Once a complaint has been determined to be within the Council’s jurisdiction, the complainant is notified in writing that the complaint has been opened with an assigned case number, and an investigator pursues the investigation in a manner appropriate to the complaint. The respondent is also provided with written notice of the alleged violation(s), together with a copy of the original complaint and supporting documentation, and requested to respond within 30 days.
The investigatory process begins with an investigator carefully reviewing the complaint and supporting documentation to determine if a potential violation has occurred. If a possible violation is identified, the investigator notifies the licensee of the complaint and the alleged violation(s), requiring a response. After considering the licensee’s response, the investigator assesses whether sufficient evidence exists to support the allegation. If so, the case is forwarded to the Legal Division for further action. If no violations can be substantiated, the complaint may be dismissed, but this decision requires agreement from the investigator, a staff attorney, and the Executive Director.
The Legal Division conducts a thorough review of the complaint and the investigator’s findings. If a potential violation is identified, the matter may be resolved through an Agreed Order or an Informal Settlement Conference (ISC) may be scheduled. An ISC provides an opportunity for both the complainant and the licensee to present their perspectives.
In cases where resolution is not achieved through the ISC, the matter may proceed to a contested case hearing at the State Office of Administrative Hearings (SOAH) before an Administrative Law Judge (ALJ). The ALJ reviews the evidence and issues a proposal for decision, which is subsequently reviewed by the applicable Board and the Executive Council. The final agency order, which may approve or modify the ALJ’s recommendation, concludes the process.
For more information, please view this Flow Chart of the Complaint Process
