Receiving notice of a complaint or investigation from a licensing board is frightening for a professional.
Responding can be challenging because the mere submission of a complaint can trigger a strong emotional response, and the process presents a risk that action adversely affecting the licensee may be taken. This article focuses on understanding the role and processes of licensing boards, which can help manage this challenge.
Professional and trade licenses are valuable. They represent a certification by the State that the person to whom the license is issued has demonstrated minimum levels of competence and potentially expertise in a particular area. It can also represent that the licensee will conform to the standards of conduct and care established for the profession or trade. Obtaining a license requires a substantial investment of time, effort, and money. Return on this investment is realized, in part, through opportunities secured through public confidence in the license.
Most licensing boards have the power to act independently; however, most inquiries from boards begin with a complaint from a member of the public or an employer. Each board must give due process in accordance with the North Carolina Administrative Procedures Act, and each has its own statutory authority given by the North Carolina Legislature as well as rules set out in the North Carolina Administrative Code. Pursuant to these laws and rules, each board has designed its own policies and procedures for investigating and handling complaints.
Although different, the procedures tend to share some features in common. The board's investigation usually will involve gathering information and input from both the complainant and the licensee. Some boards have staff members whose primary responsibility is investigating these matters. After the investigation, boards have the power to dismiss a complaint without taking any action if there is insufficient evidence to support the complaint. When dismissal may not be warranted, boards provide for informal settlement conferences to resolve the complaint short of a formal contested case hearing. Settlement conferences generally provide an opportunity for the licensee to be heard in explanation of what is complained of and provide additional information to assist the Board in its review.
If the issues presented cannot be resolved through settlement, then by law, the boards transition to a formal contested case hearing to receive evidence and testimony from witnesses in the matter. Formal hearings do not occur often; however, they provide an aspect of due process where the licensee and the Board can present their side of the matter in support of their position, and the Board will then issue a Final Decision and Order.
After a board, the Final Decision and Order is issued, a licensee has the right to obtain judicial review of the decision. This review is not a rehearing of the facts but rather an appeal of matters of law. Because the scope of review is limited, a licensee seeking judicial review of a board decision must temper expectations for changing the decision of the board. It is also important to put forth a strong defense during the initial phases of the investigation board.
So, what does all of this mean if you, as a licensee, receive notice from a licensing board that a complaint has been submitted against you or you are under investigation:
- Understand that the board is required to investigate the complaint; try not to take notice personally.
- Treat the notice with an appropriate sense of urgency; respond in a timely manner.
- Gather all of the information needed to respond to the board; keep in mind that the board sees only one side of the story in the complaint.
- Contact an attorney to assist in preparing the response.
- In the response:
- Acknowledge the board's responsibility to the public and profession or trade.
- Address the facts and allegations directly, providing supporting material if helpful.
- Present a tone that is helpful and not argumentative.
- If the complaint is unfounded, explain why and seek dismissal.
- If an error has occurred, accept responsibility, explain how it occurred, and express contrition by committing to the learning gained from the experience.
- Cooperate with the board in both the investigation and resolution of the issues.
- Seek to resolve issues through settlement, if possible.
A professional or trade license is an investment that should be protected. A complaint investigation that questions some aspects of practice can be daunting and scary. Use this guidance if faced with an inquiry from your board and remember it is the responsibility of the licensing board to protect the public you serve. Respond professionally and timely.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
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