Criminal Convictions, Formal Discipline, and Potential License Denial

Applicants who were convicted of a crime or formally disciplined by BAR, or another Department of Consumer Affairs entity, may be denied a license in certain circumstances. However, a criminal conviction or formal license discipline does not automatically preclude an applicant from licensure with BAR.

BAR evaluates each applicant on a case-by-case basis to determine if the license should be granted. In making its determination, and pursuant to AB 2138 (Chiu, Chapter 995, Statutes of 2018), BAR considers criteria to determine whether the crime or discipline is substantially related to the qualifications, functions, or duties of a licensee and evaluate the applicant’s rehabilitation and eligibility for licensure.

The following information is intended to provide license applicants general guidance on how criminal convictions and formal license discipline are considered by BAR to determine a license applicant’s eligibility for licensure and the process for license denial.

Criminal Convictions

Definition of Criminal Conviction

(Business and Professions Code sections 7.5 and 480(h))

For purposes of license eligibility, a criminal conviction means a judgment following a plea or verdict of guilty or a plea of nolo contendere or finding of guilt, and the time for appeal of the conviction has elapsed, the judgment of conviction has been affirmed on appeal, or an order granting probation is made suspending the imposition of sentence.

Disclosure of Criminal Conviction Information on the License Application

(Business and Professions Code section 480(f) and (e), Health and Safety Code section 44072.1(f))

Applicants are requested to disclose criminal conviction information on the license application. Knowingly making a false statement of fact regarding criminal conviction history may be grounds for denial of the license application.

Information to be disclosed:

  • A conviction of an offense or plea of nolo contendere in the United States or a foreign country. This includes every citation, infraction, misdemeanor and/or felony, including traffic violations. Convictions that were adjudicated in the juvenile court or convictions two years or older under Health and Safety Code sections 11357(b), (c), (d), (e), or section 11360(b) should not be reported. Convictions that were later dismissed by the court or set aside pursuant to Section 1203.4, 1203.4a, 1203.41, 1203.42, or 1203.425 of the California Penal Code or equivalent non-California law must be disclosed.
  • A conviction that was later dismissed or set aside by the court. This does not include juvenile court adjudications and criminal charges dismissed under Section 1000.3 of the California Penal Code or equivalent non-California laws, or convictions two years or older under California Health and Safety Code sections 11357(b), (c), (d), (e), or section 11360(b).
  • Any criminal action pending against the applicant, or whether the applicant is currently awaiting judgment and sentencing following entry of a plea or jury verdict.

Criminal Conviction Exemptions

(Business and Professions Code section 480(b), (c), and (d))

BAR will not deny a license to an applicant with a criminal conviction if any of the following apply:

  • The applicant obtained a certificate of rehabilitation under chapter 3.5 (commencing with section 4852.01) of title 6 of part 3 of the Penal Code.
  • The applicant was granted clemency or a pardon by a state or federal executive.
  • The applicant made a showing of rehabilitation pursuant to Business and Professions Code section 482.
  • The conviction was dismissed pursuant to Penal Code sections 1203.4, 1203.4a, 1203.41, 1203.42, or 1203.425, or a comparable dismissal or expungement. An applicant who has a conviction that was dismissed pursuant to Penal Code sections 1203.4, 1203.4a, 1203.41, or 1203.42 must provide proof of the dismissal if it is not reflected on the report furnished by the Department of Justice.

BAR also will not deny a license on the basis of an arrest that resulted in a disposition other than a conviction, including an arrest that resulted in an infraction, citation, or a juvenile adjudication.

Formal Discipline

(Business and Professions Code section 480(a)(2))

BAR may deny a license application if the applicant was formally disciplined by a licensing entity in or outside California within the preceding seven years from the date of the application based on professional misconduct that would have been cause for discipline before BAR and that is substantially related to the qualifications, functions, or duties of the business or profession for which the present application is made.

However, BAR will not deny a license based on prior disciplinary action if the basis for that disciplinary action was a conviction that was dismissed pursuant to Penal Code sections 1203.4, 1203.4a, 1203.41, 1203.42, or 1203.425, or a comparable dismissal or expungement.

Substantial Relationship Criteria

(California Code of Regulations section 3395.2)

BAR uses the following criteria to evaluate whether a crime or professional misconduct resulting in formal discipline is substantially related to the qualifications, functions or duties of a licensee.

  1. The nature and gravity of the offense.
  2. The number of years elapsed since the date of the offense.
  3. The nature and duties of a licensee or registrant.

Note: BAR also considers substantial relationship criteria for the purpose of suspension or revocation of a license.

Rehabilitation Criteria

(California Code of Regulations section 3395)

The license applicant is responsible for submitting evidence, if any, to BAR of the applicant’s rehabilitation following a criminal conviction or formal license discipline. BAR uses the following criteria to evaluate the applicant’s rehabilitation and eligibility for licensure.

  1. The nature and gravity of the act(s), professional misconduct, or crime(s) under consideration as grounds for the denial.
  2. Evidence of any act(s), professional misconduct, or crime(s) committed subsequent to the act(s), professional misconduct, or crime(s) under consideration as grounds for the denial.
  3. The time that has elapsed since commission of the act(s), professional misconduct, or crime(s).
  4. Whether the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
  5. Evidence, if any, of rehabilitation submitted by the applicant.

Note: BAR also considers rehabilitation criteria for the purpose of suspension or revocation of a license.

License Denial

BAR may deny a license based on one or more grounds specified in:

If your license is denied, you have the right to appeal and to have an administrative hearing under the provisions of Section 485(b) of the Business and Professions Code. You must submit the appeal in writing to BAR within 60 days from the date of the notice of denial. If you do not submit an appeal in writing to BAR, you will automatically waive your right to a hearing, and your application will be deemed denied.

Should you appeal and the denial is upheld, the earliest date to reapply is one year from the date of service of the notice of denial.

Procedure

(Business and Professions Code sections 480(f)(3), 485, and 486)

If BAR denies an application for licensure, BAR will notify the applicant in writing of the following:

  1. The denial or disqualification of licensure.
  2. Any existing procedure BAR has for the applicant to challenge the decision or to request reconsideration.
  3. That the applicant has the right to appeal the decision.
  4. If applicable, the processes for the applicant to request a copy of their complete conviction history and question the accuracy or completeness of the record pursuant to Penal Code sections 11122 to 11127.

Upon denial of an application for a license, BAR will do either of the following:

  1. File and serve a statement of issues in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
  2. Notify the applicant that the application is denied, stating (1) the reason for the denial, and (2) that the applicant has the right to a hearing under Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code if written request for hearing is made within 60 days after service of the notice of denial. Unless written request for hearing is made within the 60-day period, the applicant’s right to a hearing is deemed waived.

Along with the notice of application denial, the applicant will be provided with the following:

  1. The earliest date on which the applicant may reapply for a license, which will be one year from the date of service of the notice, unless an earlier date or a later date is prescribed by another statute.
  2. Notice that all competent evidence of rehabilitation presented will be considered upon a reapplication.
  3. A copy of the rehabilitation criteria.

Appeals

(Business and Professions Code sections 486, 487, and 488(a))

If a notice of denial is served on the applicant and the applicant submits a timely written request for a hearing, a hearing will be conducted within 90 days from the date the hearing is requested unless the applicant agrees to a postponement or continuance of the hearing. The Office of Administrative Hearings may order, or on a showing of good cause, grant a request for, up to 45 additional days within which to conduct a hearing, except in cases involving alleged examination or licensing fraud, in which cases the period may be up to 180 days. In no case shall more than two such orders be made or requests be granted.

Except as otherwise provided by law, following a hearing, BAR may take any of the following actions:

  1. Grant the license effective upon completion of all licensing requirements by the applicant.
  2. Grant the license effective upon completion of all licensing requirements by the applicant, immediately revoke the license, stay the revocation, and impose probationary conditions on the license, which may include suspension.
  3. Deny the license.
  4. Take other action in relation to denying or granting the license.

BAR will issue a decision following the hearing. If the license is denied, the decision will inform the applicant:

  1. The earliest date on which the applicant may reapply for a license.
  2. Notice that all competent evidence of rehabilitation presented will be considered upon a reapplication.
  3. A copy of the rehabilitation criteria.

AB 2138 Reporting

(Business and Professions Code section 480(g)(3)(A))

As required by AB 2138 (Chiu, Chapter 995, Statutes of 2018), BAR annually reports applicant criminal conviction data. The information is made available to interested parties in the Department of Consumer Affairs Annual Report.