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MAINE DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION

OFFICE OF LICENSING AND REGISTRATION

ADMINISTRATIVE COMPLAINT PROCEDURES

Overview of the Complaint Process

The Office of Licensing and Registration ("OLR") provides administrative and support services to 35 professional and occupational licensing boards, and directly manages 6 additional licensing programs. The purpose of the licensing system is to protect the public against-

  • Dishonest or unethical practitioners, and

  • Practitioners who have fallen below minimum standards of competence in the practice of their profession.

Violators are subject to disciplinary action that can range from a formal warning all the way to revocation of a license.

Disciplinary action is ordinarily handled by the board that licensed the practitioner, and usually in response to a complaint received from a member of the public. OLR maintains an office-wide procedure for receiving complaints, routing them to the proper licensing board for investigation, and tracking their progress. These duties are the responsibility of the OLR complaint clerk. The complaint clerk is also the contact person for forms, assistance and information relating to the complaint process. You can reach the complaint clerk at:

Office of Licensing and Registration
35 State House Station
Augusta, ME 04333-0035
207) 624-8660 (voice)
(207) 624-8637 (fax)
http://www.maineprofessionalreg.org

The balance of this document explains how to file a complaint, how a complaint is handled after it is filed, and how the complainant participates in the investigation and disposition of the complaint.

Filing a Complaint

To file a complaint against a licensee, contact the complaint clerk and request a complaint form. Fill out the form, sign it, and mail it back to the complaint clerk.

Licensure Status of Person Complained Against

A licensing board can only act against a person who is actually licensed by or seeks to be licensed by the board. If the person complained against did not hold and has not applied for a license, the board will usually lack jurisdiction to consider the complaint itself. If the complaint alleges a violation of the board's statute or rules, the board may investigate the matter for possible referral to the Attorney General's office or the appropriate District Attorney.

If the person complained against is indeed licensed by a board (or by one of the programs directly administered by OLR), the complaint is assigned a complaint number and copied to the board's complaint officer and the Assistant Attorney General ("AAG") who represents the board.

(The complaint officer is a member of the board who has been assigned the duty of investigating complaints. After investigating a complaint, the complaint officer, with the assistance of the AAG, presents the complaint to the rest of the board along with a recommendation as to how the board should proceed. The complaint officer's recommendation is not binding on the board, but is usually given great weight. If the matter proceeds to hearing, the complaint officer and the AAG present the state's case to the board. The complaint officer does not participate in the board's deliberations or vote in any matter which he or she has investigated.)

Notice to Complainant

The complaint clerk sends the complainant a written acknowledgement of the complaint. A complainant may expect to be notified of the status of the complaint as it progresses. The complainant may call the complaint clerk at any time for an update, although the board complaint officer or AAG may become the complainant's primary contact as an investigation progresses. If investigation of the complaint requires access to the complainant's health care records, a release form is sent.

Notice to Licensee

The complaint clerk also forwards a copy of the complaint to the licensee, along with a notice that the licensee is under investigation. The licensee is asked to respond to the complaint within thirty days.

Additional Correspondence

When the complaint clerk receives a copy of the licensee's response, a copy is sent to the complainant. The complainant is asked to reply within ten days. The complainant's reply is shared with the licensee. Copies of all correspondence are sent to the board complaint officer.

Additional Investigation

The board complaint officer may investigate the complaint beyond the flow of correspondence to and from the complaint clerk. Some boards also employ or contract with a specialized investigator who reports to the complaint officer. On occasion, a detective from the Attorney General's office is used. The complainant and the licensee may be personally contacted by the complaint officer or other investigator as part of an expanded investigation.

Presentation to the Board

The complaint will be scheduled for presentation to the board when the investigation is complete. How quickly the presentation can be scheduled depends on the complexity of the investigation, the board's overall workload, the number of other pending investigations, and the frequency with which the board meets.

The presentation is made by the board complaint officer in open session at a regular meeting of the board. The OLR complaint officer will notify the complainant and the licensee of the date and time of the meeting. Board meetings generally take place at OLR's offices in Gardiner, Maine.

Recommendation of Complaint Officer

Neither the complainant nor the licensee may address the board at any time during the presentation of the complaint. However, the complaint officer or the AAG may contact the complainant prior to the meeting to discuss the recommendation that the complaint officer intends to present to the board.

The board complaint officer will recommend one of the following courses of action:

  • Dismissal - If there is insufficient evidence to determine whether or not a violation of the board's statute or rules occurred, if the licensee's conduct does not appear to constitute a violation of the board's statute or rules, or if the complaint officer believes that no violation occurred, the board complaint officer may recommend dismissal of the complaint. A dismissal cannot be appealed by the complainant, but a dismissed complaint may be reopened if new evidence is received.

  • Informal Conference - When it appears that a licensee may have violated the board's statute or rules, the board complaint officer may recommend that the board hold an informal conference. If the board accepts this recommendation, the licensee is afforded the opportunity to come before the board informally in an effort to resolve the complaint. The goal of an informal conference is negotiation of a consent agreement with the licensee. (see below) If the informal conference is unsuccessful, the matter may be scheduled for a formal adjudicatory proceeding. (see below)

  • Consent Agreement - If a settlement can be reached which is acceptable to the board, the Attorney General's office and the licensee, the terms of that settlement are set forth in a written consent agreement. A consent agreement may be recommended by the board complaint officer directly, or may be reached during the course of the informal conference described above. A consent agreement should identify any and all violations which occurred, and may be referred to in the future if the licensee commits further violations of the board's statute or rules. Consent agreements are a matter of public record.

  • Formal Adjudicatory Proceeding - If the board complaint officer believes that the licensee violated the board's statute or rules, the complaint officer may request the board to schedule a formal adjudicatory proceeding. The board complaint officer will usually ask the complainant to testify against the licensee at the hearing.

    (An adjudicatory proceeding is a trial-type hearing that is open to the public. The proceeding is commenced by a formal notice containing specific allegations against the licensee. The notice is usually sent at least 30 days prior to the hearing date. The complaint officer is represented by the AAG; the licensee may be represented by private counsel if the licensee so chooses. The board decides the case on the basis of the oral testimony and documentary evidence presented by the complaint officer, the licensee and their witnesses. All witnesses are sworn, and all witnesses are subject to cross-examination. The board deliberates and votes in public at the conclusion of the hearing, and later prepares a written decision. The licensee can appeal the board's decision to Superior Court. The board complaint officer and the complainant have no right to appeal an adverse decision.)

  • Immediate License Suspension - If the board complaint officer believes that the licensee poses a grave and immediate threat to a person's health or physical safety, the board complaint officer may request the board to immediately suspend the license. A summary suspension of this nature is effective for a maximum of thirty days. For this reason, the board will schedule an adjudicatory hearing at the same time that it issues a summary suspension.

As noted above, the board is not bound to accept the recommendation of its complaint officer. Or, the board may request the complaint officer to investigate the matter further and present the complaint again at a later date.

Confidentiality

All complaints, information regarding a complaint, and investigative records are confidential during the pendency of an investigation. Most records become public upon the conclusion of an investigation, unless confidentiality is required by some other provision of law. Health records that contain information personally identifying a licensee's client or patient remain confidential indefinitely. For additional information concerning confidentiality, contact the complaint clerk.

Penalties

A board may impose any of the sanctions listed below. Some of these penalties are subject to limitations set out in the governing law:

  • Issue a warning, censure or remand to a licensee

  • Suspend a license for up to 90 days per violation

  • Impose a civil penalty of up to $1,500 per violation

  • Impose conditions of probation on a licensee.

Some boards are authorized to revoke licenses themselves. The majority of boards cannot exercise this power directly, but can file a lawsuit requesting revocation in Administrative Court.

Recovery of Money Damages

A board cannot order a licensee to pay money damages to a complainant. The primary purpose of the OLR complaint process is to protect the public against dishonest or incompetent practitioners by disciplining violators. The penalties listed above protect the public by punishing the licensee, discouraging future violations by the licensee, rehabilitating the licensee, and promoting compliance by other licensees. The OLR complaint process is not designed to redress violations by the recovery of money damages to compensate persons harmed by the licensee's conduct. This is a function of the courts. A complainant is free to file a civil action against a licensee in addition to filing a complaint with OLR.

Revised August 2000