Nursing and the IDFPR: What You Need to KnowPart 2 — What Happens if the IDFPR Files a Complaint Against You

Nurses who are subject to an investigation or facing potential disciplinary action by the Illinois Department of Financial and Professional Regulation (IDFPR) against their license should take that situation seriously. Public disciplinary action imposed by the IDFPR will remain on your permanent record.

Ensuring that your nursing license remains in good standing, and free from public discipline, is very important. After all, this is your livelihood. While no nurse anticipates facing disciplinary proceedings, nurses who are unaware of their legal obligations under the Illinois Nurse Practice Act, or those who are not familiar with the nuances and complexities of navigating through disciplinary proceedings before the IDFPR, put themselves at a greater risk of public disciplinary action being taken against their license.

We will explain some of the most common issues that nurses face in IDFPR license application and disciplinary proceedings in a series of articles that will appear in the Nursing Tidbits newsletter. This is the second article in that series. This article will explain what happens if the IDFPR files a formal complaint against you.

The IDFPR can initiate disciplinary proceedings against a nurse by filing a formal complaint against you. A complaint is a public document filed by the IDFPR that sets forth specific factual allegations of your misconduct and how that alleged misconduct violated the Nurse Practice Act and IDFPR regulations. The complaint also sets forth the specific discipline that the IDFPR seeks to impose on you and your license. We will discuss the types of IDFPR public disciplines and non-public settlement options in a subsequent article in this series.

The filing of a complaint initiates formal disciplinary proceedings against you, and an IDFPR staff attorney will prosecute the complaint. An IDFPR administrative law judge presides over the pre-trial proceedings and the formal hearing. You do not have the right to a jury. Instead, the administrative law judge acts as both the judge and the finder of fact.

You must know and adhere to all of the IDFPR rules of procedure and rules of evidence, otherwise you will be at a great disadvantage. The IDFPR prosecuting attorney is your opponent whose job is to prove that you committed misconduct, violated the law, and should have your license disciplined. The administrative law judge is an impartial arbiter who cannot give you legal advice. Therefore, you need a legal advocate who will fight to protect you and your nursing license.

The IDFPR procedural rules require you to draft and file a formal answer to the IDFPR’s complaint, wherein you must admit or deny each of the facts alleged in the complaint. If you fail to do this by the required deadline, you will be held in default, the allegations of misconduct in the complaint will be deemed to be true, and your nursing license will be disciplined. After you file your answer, the matter will proceed to the discovery phase. You must draft and serve formal discovery disclosures, otherwise you may be barred from presenting any witnesses or documents in your defense at the formal hearing.

Eventually, the matter will be set for a formal hearing, which is a trial. In some instances, it may be possible to resolve the matter through an informal disciplinary conference instead of a formal hearing. We will discuss informal conferences in a subsequent article in this series.

At a formal hearing, the IDFPR prosecuting attorney will put documents into evidence and call witnesses—including you—to testify under oath. The IDFPR prosecutor will raise legal arguments to try to prevent you from admitting documents into evidence and calling witnesses to testify in your defense, and the administrative law judge will rule on any such objections. If you do not have a skilled attorney representing you at the hearing, the prosecutor may be able to use documents and witness testimony that would otherwise

be inadmissible, and you may be barred from using your documents and calling your witnesses to testify if you fail to follow the applicable rules of evidence.

After the formal hearing has concluded, the administrative law judge will issue written findings of fact and conclusions of law, a recommendation for discipline to be imposed on your nursing license, and may also recommend that a fine be assessed against you. Then, this report goes to the Nursing Board for consideration. The Board will issue its written report adopting or modifying these findings and recommendations, and the Board’s report goes to the IDFPR Director for consideration. The Director will issue a final order adopting or modifying these findings and recommendations. If you are dissatisfied with the Director’s order, you can appeal that decision to the circuit court. However, if you fail to raise the proper legal arguments at the formal hearing, you may be barred from presenting all of your defenses on appeal.

It is important to remember that just because the IDFPR files a complaint against you, it does not mean you will ultimately be disciplined or fined. You have the right to present witnesses and documents in your defense, and the ability to challenge the factual findings and legal conclusions of the administrative law judge, Nursing Board, and IDFPR Director. We have successfully defended nurses and convinced the IDFPR to withdraw its complaint without imposing any discipline on the nurse. In other instances where discipline was imposed by the IDFPR, we successfully appealed the Director’s final order to the circuit court and convinced the court to reverse and vacate the discipline that was imposed on the nurse.

No matter what your potential issue may be, it is always best to consult an experienced attorney who

can explain your legal rights and obligations and the challenges you may face at the IDFPR. You should not attempt to navigate this complex process alone, as you will be going up against experienced IDFPR prosecuting attorneys who are not acting in your best interests.

The attorneys at Zimmerman Law Offices are well acquainted with the staff and procedures at the IDFPR, as well as the licensing and regulatory enforcement statutes and rules pertaining to Registered Professional Nurses (RN), Licensed Practical Nurses (LPN), Advanced Practice Nurses (APN), and other licensed professionals in the nursing field. If you are a nursing professional who has questions or needs assistance in obtaining or renewing your license, or defending yourself in an IDFPR investigation or disciplinary proceeding, we are here to help. Obtain a free, confidential consultation today by calling 1-877-440-0020, or by contacting us online.

Check out the Nursing Tidbits newsletter next month for the 3rd installment of this series!

ZIMMERMAN LAW OFFICES, P.C.77 W. Washington St., Suite 1220, Chicago, Illinois 60602

(312) 440-0020 | www.attorneyzim.com