Licensing Board Settlement Proposal

LICENSING BOARD SETTLEMENT PROPOSAL

BEFORE THE [STATE] BOARD OF [PROFESSION]

In the Matter of:

[________________________________]
Respondent/Licensee

License Number: [________________________________]

Case/Docket Number: [________________________________]

CONFIDENTIAL SETTLEMENT PROPOSAL

[This proposal is made for settlement purposes only pursuant to [State Evidence Code / Rule] and is not admissible in any proceeding if settlement is not reached.]

SECTION 1: CASE INFORMATION

1.1 Respondent Information

1.2 Legal Representation

1.3 Case Information

SECTION 2: SUMMARY OF ALLEGATIONS

2.1 Charges/Counts

[Summarize the allegations in the Accusation or Complaint]

Count 1: [________________________________]
Alleged Violation: [________________________________]

Count 2: [________________________________]
Alleged Violation: [________________________________]

Count 3: [________________________________]
Alleged Violation: [________________________________]

Count 4: [________________________________]
Alleged Violation: [________________________________]

2.2 Respondent's Position

☐ Respondent denies all allegations
☐ Respondent admits certain allegations
☐ Respondent admits allegations but disputes characterization
☐ Respondent admits violations and accepts responsibility

Brief Statement of Position:
[________________________________]
[________________________________]
[________________________________]
[________________________________]

SECTION 3: BASIS FOR SETTLEMENT

3.1 Reasons Settlement Is Appropriate

☐ Avoidance of costly and time-consuming litigation
☐ Conservation of Board and Respondent resources
☐ Certainty of outcome for all parties
☐ Respondent's acceptance of responsibility
☐ Respondent's demonstrated rehabilitation
☐ Public protection achieved through agreed terms
☐ Precedent supports proposed resolution
☐ Other: [________________________________]

3.2 Factors Favoring Lenient Treatment

Professional Record:

☐ [____] years of practice without prior discipline
☐ Excellent professional reputation
☐ No prior complaints
☐ Positive contributions to profession: [________________________________]
☐ Community service: [________________________________]

Circumstances of Violation:

☐ Isolated incident, not pattern of conduct
☐ No actual harm to patient/client/public
☐ Minimal harm: [________________________________]
☐ Conduct does not reflect current competence
☐ Extenuating circumstances: [________________________________]

Remedial Actions:

☐ Immediate corrective action taken
☐ Additional training completed
☐ Practice changes implemented
☐ Supervision obtained
☐ Treatment completed (if applicable)
☐ Full cooperation with investigation

Personal Circumstances:

☐ Impact on family
☐ Financial hardship
☐ Health considerations
☐ Other: [________________________________]

3.3 Public Protection Analysis

[Explain how proposed settlement adequately protects the public]

[________________________________]
[________________________________]
[________________________________]
[________________________________]

SECTION 4: PROPOSED SETTLEMENT TERMS

4.1 Proposed Disposition of Charges

4.2 Proposed Discipline/Sanction

Primary Sanction:

☐ No Discipline - Dismissal of charges
☐ Private Letter of Concern - Non-disciplinary
☐ Public Reprimand/Censure
☐ Probation - Term: [____] years
☐ Suspension (Stayed) - [____] days/months/years, stayed pending probation
☐ Suspension (Active) - [____] days/months/years
☐ Other: [________________________________]

4.3 Proposed Probation Terms (If Applicable)

Probation Period: [____] years

Standard Conditions:

☐ Obey all laws
☐ Comply with Board orders
☐ Maintain current address with Board
☐ Report any change of employment
☐ Cooperate with probation monitoring
☐ Pay probation monitoring costs

Special Conditions:

☐ Supervision
Duration: [____] months/years
Level: ☐ Direct ☐ Indirect ☐ Periodic review
Supervisor qualifications: [________________________________]

☐ Continuing Education
Hours: [____]
Topics: [________________________________]
Deadline: [__/__/____]

☐ Ethics Course
Hours: [____]
Provider: ☐ Board-approved ☐ Specific: [________________________________]

☐ Practice Restrictions
[________________________________]
[________________________________]

☐ Abstinence from Substances
☐ Alcohol ☐ Controlled substances ☐ Other: [____]
☐ Random testing required

☐ Mental Health Treatment
[________________________________]

☐ Worksite Monitoring
[________________________________]

☐ Community Service
Hours: [____]
Type: [________________________________]

☐ Other Conditions:
[________________________________]
[________________________________]

4.4 Financial Terms

☐ Fine/Administrative Penalty
Amount: $[________]
Payment schedule: [________________________________]

☐ Investigation/Prosecution Costs
Amount: $[________]
Payment schedule: [________________________________]

☐ Restitution
To: [________________________________]
Amount: $[________]

☐ Cost Recovery Waiver
Respondent requests waiver of: [________________________________]

☐ Total Financial Obligation: $[________]

4.5 Reporting

☐ Action to be reported to NPDB
☐ Action to be reported to other state boards
☐ Public disclosure on Board website
☐ Private/non-public resolution

SECTION 5: TERMS OF CONSENT ORDER

5.1 Proposed Consent Order Language

[Draft key provisions to be included in Consent Order]

Findings:

Respondent [admits / does not contest] the following:
[________________________________]
[________________________________]
[________________________________]

Order:

IT IS HEREBY ORDERED that:

1. Respondent's license is [continued / placed on probation / suspended / etc.] under the following terms and conditions:

[________________________________]
[________________________________]
[________________________________]

2. Respondent shall pay a fine of $[________] within [____] days.

3. Respondent shall complete [____] hours of continuing education in [topic] within [timeframe].

4. [Additional terms]

5. This order shall take effect upon adoption by the Board.

5.2 Waiver Provisions

Respondent understands and agrees:

☐ This settlement is voluntary
☐ Respondent has been advised of the right to a hearing
☐ Respondent waives the right to a hearing on admitted/not contested matters
☐ Respondent waives the right to appeal the Consent Order
☐ Respondent understands the Consent Order will be public record
☐ Respondent understands action will be reported as required by law

5.3 Confidentiality

☐ Settlement negotiations are confidential
☐ If settlement is not reached, proposal is not admissible
☐ Terms of final Consent Order will be public

SECTION 6: SUPPORTING INFORMATION

6.1 Relevant Precedent

[Cite similar cases with comparable outcomes to support proposed settlement]

6.2 Board Disciplinary Guidelines

[Reference applicable disciplinary guidelines and how proposal aligns]

[________________________________]
[________________________________]
[________________________________]

6.3 Supporting Documentation

SECTION 7: CHARACTER EVIDENCE

7.1 Character References

7.2 Professional Endorsements

SECTION 8: NEGOTIATION PARAMETERS

8.1 Settlement Range

Proposed Terms (Above): Respondent's initial proposal

Acceptable Range:

8.2 Non-Negotiable Items

☐ No revocation
☐ No active suspension
☐ No practice restrictions beyond: [________________________________]
☐ Other: [________________________________]

8.3 Conditions for Acceptance

Respondent is prepared to accept settlement if:
[________________________________]
[________________________________]
[________________________________]

SECTION 9: PROCEDURE

9.1 Settlement Conference Request

☐ Respondent requests an informal settlement conference
☐ Respondent requests telephone/video settlement discussion
☐ Respondent proposes written negotiation only

Respondent's availability:
[________________________________]

9.2 Authority to Settle

☐ Respondent has full authority to accept reasonable settlement terms
☐ Counsel has authority to negotiate within parameters above
☐ Any agreement subject to Respondent's final approval

9.3 Timeline

Respondent proposes the following settlement timeline:

SECTION 10: CONCLUSION

10.1 Summary of Proposal

Respondent proposes to resolve this matter through a Consent Order that:

1. [________________________________]
2. [________________________________]
3. [________________________________]
4. [________________________________]
5. [________________________________]

10.2 Benefits to Board

☐ Conserves Board resources
☐ Provides certain resolution
☐ Achieves public protection goals
☐ Sets appropriate precedent
☐ Ensures Respondent accountability

10.3 Commitment

Respondent is committed to:
☐ Full compliance with any settlement terms
☐ Maintaining highest professional standards
☐ Continued service to the public
☐ Cooperation with Board monitoring

SECTION 11: SIGNATURE AND AUTHORIZATION

I, [________________________________], authorize my attorney to submit this settlement proposal on my behalf. I understand this proposal is confidential and for settlement purposes only. I am prepared to enter into a Consent Order on substantially these terms, subject to final review.

_________________________________
Respondent Signature

_________________________________
Printed Name

Date: [__/__/____]

ATTORNEY CERTIFICATION

I certify that I am authorized to submit this proposal on behalf of Respondent and to negotiate within the parameters described herein.

_________________________________
Attorney Signature

_________________________________
Printed Name and Bar Number

Date: [__/__/____]

TRANSMITTAL

TO: [Prosecutor/Board Counsel Name]
[Title]
[Board Name]
[Address]
[City, State, ZIP]
[Email]

FROM: [Attorney Name]
Counsel for Respondent

DATE: [__/__/____]

RE: Settlement Proposal - Case No. [________________________________]

Dear [Prosecutor Name]:

Please find enclosed Respondent's settlement proposal in the above-captioned matter. We believe this proposal represents a fair resolution that protects the public while recognizing the unique circumstances of this case.

We are available to discuss this proposal at your convenience. Please contact me at [phone] or [email] to schedule a settlement conference.

Thank you for your consideration.

Respectfully,

_________________________________
[Attorney Name]
Counsel for Respondent

IMPORTANT NOTES

Settlement Negotiation Principles

1. Confidentiality: Settlement proposals are typically confidential and inadmissible if settlement fails. Verify rules in your jurisdiction.

2. Authority: Ensure the prosecutor has authority to negotiate or identify who does.

3. Board Approval: Most consent orders require approval by the full Board.

4. Timing: Settlement may be possible at any stage, but earlier is often better.

5. Documentation: Keep records of all settlement communications.

Factors Boards Consider

• Severity of violation
• Harm or potential harm to public
• Prior disciplinary history
• Rehabilitation efforts
• Cooperation with investigation
• Precedent in similar cases
• Deterrent effect
• Public protection

Consent Order Process

1. Negotiation with prosecutor
2. Draft consent order prepared
3. Respondent reviews and signs
4. Prosecutor presents to Board
5. Board approves, modifies, or rejects
6. If approved, order becomes final
7. If rejected, parties may renegotiate or proceed to hearing

SOURCES AND REFERENCES

• State Administrative Procedure Acts
• Professional Licensing Board Disciplinary Guidelines
• Settlement and Consent Order Procedures
• Iowa Administrative Code Rule 193-7.42
• USLegal Definition of Consent Order
• Board-Specific Settlement Policies

This template is intended to assist in preparing settlement proposals for licensing board disciplinary matters. Settlement negotiations require careful legal strategy. Consultation with an attorney experienced in professional licensing defense is strongly recommended before submitting any settlement proposal.