Florida Professional Licensing Appeal

FLORIDA PROFESSIONAL LICENSING APPEAL

Comprehensive Practice Guide and Forms

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PART I: OVERVIEW OF FLORIDA PROFESSIONAL LICENSING APPEALS

A. The Florida Administrative Procedure Act Framework

Florida's professional licensing system operates under the Administrative Procedure Act (APA), codified in Chapter 120 of the Florida Statutes. The APA governs how state executive branch agencies conduct business, ensuring fairness and transparency in interactions between the government and Florida's citizens and businesses.

Key Principles

1. Right to Practice: Under Chapter 456, persons desiring to engage in any lawful profession regulated by the department shall be entitled to do so as a matter of right if otherwise qualified
2. Police Power Limitation: Professions shall be regulated only for the preservation of the health, safety, and welfare of the public
3. Due Process Protection: Licensees have the right to notice and opportunity to be heard before adverse action
4. Quasi-Criminal Nature: Disciplinary cases against professional licenses are considered penal in nature, affording Fifth Amendment protections

B. Governing Agencies

Department of Business and Professional Regulation (DBPR)

• Construction Industry Licensing Board (CILB)
• Real Estate Commission
• Electrical Contractors' Licensing Board
• Board of Accountancy
• Board of Architecture and Interior Design

Department of Health (DOH) - Medical Quality Assurance

• Board of Medicine (physicians)
• Board of Nursing
• Board of Pharmacy
• Board of Dentistry
• Board of Psychology
• Board of Physical Therapy Practice
• Board of Chiropractic Medicine

Other Regulatory Bodies

• The Florida Bar (attorneys - Supreme Court jurisdiction)
• Department of Financial Services
• Department of Education (educators)

C. Types of Licensing Actions

Action Type	Description	Typical Grounds
License Denial	Initial application rejected	Failure to meet qualifications, criminal history, fraud in application
Suspension	Temporary removal of practice rights	Pending investigation, violation of terms, failure to comply with orders
Revocation	Permanent removal of license	Serious misconduct, repeated violations, felony conviction
Probation	Conditional practice with restrictions	Minor violations, rehabilitation, monitoring required
Administrative Fine	Monetary penalty	Statutory violations, practice deficiencies
Reprimand	Formal censure on record	Minor misconduct, first offense
Restriction	Limited scope of practice	Competency concerns, specialty limitations
Voluntary Relinquishment	Licensee surrenders license	Settlement alternative, typically with prejudice

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PART II: THE DOAH ADMINISTRATIVE HEARING PROCESS

A. Division of Administrative Hearings (DOAH)

DOAH is Florida's centralized forum for administrative hearings. When agencies and citizens disagree on facts, DOAH provides independent Administrative Law Judges (ALJs) to conduct hearings and make recommendations.

DOAH Contact Information

• Address: The DeSoto Building, 1230 Apalachee Parkway, Tallahassee, FL 32399-3060
• Phone: (850) 488-9675
• Website: www.doah.state.fl.us

B. Formal vs. Informal Hearings

Section 120.57(1) - Formal Hearings (Disputed Facts)

When Required: When the parties disagree on the underlying facts

Characteristics:

• Conducted by an independent ALJ from DOAH
• Resembles a non-jury trial with sworn testimony and evidence
• Florida Rules of Evidence generally apply
• Florida Rules of Civil Procedure discovery available
• Fifth Amendment protections apply (quasi-criminal nature)
• ALJ issues Recommended Order to agency

Process:

1. Petition filed with agency
2. Agency refers to DOAH (typically within 15 days)
3. ALJ assigned; scheduling order issued
4. Discovery conducted (14-day response period)
5. Pre-hearing stipulation/conference
6. Evidentiary hearing (usually 60-90 days after petition)
7. Proposed Recommended Orders filed
8. ALJ issues Recommended Order
9. Exceptions filed (10 days)
10. Agency issues Final Order

Section 120.57(2) - Informal Hearings (No Disputed Facts)

When Appropriate: When the parties agree on the facts but dispute the legal conclusions or penalty

Characteristics:

• Conducted by agency head or designee
• No formal discovery process
• Limited to argument on law and mitigating circumstances
• Equivalent to nolo contendere plea
• Agency issues Final Order directly

Important: By electing informal hearing, you accept all facts alleged and may only present mitigating factors affecting punishment

C. Critical Deadlines Chart

Event	Deadline	Authority
File Petition for Hearing	21 days from receipt of agency decision	Fla. Admin. Code R. 28-106.111
Agency Referral to DOAH	15 days from petition	Fla. Stat. § 120.569(2)(a)
Response to Discovery	14 days (not 30 days as in civil)	Fla. Admin. Code R. 28-106.206
Complete Discovery	5 days before final hearing	Fla. Admin. Code R. 28-106.206
Typical Hearing Date	60-90 days after petition	DOAH practice
File Exceptions to Recommended Order	10 days	Fla. Admin. Code R. 28-106.217
Judicial Review (Notice of Appeal)	30 days from Final Order	Fla. Stat. § 120.68

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PART III: PETITION FOR FORMAL ADMINISTRATIVE HEARING

Form 1: Petition for Formal Administrative Hearing Under Section 120.57(1)

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STATE OF FLORIDA
DIVISION OF ADMINISTRATIVE HEARINGS

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[________________________________],
Petitioner,

v. DOAH Case No.: [________________]
Agency Case No.: [________________]
[________________________________],
Respondent.

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PETITION FOR FORMAL ADMINISTRATIVE HEARING

Petitioner, [________________________________], pursuant to Sections 120.569 and 120.57(1), Florida Statutes, and Rule 28-106.201, Florida Administrative Code, hereby petitions for a formal administrative hearing and states:

I. IDENTIFICATION OF PARTIES

1. Petitioner Information:

Name: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

Facsimile: [________________________________]

License Type: [________________________________]

License Number: [________________________________]

2. Petitioner's Representative (if applicable):

Name: [________________________________]

Florida Bar Number: [________________________________]

Firm Name: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

Facsimile: [________________________________]

Note: All service shall be made to the representative's address during the course of this proceeding.

3. Respondent Agency:

Agency Name: [________________________________]

Agency File/Case Number: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

II. AGENCY ACTION BEING CHALLENGED

4. Petitioner challenges the following agency action:

☐ Denial of License Application

☐ Revocation of License

☐ Suspension of License

☐ Imposition of Administrative Fine

☐ Imposition of Probation

☐ Restriction on License

☐ Reprimand

☐ Other: [________________________________]

5. The agency action is contained in [________________________________] dated [__/__/____], a copy of which is attached hereto as Exhibit A.

III. NOTICE AND TIMELINESS

6. Petitioner received notice of the agency decision on [__/__/____] by:

☐ Certified mail

☐ Personal service

☐ Regular mail

☐ Electronic service

☐ Other: [________________________________]

7. This petition is filed within 21 days of receipt of notice and is therefore timely under Rule 28-106.111, Florida Administrative Code.

IV. SUBSTANTIAL INTERESTS AFFECTED

8. Petitioner's substantial interests are affected by the agency determination as follows:

[________________________________]

[________________________________]

[________________________________]

[________________________________]

Explain how your professional license, livelihood, reputation, and/or property rights are affected by the agency action.

V. DISPUTED ISSUES OF MATERIAL FACT

9. Petitioner disputes the following material facts alleged by the Agency:

Disputed Fact 1:
Agency's Allegation: [________________________________]
Petitioner's Position: [________________________________]
Basis for Dispute: [________________________________]

Disputed Fact 2:
Agency's Allegation: [________________________________]
Petitioner's Position: [________________________________]
Basis for Dispute: [________________________________]

Disputed Fact 3:
Agency's Allegation: [________________________________]
Petitioner's Position: [________________________________]
Basis for Dispute: [________________________________]

Continue as necessary. Attach additional pages if needed.

VI. STATEMENT OF ULTIMATE FACTS

10. The ultimate facts which Petitioner contends warrant reversal or modification of the agency's proposed action are as follows:

a. [________________________________]

b. [________________________________]

c. [________________________________]

d. [________________________________]

e. [________________________________]

VII. STATEMENT OF SPECIFIC STATUTES AND RULES

11. The statutes and rules that Petitioner contends require reversal or modification of the agency action are:

a. [________________________________]

b. [________________________________]

c. [________________________________]

d. [________________________________]

VIII. RELIEF REQUESTED

WHEREFORE, Petitioner respectfully requests that the Division of Administrative Hearings:

a. Schedule a formal evidentiary hearing pursuant to Section 120.57(1), Florida Statutes;

b. Issue a Recommended Order finding that the Agency's proposed action is not supported by competent substantial evidence and/or is contrary to law;

c. Recommend that the Agency:

☐ Grant Petitioner's license application

☐ Reinstate Petitioner's license without conditions

☐ Dismiss the Administrative Complaint

☐ Reduce the proposed penalty to: [________________________________]

☐ Other relief: [________________________________]

d. Award Petitioner reasonable attorney's fees and costs pursuant to Section 120.595, Florida Statutes, if applicable;

e. Grant such other relief as is just and proper.

IX. REQUEST FOR STAY (If Applicable)

☐ Petitioner requests that the Agency stay enforcement of its decision pending the outcome of this proceeding pursuant to Section 120.68(3), Florida Statutes.

Grounds for stay: [________________________________]

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Respectfully submitted,

[________________________________]
Petitioner / Attorney for Petitioner
Florida Bar No.: [________________________________]
Address: [________________________________]
Telephone: [________________________________]
Email: [________________________________]

Date: [__/__/____]

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CERTIFICATE OF SERVICE

I HEREBY CERTIFY that a true and correct copy of the foregoing Petition for Formal Administrative Hearing has been furnished by [☐ U.S. Mail / ☐ Hand Delivery / ☐ Email / ☐ Facsimile] to:

[________________________________]
[________________________________]
[________________________________]

on this [____] day of [________________], 20[____].

[________________________________]
Signature

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PART IV: RESPONSE TO ADMINISTRATIVE COMPLAINT

Form 2: Election of Rights and Response to Administrative Complaint

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STATE OF FLORIDA
[DEPARTMENT OF HEALTH / DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION]

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In Re: License of

[________________________________], Case No.: [________________________________]
Respondent. License No.: [________________________________]

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ELECTION OF RIGHTS AND RESPONSE TO ADMINISTRATIVE COMPLAINT

Respondent, [________________________________], by and through undersigned counsel, hereby responds to the Administrative Complaint filed by the [Department of Health / Department of Business and Professional Regulation] and elects the following:

I. ELECTION OF RIGHTS

Pursuant to Sections 120.569 and 120.57, Florida Statutes, and Rule 28-106.111, Florida Administrative Code, Respondent makes the following election:

☐ OPTION 1: FORMAL HEARING (Section 120.57(1))

Respondent disputes the allegations of material fact contained in the Administrative Complaint and requests a formal hearing before an Administrative Law Judge at the Division of Administrative Hearings. Respondent understands that:

• The Department bears the burden of proving violations by clear and convincing evidence
• Respondent has the right to present evidence and cross-examine witnesses
• An independent ALJ will preside and issue a Recommended Order
• The final decision will be made by the Board/Department

☐ OPTION 2: INFORMAL HEARING (Section 120.57(2))

Respondent does not dispute the material facts alleged in the Administrative Complaint but requests an informal hearing before the Board to present mitigating circumstances regarding the appropriate penalty. Respondent understands that:

• This election constitutes an admission of the facts alleged
• The hearing will be conducted by the Board or its designee
• Respondent may only present evidence in mitigation of penalty
• The Board will determine the final penalty

☐ OPTION 3: WAIVER OF HEARING

Respondent waives the right to any hearing and agrees to accept the penalty recommended by the Prosecution Services Unit in the Administrative Complaint. Respondent understands that this constitutes final agency action.

☐ OPTION 4: SETTLEMENT NEGOTIATIONS

Respondent requests the opportunity to negotiate a settlement (Consent Agreement) with the Department. Respondent understands that:

• Settlement discussions may occur before or during the hearing process
• Any agreement must be approved by the Board
• Failure to reach settlement will result in proceeding to hearing

II. RESPONSE TO ALLEGATIONS

Complete this section if electing Option 1 (Formal Hearing)

Respondent responds to the specific allegations in the Administrative Complaint as follows:

Count I: [________________________________]

☐ Admit ☐ Deny ☐ Deny for Lack of Knowledge

Response: [________________________________]

[________________________________]

Count II: [________________________________]

☐ Admit ☐ Deny ☐ Deny for Lack of Knowledge

Response: [________________________________]

[________________________________]

Count III: [________________________________]

☐ Admit ☐ Deny ☐ Deny for Lack of Knowledge

Response: [________________________________]

[________________________________]

Continue for all counts in the Administrative Complaint

III. AFFIRMATIVE DEFENSES

Respondent asserts the following affirmative defenses:

1. Statute of Limitations: [________________________________]

2. Laches: [________________________________]

3. Due Process Violation: [________________________________]

4. Insufficient Notice: [________________________________]

5. Vagueness of Charges: [________________________________]

6. Other: [________________________________]

IV. DISPUTED ISSUES OF MATERIAL FACT

The following material facts are disputed and require evidentiary resolution:

1. [________________________________]

2. [________________________________]

3. [________________________________]

4. [________________________________]

5. [________________________________]

V. MITIGATING FACTORS

Complete if electing Option 2 (Informal Hearing) or for any hearing

Respondent presents the following mitigating factors for consideration in determining the appropriate penalty:

☐ No prior disciplinary history
☐ Cooperation with investigation
☐ Remedial action taken: [________________________________]
☐ Isolated incident
☐ Hardship to patients/clients if license suspended
☐ Years of unblemished practice: [____] years
☐ Good character evidence available
☐ Rehabilitation completed: [________________________________]
☐ Other: [________________________________]

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Respectfully submitted,

[________________________________]
Respondent / Attorney for Respondent
Florida Bar No.: [________________________________]
Address: [________________________________]
Telephone: [________________________________]
Email: [________________________________]

Date: [__/__/____]

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VERIFICATION

STATE OF FLORIDA
COUNTY OF [________________________________]

Before me, the undersigned notary public, personally appeared [________________________________], who, being duly sworn, deposes and says that he/she has read the foregoing Election of Rights and Response to Administrative Complaint and that the facts stated therein are true and correct to the best of his/her knowledge and belief.

[________________________________]
Respondent Signature

Sworn to and subscribed before me this [____] day of [________________], 20[____].

[________________________________]
Notary Public, State of Florida
My Commission Expires: [________________________________]

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PART V: DISCOVERY PROCEDURES UNDER DOAH RULES

A. Discovery Rights and Limitations

Under Rule 28-106.206, Florida Administrative Code, parties to formal administrative proceedings have the right to obtain discovery as provided in the Florida Rules of Civil Procedure, subject to important modifications:

Available Discovery Methods

☐ Interrogatories - Written questions to opposing party

☐ Requests for Production - Documents and tangible evidence

☐ Requests for Admission - Establish undisputed facts

☐ Depositions - Oral examination under oath

☐ Subpoenas - Compel witness attendance and document production

Critical Differences from Civil Litigation

Civil Court	DOAH Proceeding
30 days to respond to discovery	14 days to respond to discovery
Discovery until trial	Discovery must be complete 5 days before hearing
Months to trial	Hearing typically 60-90 days after petition
Liberal continuances	Continuances disfavored

B. Sample Discovery Requests

Form 3: First Set of Interrogatories to Agency

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STATE OF FLORIDA
DIVISION OF ADMINISTRATIVE HEARINGS

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[________________________________],
Petitioner/Respondent,

v. DOAH Case No.: [________________]

[________________________________],
Respondent/Petitioner.

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FIRST SET OF INTERROGATORIES TO [AGENCY]

Pursuant to Rule 28-106.206, Florida Administrative Code, and Florida Rules of Civil Procedure 1.340, [Petitioner/Respondent] propounds the following interrogatories to be answered under oath within fourteen (14) days:

INTERROGATORY NO. 1: Identify each person with knowledge of the facts alleged in the Administrative Complaint, including their name, address, telephone number, and a summary of their expected testimony.

ANSWER: [________________________________]

INTERROGATORY NO. 2: Identify each document, photograph, recording, or other tangible item the Agency intends to introduce as evidence at the hearing.

ANSWER: [________________________________]

INTERROGATORY NO. 3: State the factual basis for each allegation in the Administrative Complaint, including specific dates, times, locations, and persons involved.

ANSWER: [________________________________]

INTERROGATORY NO. 4: Identify all expert witnesses the Agency intends to call, their qualifications, and the subject matter of their expected testimony.

ANSWER: [________________________________]

INTERROGATORY NO. 5: Describe the investigation conducted by the Agency, including the names of investigators, dates of investigation, and all persons interviewed.

ANSWER: [________________________________]

INTERROGATORY NO. 6: State whether the Agency has entered into any settlement agreements or consent orders with other licensees involving similar allegations, and if so, describe the terms of such agreements.

ANSWER: [________________________________]

INTERROGATORY NO. 7: Identify all statutes, rules, and standards of practice that the Agency contends were violated, and state how each alleged act constitutes a violation.

ANSWER: [________________________________]

INTERROGATORY NO. 8: State the penalty range the Agency is seeking and the basis for the recommended penalty.

ANSWER: [________________________________]

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Respectfully submitted,

[________________________________]
Attorney for [Petitioner/Respondent]
Florida Bar No.: [________________________________]

Date: [__/__/____]

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Form 4: Request for Production of Documents

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REQUEST FOR PRODUCTION OF DOCUMENTS TO [AGENCY]

Pursuant to Rule 28-106.206, Florida Administrative Code, and Florida Rule of Civil Procedure 1.350, [Petitioner/Respondent] requests that the Agency produce the following documents within fourteen (14) days:

REQUEST NO. 1: The complete investigative file, including but not limited to all investigator notes, memoranda, reports, and correspondence.

REQUEST NO. 2: All complaints received by the Agency concerning the Respondent, whether or not they formed the basis of the current Administrative Complaint.

REQUEST NO. 3: All documents, records, and materials reviewed or relied upon by the Agency in making its determination to file the Administrative Complaint.

REQUEST NO. 4: All correspondence between the Agency and any complainant, witness, or other party regarding this matter.

REQUEST NO. 5: All expert reports, opinions, or evaluations obtained by the Agency.

REQUEST NO. 6: All audio or video recordings related to this matter.

REQUEST NO. 7: All documents evidencing the Agency's policies, procedures, or guidelines for determining violations of the type alleged.

REQUEST NO. 8: All disciplinary guidelines, penalty matrices, or similar documents used to determine appropriate penalties.

REQUEST NO. 9: Records of all disciplinary actions taken by the Agency in the past five (5) years involving similar allegations against other licensees.

REQUEST NO. 10: The complete personnel file and licensing file for the Respondent maintained by the Agency.

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Respectfully submitted,

[________________________________]
Attorney for [Petitioner/Respondent]
Florida Bar No.: [________________________________]

Date: [__/__/____]

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C. Subpoenas

Subpoenas in DOAH proceedings may be obtained from the presiding ALJ by:

• Contacting DOAH at (850) 488-9675, extension 111
• Registered e-filers may obtain subpoenas electronically through the DOAH website under the eALJ link
• Subpoenas may compel attendance in the county where the witness resides

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PART VI: BURDEN OF PROOF AND EVIDENCE STANDARDS

A. Burden of Proof in Licensing Cases

Clear and Convincing Evidence Standard

In Florida professional license disciplinary proceedings, the Agency bears the burden of proving violations by clear and convincing evidence. This standard applies to:

• License revocation
• License suspension
• Imposition of administrative fines
• Any penalty affecting existing license rights

Definition of Clear and Convincing Evidence

"That measure or degree of proof which will produce in the mind of the trier of fact a firm belief or conviction as to the truth of the allegations sought to be established."

Slomowitz v. Walker, 429 So. 2d 797, 800 (Fla. 4th DCA 1983)

Comparison of Evidentiary Standards

Standard	Description	Typically Used For
Preponderance of the Evidence	More likely than not (>50%)	Civil cases, license applications
Clear and Convincing Evidence	Firm belief or conviction	Professional discipline, fraud
Beyond a Reasonable Doubt	No reasonable doubt	Criminal cases

License Applications vs. Disciplinary Actions

License Application Denials: Generally, preponderance of the evidence standard applies

Disciplinary Actions Against Existing Licenses: Clear and convincing evidence required

B. Rules of Evidence

Formal Hearings

In formal Section 120.57(1) hearings:

• Florida Rules of Evidence generally apply
• Hearsay may be admitted but cannot form the sole basis for a finding of fact
• Expert testimony may be required for standard of care issues
• Documentary evidence must be properly authenticated

Key Evidentiary Principles

Competent Substantial Evidence: "Such evidence as is sufficiently relevant and material that a reasonable mind would accept it as adequate to support the conclusions reached." DeGroot v. Sheffield, 95 So. 2d 912, 916 (Fla. 1957)

Credibility Determinations: The ALJ has exclusive authority to judge witness credibility, resolve conflicts in testimony, and draw permissible inferences

C. Witness Requirements

Preparing for Hearing

☐ Identify all fact witnesses with relevant knowledge

☐ Identify expert witnesses if standard of care is at issue

☐ Subpoena hostile or unwilling witnesses

☐ Prepare witness outlines and anticipated testimony

☐ Review all documents witnesses may be asked about

☐ Coordinate witness availability with hearing schedule

Expert Witness Considerations

For many professional licensing cases, expert testimony is critical to establish:

• Standard of care in the profession
• Whether the licensee's conduct deviated from that standard
• Whether the deviation caused harm
• What remediation or discipline is appropriate

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PART VII: RECOMMENDED ORDER AND FINAL ORDER

A. The Recommended Order

After the formal hearing, the ALJ issues a Recommended Order containing:

1. Preliminary Statement: Procedural history of the case
2. Findings of Fact: Based on evidence presented at hearing
3. Conclusions of Law: Application of law to facts found
4. Recommendation: Proposed disposition

Agency's Limited Authority to Modify

Under Section 120.57(1)(l), Florida Statutes, the agency's authority to deviate from the Recommended Order is strictly limited:

Findings of Fact:

• Agency may NOT reject or modify findings of fact unless:
• Review of entire record demonstrates findings were not based on competent substantial evidence, OR
• Proceedings did not comply with essential requirements of law
• If ANY competent substantial evidence supports the finding, it cannot be disturbed
• Agency must state with particularity its reasons for rejection

Conclusions of Law:

• Agency may reject or modify conclusions of law over which it has substantive jurisdiction
• Must state with particularity reasons for rejection
• Must find that its substituted conclusion is as or more reasonable than that rejected

B. Exceptions Process

Filing Exceptions

After receiving the Recommended Order, parties have 10 days (not 15 as in some proceedings) to file exceptions.

Content of Exceptions

Exceptions should:

• Identify specific findings or conclusions challenged
• State the basis for the challenge
• Cite to record evidence supporting the exception
• Request specific relief

Form 5: Exceptions to Recommended Order

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STATE OF FLORIDA
[AGENCY NAME]

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In Re: License of

[________________________________], Case No.: [________________________________]
Respondent. DOAH Case No.: [________________________________]

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RESPONDENT'S EXCEPTIONS TO RECOMMENDED ORDER

Respondent, [________________________________], pursuant to Rule 28-106.217, Florida Administrative Code, hereby files the following exceptions to the Recommended Order issued by Administrative Law Judge [________________________________] on [__/__/____]:

EXCEPTION NO. 1

Paragraph Excepted To: Finding of Fact No. [____]

ALJ's Finding: "[________________________________]"

Basis for Exception: The finding is not supported by competent substantial evidence. The record evidence demonstrates: [________________________________]

Record Citations: [Transcript page(s), Exhibit number(s)]

Relief Requested: [________________________________]

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EXCEPTION NO. 2

Paragraph Excepted To: Conclusion of Law No. [____]

ALJ's Conclusion: "[________________________________]"

Basis for Exception: The conclusion constitutes an erroneous interpretation of [statute/rule]. The correct interpretation is: [________________________________]

Legal Authority: [________________________________]

Relief Requested: [________________________________]

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EXCEPTION NO. 3

Paragraph Excepted To: Recommendation regarding penalty

ALJ's Recommendation: "[________________________________]"

Basis for Exception: The recommended penalty is [excessive/inconsistent with disciplinary guidelines/disproportionate]. The appropriate penalty should be: [________________________________]

Supporting Authority: [________________________________]

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WHEREFORE, Respondent respectfully requests that the [Board/Department]:

a. Sustain the exceptions set forth herein;

b. Modify the Recommended Order as requested;

c. Issue a Final Order consistent with these exceptions;

d. Grant such other relief as is just and proper.

Respectfully submitted,

[________________________________]
Attorney for Respondent
Florida Bar No.: [________________________________]

Date: [__/__/____]

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C. Final Order

The Agency (Board or Department) issues the Final Order after considering:

• The Recommended Order
• Any exceptions filed
• Responses to exceptions
• The complete record

The Final Order constitutes final agency action and triggers the right to judicial review.

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PART VIII: JUDICIAL REVIEW - APPEAL TO DISTRICT COURT OF APPEAL

A. Appellate Jurisdiction

Under Section 120.68, Florida Statutes, a party adversely affected by final agency action may seek judicial review in the appropriate District Court of Appeal.

Where to File

• The appellate district where the agency maintains its headquarters, OR
• Where a party resides, OR
• As otherwise provided by law

Most professional licensing appeals are filed in the First District Court of Appeal (Tallahassee) since most regulatory agencies are headquartered there.

B. Appellate Deadlines

Action	Deadline
File Notice of Appeal	30 days from rendition of Final Order
Directions to Clerk	Within 10 days of filing notice
Record on Appeal	Per Florida Rules of Appellate Procedure
Initial Brief	70 days after notice (may be extended)

C. Scope of Judicial Review

The District Court of Appeal's review is limited to the record created during administrative proceedings. The court:

• Does NOT conduct a new trial
• Does NOT substitute its judgment for agency policy discretion
• Reviews whether findings of fact are supported by competent substantial evidence
• Reviews whether the agency correctly interpreted applicable law
• May remand if material procedural or legal error occurred

D. Standards of Review

Issue	Standard
Findings of Fact	Competent substantial evidence
Conclusions of Law	De novo
Agency Interpretation of Own Rules	Clearly erroneous
Penalty	Abuse of discretion

E. Stay of Enforcement

Automatic Stay for License Suspension/Revocation

If the agency decision suspends or revokes a license, supersedeas shall be granted as a matter of right upon reasonable conditions, UNLESS the court determines a stay would constitute a probable danger to health, safety, or welfare of the state.

Form 6: Motion for Stay Pending Appeal

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IN THE DISTRICT COURT OF APPEAL
[FIRST/SECOND/THIRD/FOURTH/FIFTH] DISTRICT
STATE OF FLORIDA

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[________________________________],
Appellant,

v. Case No.: [________________]
L.T. Case No.: [________________]
[________________________________],
Appellee.

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APPELLANT'S MOTION FOR STAY PENDING APPEAL

Appellant, [________________________________], pursuant to Section 120.68(3), Florida Statutes, and Florida Rule of Appellate Procedure 9.310, respectfully moves this Court to stay enforcement of the Final Order pending appeal and states:

I. NATURE OF THE CASE

1. On [__/__/____], the [Agency/Board] entered a Final Order [suspending/revoking] Appellant's [type of license] license.

2. Appellant timely filed a Notice of Appeal on [__/__/____].

3. Appellant seeks a stay of the license [suspension/revocation] pending resolution of this appeal.

II. LEGAL STANDARD

Under Section 120.68(3), Florida Statutes:

"If the agency decision has the effect of suspending or revoking a license, supersedeas shall be granted as a matter of right upon such conditions as are reasonable, unless the court, upon petition of the agency, determines that a supersedeas would constitute a probable danger to the health, safety, or welfare of the state."

III. GROUNDS FOR STAY

4. The Final Order [suspends/revokes] Appellant's professional license.

5. Pursuant to Section 120.68(3), Appellant is entitled to a stay as a matter of right.

6. A stay will not constitute a probable danger to health, safety, or welfare because:

a. [________________________________]

b. [________________________________]

c. [________________________________]

7. Appellant has a substantial likelihood of success on appeal because:

a. [________________________________]

b. [________________________________]

8. Absent a stay, Appellant will suffer irreparable harm including:

a. Loss of livelihood

b. Inability to practice profession during pendency of appeal

c. [________________________________]

IV. PROPOSED CONDITIONS

9. Appellant proposes the following reasonable conditions for the stay:

a. [________________________________]

b. [________________________________]

c. [________________________________]

WHEREFORE, Appellant respectfully requests that this Court:

a. Grant a stay of the Final Order pending appeal;

b. Impose such reasonable conditions as the Court deems appropriate;

c. Grant such other relief as is just and proper.

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Respectfully submitted,

[________________________________]
Attorney for Appellant
Florida Bar No.: [________________________________]

Date: [__/__/____]

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PART IX: LICENSE-SPECIFIC CONSIDERATIONS

A. Medical Professionals (Board of Medicine / Board of Nursing)

Governing Statutes

• Chapter 458 (Medical Practice Act - Physicians)
• Chapter 464 (Nurse Practice Act)
• Chapter 456 (Health Professions General Provisions)

Common Grounds for Discipline

• Standard of care violations
• Prescribing violations (especially controlled substances)
• Sexual misconduct
• Fraud in practice or billing
• Impairment (substance abuse)
• Failure to maintain adequate medical records
• Action taken by another state's licensing authority

Special Considerations

Impairment: The Florida Intervention Project for Nurses (IPN) and Professionals Resource Network (PRN) for physicians provide alternatives to discipline for impaired practitioners

Standard of Care Cases: Expert testimony typically required

Emergency Suspension: DOH may seek emergency suspension under Section 120.60(6) if immediate serious danger to public health, safety, or welfare

Disciplinary Guidelines

• Rule 64B8-8.001 (Board of Medicine)
• Rule 64B9-8.006 (Board of Nursing)

B. Attorneys (The Florida Bar)

Governing Authority

• Rules Regulating The Florida Bar (adopted by Florida Supreme Court)
• Chapter 3 - Discipline
• Rule 3-7 - Procedures

Key Differences from Other Professions

Jurisdiction: Florida Supreme Court, not executive branch agency

Forum: Not DOAH; proceedings conducted under Bar rules

Standard: Clear and convincing evidence

Referee System: Cases heard by referees appointed by Court

Process Overview

1. Complaint filed with The Florida Bar
2. Investigation by Bar Counsel
3. Finding of probable cause by Grievance Committee
4. Formal complaint filed with Supreme Court
5. Referee assigned
6. Evidentiary hearing
7. Referee's Report of Referee to Supreme Court
8. Supreme Court final decision

Penalties

• Admonishment
• Public reprimand
• Probation
• Suspension (up to 3 years)
• Disbarment
• Disciplinary revocation

C. Contractors (Construction Industry Licensing Board)

Governing Statutes

• Chapter 489, Florida Statutes
• Rule Chapter 61G4, Florida Administrative Code

Common Violations

• Abandonment of project
• Diversion of funds
• Failure to properly supervise
• Work outside scope of license
• Failure to obtain permits
• Financial mismanagement
• Code violations

Construction Industries Recovery Fund

• Provides compensation to victims of contractor misconduct
• Claims eligible when CILB disciplinary order includes restitution
• As of July 1, 2024, local registered contractor disciplinary orders with restitution adopted by CILB qualify

License Types

• Certified (statewide practice)
• Registered (local jurisdiction only)

D. Real Estate Professionals

Governing Authority

• Chapter 475, Florida Statutes
• Florida Real Estate Commission (FREC)
• DBPR

Common Violations

• Misrepresentation
• Failure to account for funds
• Unauthorized practice
• License law violations
• Advertising violations

E. Accountants (Board of Accountancy)

Governing Statutes

• Chapter 473, Florida Statutes
• Rule Chapter 61H1, Florida Administrative Code

Common Violations

• Audit failures
• Ethical violations
• Competency issues
• Failure to comply with professional standards

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PART X: SETTLEMENT AND CONSENT AGREEMENTS

A. Overview of Settlement Process

Settlement negotiations may occur at any stage of the disciplinary process:

• Pre-complaint: Before formal charges filed
• Post-complaint, pre-hearing: After Administrative Complaint issued
• During hearing: Even after hearing commenced
• Post-Recommended Order: Before Final Order issued

B. Types of Settlement Agreements

Consent Agreement

A negotiated resolution where the licensee agrees to specified terms, typically including:

• Admission or stipulation of facts (may or may not admit violation)
• Agreed-upon penalty
• Conditions (probation, education, monitoring, etc.)
• No further proceedings on covered allegations

Voluntary Relinquishment

• Licensee surrenders license
• May be with or without prejudice to future application
• Often used when licensee wishes to avoid formal findings
• Board/Department must approve

Deferred Prosecution Agreement

• Used in some circumstances
• Charges held in abeyance pending completion of conditions
• If conditions met, charges dismissed
• If conditions violated, prosecution proceeds

C. Settlement Considerations

Advantages of Settlement

☐ Certainty of outcome
☐ Lower cost than full hearing
☐ Potentially lesser penalty
☐ Faster resolution
☐ May avoid formal findings
☐ Privacy (settlement terms may be less detailed in public record)
☐ Ability to continue practice during process (often)

Disadvantages of Settlement

☐ Admission may be required
☐ Collateral consequences (other states, federal programs, malpractice insurance)
☐ May be reported to National Practitioner Data Bank (healthcare)
☐ Civil litigation implications
☐ Cannot appeal agreed terms

Factors Affecting Settlement Terms

Mitigating Factors:

• No prior discipline
• Cooperation with investigation
• Remedial action taken
• Isolated incident
• Strong practice history
• Community impact if licensed restricted

Aggravating Factors:

• Prior discipline
• Pattern of conduct
• Harm to patients/clients/public
• Dishonesty or cover-up
• Vulnerability of victims
• Financial gain from misconduct

D. Form 7: Settlement Proposal Letter

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[Date]

[Agency Prosecutor Name]
[Prosecution Services Unit]
[Agency Name]
[Address]
[City, State, ZIP]

RE: Settlement Proposal
Case No.: [________________________________]
Licensee: [________________________________]
License No.: [________________________________]

Dear [Prosecutor Name]:

This letter is submitted on behalf of [Licensee Name] to propose a settlement of the above-referenced matter. This proposal is made pursuant to the principles set forth in Section 120.57(4), Florida Statutes, and is submitted for negotiation purposes only.

I. BACKGROUND

[Brief summary of allegations and procedural history]

II. PROPOSED SETTLEMENT TERMS

[Licensee] proposes the following terms for resolution of this matter:

A. Disposition of Charges

☐ [Licensee] will [admit/neither admit nor deny] the allegations in Count(s) [____]

☐ Count(s) [____] will be dismissed

B. Penalty

☐ Reprimand / Letter of Concern

☐ Administrative fine in the amount of $[________]

☐ Costs of investigation and prosecution in the amount of $[________]

☐ Probation for a period of [____] months/years, with the following conditions:

• [________________________________]
• [________________________________]

☐ Continuing education: [____] hours in [________________________________]

☐ Practice restriction: [________________________________]

☐ Suspension for [____] days/months, [☐ stayed / ☐ to be served]

☐ Other: [________________________________]

C. Additional Terms

• [________________________________]
• [________________________________]

III. JUSTIFICATION FOR PROPOSED TERMS

[Explain why proposed terms are appropriate, including:]

A. Mitigating Circumstances:

• [________________________________]
• [________________________________]

B. Consistency with Disciplinary Guidelines:

• [________________________________]

C. Comparable Cases:

• [________________________________]

D. Public Interest Considerations:

• [________________________________]

IV. CONCLUSION

[Licensee] respectfully submits that the proposed settlement terms adequately protect the public while allowing [him/her] to continue practicing [profession] under appropriate conditions. This proposal is submitted in good faith and [Licensee] is prepared to promptly execute a Consent Agreement incorporating these terms.

I am available to discuss this proposal at your earliest convenience. Please contact me at [telephone] or [email].

Respectfully submitted,

[________________________________]
Attorney for [Licensee]
Florida Bar No.: [________________________________]

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E. National Practitioner Data Bank Considerations (Healthcare Licenses)

Healthcare practitioners should be aware that certain disciplinary actions must be reported to the National Practitioner Data Bank (NPDB). Reportable actions generally include:

• License revocation or suspension
• Censure, reprimand, or probation
• Any action that adversely affects clinical privileges for more than 30 days
• Voluntary surrender of license while under investigation

Settlement terms should be carefully evaluated for NPDB reporting implications.

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PART XI: TIMELINE AND DEADLINE MASTER CHART

A. Pre-Hearing Deadlines

Event	Deadline	Rule/Statute
Receive agency notice	Day 0	--
File Election of Rights / Petition	21 days from receipt	R. 28-106.111
Request extension of time (if needed)	Before 21-day deadline	R. 28-106.111(4)
Agency refers to DOAH	15 days from petition	§ 120.569(2)(a)
ALJ assigned	Usually same/next day	DOAH practice
Initial Order / Scheduling Order	Shortly after assignment	R. 28-106.209

B. Discovery Deadlines

Event	Deadline	Rule/Statute
Serve discovery requests	As soon as possible	R. 28-106.206
Respond to discovery	14 days (not 30)	R. 28-106.206
Complete all discovery	5 days before hearing	R. 28-106.206
Motion to compel	Before discovery cutoff	R. 28-106.211

C. Hearing Deadlines

Event	Deadline	Rule/Statute
Typical hearing date	60-90 days after petition	DOAH practice
Pre-hearing stipulation	Per ALJ order	R. 28-106.209
Exchange witness/exhibit lists	Per ALJ order	R. 28-106.209
Motion for continuance	Good cause required	R. 28-106.210

D. Post-Hearing Deadlines

Event	Deadline	Rule/Statute
Transcript filed	Per ALJ order	R. 28-106.215
Proposed Recommended Orders	Per ALJ order (typically 10-30 days)	R. 28-106.215
Recommended Order issued	Per ALJ	R. 28-106.216
File Exceptions	10 days after Recommended Order	R. 28-106.217
Responses to Exceptions	10 days after exceptions	R. 28-106.217
Agency Final Order	After exceptions period	§ 120.57(1)(k)

E. Appellate Deadlines

Event	Deadline	Rule/Statute
Notice of Appeal to DCA	30 days from Final Order	§ 120.68(2)(a)
Directions to Clerk	10 days after notice	Fla. R. App. P. 9.200
Initial Brief	70 days after notice	Fla. R. App. P. 9.110
Answer Brief	20 days after initial brief	Fla. R. App. P. 9.110
Reply Brief	20 days after answer brief	Fla. R. App. P. 9.110

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PART XII: CHECKLISTS

A. Pre-Hearing Checklist

☐ Review agency notice for factual allegations and charges

☐ Calendar 21-day deadline for petition/election of rights

☐ Determine whether formal or informal hearing appropriate

☐ Identify all disputed issues of material fact

☐ Gather relevant documents and records

☐ Identify potential witnesses

☐ Prepare and file timely petition/election of rights

☐ Verify receipt by agency

☐ Monitor for DOAH case assignment

☐ Review Initial Order and comply with all requirements

☐ Begin discovery immediately

☐ Subpoena necessary witnesses and documents

☐ Identify need for expert witnesses

☐ Prepare witness outlines

☐ Comply with pre-hearing stipulation requirements

☐ Prepare exhibits for hearing

☐ File pre-hearing motions as needed

B. Formal Hearing Checklist

☐ Confirm hearing date, time, and location

☐ Confirm all witnesses are available and subpoenaed

☐ Organize exhibits with copies for ALJ, opposing party, and witnesses

☐ Prepare opening statement

☐ Prepare direct examination outlines

☐ Prepare cross-examination questions

☐ Review applicable law and disciplinary guidelines

☐ Bring relevant statutes, rules, and case law

☐ Prepare closing argument outline

☐ Arrange for court reporter if not provided

☐ Review evidence rules and objections

C. Post-Hearing Checklist

☐ Order transcript if taking appeal

☐ Calendar deadline for Proposed Recommended Order

☐ Draft and file Proposed Recommended Order

☐ Review Recommended Order upon receipt

☐ Calendar 10-day deadline for exceptions

☐ Evaluate whether to file exceptions

☐ Draft and file exceptions if warranted

☐ Review any exceptions filed by Agency

☐ File response to Agency exceptions

☐ Monitor for Final Order

☐ Review Final Order upon receipt

☐ Calendar 30-day appellate deadline

☐ Advise client of options

D. Appeal Checklist

☐ File Notice of Appeal within 30 days

☐ File Directions to Clerk within 10 days

☐ Request stay if license suspended/revoked

☐ Monitor preparation of record on appeal

☐ Review record for completeness

☐ Draft and file Initial Brief

☐ Review Answer Brief

☐ Draft and file Reply Brief if warranted

☐ Monitor for oral argument scheduling

☐ Prepare for oral argument

☐ Monitor for opinion

☐ Evaluate further appellate options if adverse ruling

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PART XIII: DEFINITIONS

Administrative Complaint: Formal charging document filed by Agency alleging violations of law

Administrative Law Judge (ALJ): Independent judge at DOAH who conducts formal hearings

Agency: State department, board, or commission with regulatory authority

Clear and Convincing Evidence: Standard of proof in disciplinary cases; produces firm belief or conviction

Competent Substantial Evidence: Evidence sufficiently relevant and material that a reasonable mind would accept it as adequate to support conclusions reached

Consent Agreement: Negotiated settlement between licensee and Agency

DBPR: Department of Business and Professional Regulation

DOAH: Division of Administrative Hearings

DOH: Department of Health

Election of Rights: Form selecting type of hearing after Administrative Complaint

Exceptions: Written objections to ALJ's Recommended Order

Final Order: Agency's final decision constituting final agency action

Formal Hearing: Section 120.57(1) proceeding with disputed facts, heard by ALJ

Informal Hearing: Section 120.57(2) proceeding without disputed facts, heard by Agency

MQA: Medical Quality Assurance (DOH division)

Petition: Document initiating administrative proceeding

Probable Cause: Determination that sufficient evidence exists to warrant formal charges

Recommended Order: ALJ's proposed decision sent to Agency for final action

Respondent: Party against whom charges are filed in disciplinary proceeding

Supersedeas: Stay of enforcement pending appeal

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DISCLAIMER: This template is provided for informational and educational purposes only. Professional licensing matters have serious consequences including loss of livelihood, damage to reputation, and reporting to national databases. The procedures, deadlines, and requirements may change. Always verify current rules and statutes. You must consult with a qualified attorney licensed in Florida who practices administrative law before using any portion of this template. No attorney-client relationship is created by use of this template.

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Template Version 2.0 | Last Updated: 2026-02-04