Enforcement Complaint Process

STEP 1 – INTAKE AND REVIEW

COMPLAINT INTAKE: The complaint is filed using OPLC’s electronic filing system. 

LEGAL REVIEW: An Attorney compares the conduct reported in the complaint to the law to determine if it could be a violation of the statutes and rules against professional misconduct. 

A.    If the Attorney reviewer determines that the behavior detailed in the complaint would not amount to professional misconduct, the reviewer will send a RECOMMENDATION for dismissal to the Board. 

                   i.    If the Board AGREES with recommendation, the process ends here. 
                   ii.    If the Board DENIES recommendation, proceed to STEP 2.

OR

B.    If the Attorney reviewer determines that the complaint could be professional misconduct, and doing so would not put the complainant at risk of retaliation, the Attorney reviewer will send the licensee a request for a response to the complaint. Depending on the nature of the response, the reviewer may:

                    i.    Forward the complaint and the response directly to the Board with a recommendation to dismiss (see above)
                        a)    If the Board AGREES with recommendation, the process ends here. 
                        b)    If the Board DENIES recommendation, proceed to STEP 2.

                   OR

                    ii.    Recommend INVESTIGATION, proceed to STEP 2. 

OR

C.    If the complaint alleges unlicensed practice, the Attorney reviewer may forward the complaint to Attorney General’s Office for criminal prosecution.  

STEP 2 – INVESTIGATION

CASE ASSIGNMENT: Cases are assigned in order of priority based first on matters of public safety and second under the order in which they are received. 

GATHERING INFORMATION: The investigator will subpoena documents and interview witnesses regarding the conduct described within the complaint. If case requires expert review, the investigator will request that a recused board member review the case. Investigators may also consult with an impartial outside contractor.

REPORT OF INVESTIGATION TO THE BOARD: The investigator will submit a written report to the board of the data gathered as a result of the investigation.  The investigator will provide a recommendation to the board as to whether there is a reasonable basis to proceed with a disciplinary proceeding.  The board may: 

A.    Dismiss the complaint

OR

B.    Dismiss the complaint with a confidential letter of concern to the licensee

OR

C.    Request that the matter be forwarded to adjudication (prosecution) for disciplinary proceedings. 

STEP 3 – ADJUDICATION
    
HEARING DATE IS SET: The hearings department within the OPLC sends notice to both the prosecution department within the Division of Enforcement as well as the licensee of the date of the first public hearing.  This matter is put on the public agenda, found here.  The licensee may choose to represent themselves or be represented by an attorney.

SETTLEMENT DISCUSSIONS: The prosecutor will talk with the licensee or their attorney to discuss a potential agreement regarding discipline.  If the parties agree, the prosecutor will notify the complainant of the settlement and send it to the board for approval. 

 A.    If the Board AGREES with recommendation, the process ends here. 
 B.    If the Board DENIES recommendation, the matter proceeds to a Disciplinary Hearing.

DISCIPLINARY HEARING:

A.    Prosecution presents witnesses and evidence before the Board to prove the conduct alleged in the initial complaint. 
B.    Licensee may respond or present witnesses or evidence before the Board to defend their conduct. 

                i.    The Board and Presiding Officer may find the licensee committed professional misconduct and determine the proper sanction.

                ii.    The Board and Presiding Officer may find the licensee did not commit professional misconduct and dismiss the complaint.