When the Justice Center Comes Knocking: A Licensed Professional’s Guide to Fighting Substantiated Findings
For licensed professionals in New York—LMSWs, LCSWs, LMHCs, RNs, NPs, Pas, licensed
psychologists, psychiatrists, and others—working with people with special needs is meaningful and
often demanding. Yet it is precisely this work that brings you under the jurisdiction of the New York
State Justice Center for the Protection of People With Special Needs. And when the Justice
Center issues a substantiated finding of abuse or neglect, the consequences can be careerdefining—especially if your professional license is at stake.
The Justice Center investigates allegations of abuse and neglect across a broad range of provider
agencies. Their description of the investigative process is available here:
https://www.justicecenter.ny.gov/investigations
You may first learn of an issue when an investigation is opened, usually when you are requested or
directed to participate in an investigative interview. Justice Center investigations may be
conducted by the Justice Center itself or, by delegation, by the OPWDD, or the particular employer.
Under most circumstances, you have the right to representation by an attorney through any Justice
Center investigation. Under certain circumstances, you can be compelled, upon threat of
termination from employment, to participate in an investigatory interview. Under other
circumstances, you may have the right to decline an interview without penalty. Whether to
participate in the interview portion of the Justice Center investigation and how to conduct yourself if
you do participate in the interview is an important initial crux of the process, and having the advice
of a skilled and experienced attorney familiar with the Justice Center process is essential, even at
the beginning of the investigative process, to protect your license and preserve your rights.
The Justice Center’s Authority—and Why Its Findings Carry Such Weight
After the investigation is completed, you will likely receive a Letter of Determination, informing you
that an allegation has been either unsubstantiated or substantiated. If an allegation is
substantiated, that letter may reference “Category 1 findings,” “the VPCR,” or the Staff Exclusion
List (SEL). What might have initially seemed like a simple workplace misunderstanding may
suddenly reveal itself to be a legal and professional emergency—one that could impact not only
your employment but the status of your license.
The Justice Center classifies substantiated findings against individuals into Categories 1–3,
explained on the same page. A Category 1 finding can result in permanent placement on the Staff
Exclusion List, effectively barring you from employment in many state-licensed or state-funded
programs. A Category 2 finding results in that information being available to future employers, and
a second Category 2 results in a person being placed on the Staff Exclusion List. Information on the
SEL can be found here:
https://www.justicecenter.ny.gov/staff-exclusion-list
Even lower-level findings like Category 3 violations remain recorded in the Vulnerable Persons
Central Register (VPCR), which employers may access depending on the circumstances.
But the implications go further. Many licensing bodies—such as NYSED’s Office of the Professions,
the Board of Regents, and OASAS—view substantiated findings, regardless of level, as potential
professional misconduct.
This means a single Justice Center finding may trigger two parallel risks: restrictions on where you
can work, and possible disciplinary actions against your professional license. Even if the Office of
the Professions does not independently learn of discipline imposed by the Justice Center on a
licensed professional, in many instances the licensed professional may be required to disclose that
discipline on an application for renewal of an existing license or on an application for a new
category of license (LMSW to LCSW, or RN to NP, for example).
How the Appeal Process Works
The moment you receive a substantiated finding, the appeal clock starts. The Justice Center
outlines your rights and deadlines here:
https://www.justicecenter.ny.gov/administrative-appeals
You generally have 30 days to file a Request for Amendment, challenging the finding or the
category. The Appeals Unit reviews the full investigative record, your submission, and applicable
policies. They must determine whether the finding is supported by a preponderance of the
evidence—a standard explained in their appeals materials.
If the administrative appeal does not overturn or reduce the finding, you can pursue a full
evidentiary hearing before an Administrative Law Judge. Details on hearing procedures, evidence,
and what to expect appear here:
https://www.justicecenter.ny.gov/administrative-appeals-hearings
At a hearing, the Justice Center is represented by counsel, but you also have the right to
representation. You may present witnesses, cross-examine the agency’s witnesses, introduce
documents, challenge investigative flaws, and argue both the merits and the categorization of the
finding.
After the hearing, the ALJ issues a recommended decision, but the Justice Center’s Executive
Director makes the final determination. If the finding is still upheld, professionals sometimes
challenge the result in court through an Article 78 proceeding—a step that requires showing legal or
procedural error.
How Justice Center Findings Interact with Your Professional License
Whether you are a social worker, counselor, nurse, psychologist, or other licensed professional, a
substantiated finding can place you at risk of additional scrutiny from licensing boards. Many
boards view substantiation, especially one involving client harm, safety, or boundary issues, as
grounds for discipline. They may ask for your response to the Justice Center record, open a parallel
investigation, or even commence formal disciplinary action.
This is why early involvement of counsel is so important. Defending against a Justice Center finding
is not simply about clearing your name. It is also about preventing downstream consequences that
can affect your license, your insurance credentialing, your malpractice coverage, your eligibility for
paneling, and your broader professional reputation.
Why It’s Crucial to Fight Back
Many professionals initially believe the Justice Center process is informal or that a straightforward
explanation will resolve the issue. But Justice Center investigations often contain factual gaps,
misapplications of policy, ambiguous interviews, or misunderstandings about clinical judgment
that only come to light during an appeal or hearing.
Challenging a finding isn’t only about avoiding the SEL. It is about preserving your ability to practice,
protecting the license you worked hard to earn, and preventing harmful professional consequences
that can linger for years.
If you have received a Letter of Determination from the Justice Center, time is limited and the risks
are substantial. Our firm is experienced in representing licensed professionals in Justice Center
appeals and in the related licensing matters that often follow. We have been representing
individuals before the Justice Center since its inception in 2013. We understand how to fight the
substantiation, how to challenge the evidence, and how to position you to protect your license and
your future.
If you are facing a Justice Center investigation or substantiated allegation, please reach out. The
earlier your defense begins, the stronger it can be.