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The Adjudication Process

The Adjudication Process. Virginia Department of Health Professions New Board Member Training October 2008. Administrative Proceedings Division. Who We Are Adjudication Specialists Support Staff Director and Deputies. Administrative Proceedings Division. What We Do

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The Adjudication Process

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  1. The Adjudication Process Virginia Department of Health Professions New Board Member Training October 2008

  2. Administrative Proceedings Division • Who We Are • Adjudication Specialists • Support Staff • Director and Deputies

  3. Administrative Proceedings Division • What We Do • Prepare discipline documents • Present cases to Boards • Draft post-hearing documents

  4. Due Process • Fundamental Fairness • Adequate notice • Opportunity to be heard • Administrative Process Act

  5. After Probable Cause is Found • Board Staff sends case to APD • Adjudication Specialist conducts independent review of investigative report

  6. After Probable Cause is Found Possible Outcomes • Return to Board with closure recommendation • Return to Enforcement with request for additional information • Draft requested Notice / Order

  7. Notice of IFC or Formal Hearing • Identify misconduct • Identify specific statute/regulation violated • Inform respondent of rights • Inform respondent of possible outcomes

  8. What is the Standard of Proof? Clear and Convincing Evidence: • Reasonable certainty of the truth of the facts in controversy • Between “probable cause” and “beyond a reasonable doubt”

  9. Who Bears Burden of Proof? • Disciplinary cases • Commonwealth bears burden of proof • Applicant cases • Applicant bears burden of proof of eligibility • Commonwealth bears burden of proof of violations

  10. What to Expect at an IFC • Informal • Not recorded • Not under oath

  11. What to Expect at an IFC • Role of respondent / applicant • Subject’s chance to respond to allegations • May call witnesses • May be represented by counsel • Applicant’s chance to prove eligible for licensure

  12. What to Expect at an IFC • Role of Committee chair and members • Review evidence packet beforehand • Ask questions related to the allegations • Judge credibility of witnesses/evidence

  13. What to Expect at an IFC • APD’s Role • Call witnesses • Ask questions • Assist committee • Note committee’s findings of fact and conclusions of law • Note committee’s decision • Draft Order Does NOT make or influence decision

  14. What to Expect at an IFC • Role of Board Staff • Ask questions • Assist committee with process Does NOT make or influence decision • Explain proceedings to respondent

  15. What to Expect at an IFC • Committee deliberates in closed session • Decide what happened (make findings of fact) • Decide whether respondent violated laws or regulations (determine conclusions of law) • Decide what to do: • Dismiss case • impose sanction

  16. What to Expect at an IFC • Committee announces decision in open session • Announce findings of fact • Announce conclusions of law • State dismissal or sanction

  17. What to Expect at A Formal Hearing • Differences from IFC: • Adversarial • More like court • Witnesses under oath • Court reporter • Opening statements, witnesses, cross examination, closing argument

  18. What to Expect at A Formal Hearing • Similarities with IFC: • Standard of Proof and Burden of Proof are same • Board members may ask questions • Board deliberates in closed session • Board announces findings, conclusions, decision in open session

  19. What to Expect at A Formal Hearing • Role of Board members • Review evidence packet beforehand • Ask questions related to the allegations • Judge credibility of witnesses/evidence • Role of hearing Chair • Rule on motions • Rule on admissibility of evidence • Ensure compliance with due process

  20. What to Expect at A Formal Hearing • Role of APD • Present Commonwealth’s case • Opening statement • Introduce evidence • Direct and cross examination of witnesses • Closing argument • Proposed findings of fact and conclusions of law • Assist Attorney General if prosecuting

  21. What to Expect at A Formal Hearing • Role of Board Counsel • Assist Chair in ruling on motions/evidence • Assist Board with legal issues • Ensure compliance with due process

  22. Post-Hearing Documents • Order • Consent Order • Decision Letter All are public

  23. Appeal of Agency Decision • Circuit Court • Review of record • Constitutional • Agency followed procedures • Substantial evidence • Board Counsel represents Board • Appeal to Court of Appeals

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