Convictions and Licensure Reporting for California Healthcare Professionals

In California, a criminal case rarely ends at sentencing for licensed healthcare professionals such as physicians and nurses. Instead, it often triggers a parallel regulatory and administrative process that can be equally consequential involving an investigation and discipline by a respective licensing board. Understanding the timelines and mandatory reporting requirements is critical to preventing additional disciplinary actions taken by a licensing board or authority.

Any conviction, even by means of a no contest plea, for criminal conduct that is “substantially related” to the qualifications, functions, or duties of the medical profession constitutes unprofessional conduct under California law. It is critical to understand a licensee’s independent obligation to report the conviction. Failure to report is itself a separate violation that can compound disciplinary exposure.

It is essential to know your rights and options.

Business and Professions Code § 2236

A conviction of any offense “substantially related” to the qualifications, functions, or duties of a physician or surgeon constitutes unprofessional conduct. This applies to both misdemeanor and felony convictions with no distinction.

Under this statutory provision, the prosecuting agency such as the District Attorney or the City Attorney is a mandated reporter to the Division of Medical Quality of any pending action against a physician when it learns that a defendant is a medical licensee. The report is not only to confirm the existence of a pending criminal matter. It goes much further. The prosecuting agency further describes the crimes charged and the facts that are alleged. This practically gives the prosecuting agency an unfettered opportunity to frame any alleged conduct first.

It is therefore critical to immediately consult with an attorney about confronting any criminal charges with a licensing board first, prior to the prosecuting agency doing so, and comply with the medical professional’s requirements under Business and Professions Code § 802.1.

Business and Professions Code § 802.1

This is a mandatory reporting provision that strictly applies to:

• Physicians and Surgeons (MD)
• Osteopathic Physicians and Surgeons (DO)
• Physician assistants (PA)
• Podiatrists (and similarly situated licensees)

Its key requirements are:

• Mandatory written report to the licensing board
• Must be done within 30 days of the “bringing” of an indictment or felony, OR, within 30 days of conviction.

It is important to note that prosecuting agencies, especially in the San Francisco Bay Area including major cities, like Marin, San Francisco, San Mateo, and San Jose (Santa Clara), often and in most cases initiate charges with what is known as a “complaint.” A complaint is different from an indictment or information. Therefore, this 30-day requirement is triggered if a licensee is charged by a Grand Jury in an indictment, or after a preliminary hearing when the information is filed.

Failure to report will result in a separate public offense punishable by a fine not to exceed $5000. In addition to the fine, however, it is one more offense that the licensee must now address with the licensing board in addition to the criminal charge or conviction. The compounding of offenses is detrimental, and therefore reporting of any charge must be confronted in a thoughtful and strategic manner.

Even if you have been arrested but not charged, it is important as a licensee to consult with an attorney. Early planning is critical and can be beneficial. It is important that medical professionals do not assume that minor offenses such as driving under the influence (DUI) or petty theft are irrelevant.  Board have and continue to pursue disciplinary actions for these offenses.

Other Licensed Healthcare and Licensed Professionals

Nurses, Nurse Practitioners, Psychologists, Therapists, Pharmacists, and Dentists are not relieved of mandatory reporting requirements. Indeed most licensees in the State of California will fall under the provisions of Business and Professions Code §§ 480 and 490, allowing denial or suspension of licenses for convictions substantially related to practice.

The California Department of Consumer Affairs (DCA) is comprised of 36 different licensing boards, committees, and programs. It is responsible for overseeing the licensing of healthcare professionals in the state and enforcing the rules that govern them, among many other professions. The California Legislature created these boards to ensure providers meet high standards and to protect the public. One of the available tools for any licensing board is the provisions of § 490 of the Business and Professions Code to suspend, revoke, or otherwise take action against a licensee.

Unfortunately for many medical license holders, the completion of a diversion program does not automatically exempt them from the reporting requirements.  Bus. and Prof. Code § 492.

What Are the Potential Disciplinary Consequences?

Reporting is the first step and it should be done with guidance of counsel. Potential outcomes that flow from that inevitable reporting may include:

• Citation and fine
• Public reprimand
• Probation (with terms such as monitoring, therapy, or restrictions)
• Suspension or revocation of license

Importantly, discipline is not strictly tied to severity of the offense. Boards often evaluate the risk to public safety, not just criminal culpability, as they are responsible for consumer and public safety.

Failure to Report

Failure to report and provide documentation often escalates the board’s investigation. Worst, it can destroy one’s credibility with the board and often that damage is irreversible. Boards may even treat nondisclosure as dishonesty, which is often viewed as more serious than the underlying conduct. Reporting is mandatory so it is best to consult an attorney on the best strategy to do so, especially where framing the narrative matters and a licensee has shown insight, reflection, remorse, and rehabilitation following the conduct.

A criminal defense attorney who also understands professional licensing consequences can be exceptionally helpful. This impacts how to structure plea negotiations to minimize the impact; avoid criminal admissions that may trigger discipline; and anticipate reporting obligations before conviction. It is important that a criminal defense attorney understands what the record says.

Coordinating criminal and licensing strategy early is one of the best ways to get ahead of professional misconduct issues lurking in the background. Never ignore these reporting obligations.

George Tran

George Tran is an experienced trial lawyer with a proven record of success in high-stakes litigation and government investigations. As a former prosecutor with the U.S. Department of Justice and Santa Clara County District Attorney’s Office, he has led scores of complex criminal investigations into fraud, embezzlement, money laundering, tax evasion, and public corruption. He has tried over 30 cases to verdict in federal and state courts across the country and brings substantial experience navigating courtroom proceedings. Learn more here.