Frequently Asked Questions (FAQs) About OPD Investigations and Professional License Defense in
New York State

The Office of Professional Discipline (OPD) is a division of the New York State Education Department (NYSED)responsible for investigating and prosecuting complaints against licensed professionals. The OPD enforces professional conduct standards for individuals licensed under the Office of the Professions, including those in healthcare, education, social work, and technical industries.

When a complaint is filed, the OPD has the authority to:

• Investigate allegations of professional misconduct
• Issue subpoenas for records and evidence
• Conduct administrative hearings
• Impose disciplinary actions, including fines, license suspension, and revocation

Any licensed professional can be subject to OPD scrutiny, even if a complaint is unfounded or based on a misunderstanding. This is why legal representation is critical when facing an investigation.

Many different licensed professionals in New York State can face OPD investigations and disciplinary actions. Some of the most commonly investigated fields include:

• Physicians (MDs and DOs)
• Physician Assistants (PAs)
• Registered Nurses (RNs) & Licensed Practical Nurses (LPNs)
• Nurse Practitioners (NPs)
• Pharmacists
• Dentists & Dental Hygienists
• Physical Therapists & Occupational Therapists
• Psychologists & Mental Health Counselors
• Social Workers (LMSWs & LCSWs)

• Licensed Teachers & School Administrators
• School Social Workers & Guidance Counselors
• Speech-Language Pathologists & Audiologists

• Certified Public Accountants (CPAs)
• Real Estate Brokers & Appraisers

• Engineers & Architects
• Land Surveyors
• Interior Designers

Any licensed professional in these industries and beyond can face allegations of misconduct that may result in disciplinary action by the OPD.

While each profession has its own ethical and legal standards, common allegations leading to OPD investigations include:

• Unprofessional conduct (inappropriate behavior, boundary violations)
• Negligence or incompetence (failure to meet professional standards)
• Fraud or false claims (billing fraud, insurance fraud, Medicaid fraud)
• Failure to maintain proper records (errors in patient, client, or business documentation)
• Substance abuse or impairment on duty (working under the influence of drugs or alcohol)
• Confidentiality breaches (violating HIPAA, FERPA, or other privacy regulations)
• Failure to report mandatory incidents (child abuse, elder abuse, or other reportable events)

Even a minor or unintentional violation can result in a full OPD investigation, potentially affecting a professional’s career.

The OPD disciplinary process generally follows these steps:

1. Complaint Filed – A complaint is submitted to the OPD by a client, patient, employer, coworker, or another party.
2. Preliminary Review – OPD determines whether the complaint has merit.
3. Investigation Phase – The OPD collects evidence, requests documents, and may interview witnesses.
4. Formal Charges or Case Closure – If the OPD finds enough evidence, they may file formal charges. If not, they may dismiss the case.
5. Administrative Hearing – If charges are filed, a formal hearing may be scheduled.
6. Final Decision & Disciplinary Action – If found guilty, penalties may range from a fine to license suspension or revocation.

Because an OPD complaint can lead to serious consequences, seeking legal counsel early in the process is essential.

No. If you receive notice of an OPD investigation, do not respond on your own. Many professionals believe they can explain the situation and resolve the issue without legal representation. Unfortunately, anything you say in an OPD inquiry can be used against you.

Before responding to an OPD investigator, consult with an attorney who has experience in professional license defense. A lawyer can help you:

• Understand the nature of the allegations
• Craft a strategic response
• Protect your rights throughout the investigation

Ignoring an OPD complaint or failing to respond correctly can lead to serious disciplinary consequences.

The outcome of an OPD investigation depends on the nature of the allegations and the defense strategy used. Possible outcomes include:

• Case Dismissal – No evidence is found to support the allegations.
• Administrative Warning – A non-disciplinary letter advising the professional to correct an issue.
• Fines or Civil Penalties – The OPD may impose financial penalties.
• Probation or Mandatory Education – The professional may be required to complete additional training.
• License Suspension – Temporary prohibition from practicing.
• License Revocation – Permanent loss of the professional license.

The right legal defense can help mitigate penalties or avoid disciplinary action altogether.

Yes. If you disagree with the OPD’s decision, you may have the right to appeal. Grounds for appeal may include:

• Lack of sufficient evidence
• Procedural errors in the OPD investigation
• Unfair or excessive penalties

Because OPD appeals are complex, legal representation is essential in fighting an unjust disciplinary ruling.

An OPD lawyer in NY can provide legal defense by:

• Advising clients on their rights and obligations
• Responding to OPD inquiries and interviews
• Gathering evidence and witnesses for the defense
• Negotiating with OPD investigators
• Representing professionals at administrative hearings
• Filing appeals when necessary

If you are facing an OPD complaint, investigation, or disciplinary action, consulting a professional license defense attorney can protect your career and livelihood.

If you are a licensed professional in New York State under OPD investigation, legal representation can make a difference.

Contact us today to discuss your case and explore your legal options.