Formal and, (2) Informal matters. The more important the right being disciplined the more likely the matter will use formal administrative procedures to address the problem.

R156-46b. Division Utah Administrative Procedures Act Rule is the main administrative rule addressing which matters are formal and which matters are informal.

CRIMINAL HISTORY GUIDELINES
DOPL does a great job of publishing criminal history guidelines that help prospective applicants determine what criminal history will bar them from licensing. These DOPL criminal histories are also helpful for determining how to plea bargain in any pending criminal case where you DOPL license will be revoked because of the criminal plea.

See the DOPL criminal history guidelines HERE: https://dopl.utah.gov/criminal-history-guidelines/

WHAT TO EXPECT WHILE ON DOPL PROBATION
Another great DOPL publication can be found HERE about what to expect while on DOPL probation. You can expect drug and alcohol testing, along with substance abuse and mental health evaluations to be probationary terms. Probation seems to last three years with early termination as possibilities with great compliance.

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