Understanding “Incompetence” Allegations and License Defense

As a licensed professional working for the federal government, allegations of incompetence can threaten your license, your reputation and potentially your career. Next to theft and other forms of criminal misconduct, these are among the more serious allegations you can face, and when facing allegations of incompetence, it is critical to work with an experienced professional license defense lawyer who can help protect you by all means available.

Each licensed profession has its own general definition of competence. Additionally, since licensing is a matter of state law, what it means to provide competent advice or representation can vary from state to state. As a result, developing an informed and effective defense strategy starts with understanding the specific definitions and rules that apply to your individual circumstances.

7 Key Considerations for Licensed Professionals Facing Allegations of Incompetence

With that said, there are some overarching considerations involved in facing incompetence allegations as a licensed professional. For example:

1. The Definition of “Competence” Isn’t Always (or Often) Straightforward

The first thing to understand is that the definition of “competence” isn’t always—or even often—straightforward. Rule 1.1 of the Model Rules of Professional Conduct (MRPC) for lawyers is a good example:

“A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.”

From this definition alone, it is nearly impossible to understand what is (and isn’t) required in terms of competence in any particular set of circumstances. Additionally, while the Comment to Rule 1.1 in the MRPC provides some additional insights, it does not come close to explaining what is (or isn’t) required with any level of specificity. Instead, Rule 1.1 and its Comment provide general guiding principles—and lawyers and bar associations are left to interpret whether the duty of competence has been met in light of the unique circumstances at hand.

It is also important to note that there are often exceptions to licensed professionals’ general duty of competence. For example, the Comment to Rule 1.1 in the MRPC states, “In an emergency, a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily required where referral to or consultation or association with another lawyer would be impractical. . . .” Other professions’ rules are structured similarly, espousing overarching considerations rather than delineating specific requirements that professionals need to meet in order to provide competent advice or representation.

2. The Professional Duty of Competence Requires Different Things in Different Circumstances

The fact that licensed professionals’ duty of competence is not well-defined also means that the professional duty of competence requires different things in different circumstances. While licensed professionals may be able to provide advice on relatively straightforward matters (or on matters with which they have substantial experience) without doing research or consulting with their colleagues, research and consultation may both be necessary in other scenarios. Additionally, in some cases, the duty of competence may require that a licensed professional refer a matter to someone else (whether within their practice or otherwise) if they cannot cultivate the knowledge and insight required in a timely manner.

3. Clients and Patients Don’t Always (or Often) Understand the Meaning of Professional Competence

The complexity of the “competence” concept also means that clients and patients don’t always—or often—have a clear understanding of when incompetence allegations are warranted. Clients and patients frequently allege incompetence without having a clear understanding of this term’s meaning from a professional licensing perspective. Yet, all incompetence allegations need to be taken seriously, and even when these allegations are unfounded, licensed professionals may still have an obligation to report them to their professional licensing associations.

4. Professional Incompetence Allegations Can Range Widely In Terms of Their Severity

Professional incompetence allegations can range widely in terms of their severity. For example, in the medical context, patients or family members may claim incompetence in circumstances ranging from overlooking a minor fracture in an X-ray to making a fatal mistake during surgery. Or, in the accounting context, incompetence allegations may range from failing to claim available tax deductions to submitting fraudulent tax returns to the IRS or submitting false financial statements to the SEC. When facing incompetence allegations, it is important to consider both the underlying circumstances and the outcome (or alleged outcome) when formulating a defense strategy.

5. Professional Incompetence Allegations Can Present Varying Risks

Since professional incompetence allegations can range widely in terms of their severity, they can also present widely disparate risks. Depending on the circumstances, potential outcomes in professional disciplinary proceedings involving incompetence allegations can range from informal reprimands to permanent license revocation. Understanding what is at stake in your case is also essential for taking an informed approach to your defense.

6. Professionals Must Make Their Own Independent and Unbiased Assessment of Competence

In light of everything we’ve discussed thus far, while licensed professionals need to take incompetence allegations seriously, licensed professionals also need to make their own independent and unbiased assessment of competence. While assuming that incompetence allegations are unfounded can be risky, assuming that you made a mistake (or that a mistake rises to the level of incompetence) can have equally adverse consequences.

7. There Are Several Strategies for Defending Against Incompetence Allegations in Professional Licensing Matters

Finally, regardless of the circumstances at hand, you have options available. There are several strategies for defending against incompetence allegations in professional licensing matters. When you engage an experienced professional license defense lawyer to represent you, your lawyer will carefully assess the allegations against you and examine the facts at hand to determine the most strategic approach to your defense.

Schedule a Consultation with a Professional License Defense Lawyer Today

Are you facing incompetence allegations as a federal employee? If so, we can help. To discuss your situation with an experienced professional license defense lawyer at The Law Firm of J.W. Stafford in strict confidence, call us at 410-514-6099 or tell us how we can reach you online today.