Complaint Process

Every day the Utah Division of Occupational and Professional Licensing (DOPL) receives complaints regarding the conduct of individuals practicing in regulated occupations and professions. Complaints are received from many sources including the general public, co-workers, licensing board members, professional associations, other state agencies, and federal disciplinary databases.

DOPL is legislatively responsible to investigate acts or practices inconsistent with generally recognized standards of conduct, unlicensed practice in regulated professions or occupations, allegations of gross negligence or incompetence, and patterns of negligence or incompetence. Complaints are confidential in nature and are not generally available to the public. However, in certain situations, the information contained in a complaint may be shared with other governmental agencies, if the other agency demonstrates a legal basis for the sharing of such information. Upon submission, all complaints are entered into an investigative database in order to analyze patterns of behavior. Each complaint is then reviewed by DOPL’s chief investigator or an investigative supervisor who makes one of three initial determinations:

No Violation   (Click for Details)

If it is determined that the complaint does not involve a violation, the complaint is closed and no action is taken. Additionally, no public reporting of the information will occur.

Violation which Does Not Meet Criteria for Investigation   (Click for Details)

When a complaint involves a violation, but does not meet DOPL's criteria for opening an internal investigation, the DOPL may choose to take any or all of the following actions:


• refer the complaint to another local, state, or federal agency
• invite the involved individual(s) to participate in an informal, educational interview
• issue a letter of concern to the involved individual(s)

At times, DOPL is legally unable to investigate or take action on a complaint due to lack of jurisdiction or authority. In other situations, DOPL may determine that the complaint would be better handled by another local, state, or federal agency and will refer the complaint to that agency for further review.

An educational interview provides an opportunity for the respective licensing board and the involved individual to obtain and provide information about the situation. Educational interviews usually occur during a regularly scheduled board meeting.

A letter of concern is a means of informing the individual of the reported allegations, of DOPL's concerns regarding the truth of the allegations, and of the applicable regulations -- without imposing a disciplinary sanction on the individual's license. A letter of concern also offers the individual an opportunity to respond and explain his or her side of the situation.

Educational interviews and letters of concern are non-disciplinary actions and do not affect an individual's professional license. Essentially, these two options are proactive methods of stopping inappropriate activity before public safety is compromised and before action must be taken against the individual's license.

Violation which Does Meet Criteria for Investigation  (Click for Details)

Finally, if a complaint is determined to involve a violation and is within DOPL's jurisdiction, the complaint will be prioritized and assigned to an investigator. Investigators use their experienced judgment and established procedures to determine the type of investigation to conduct. An investigation may include any of the following elements:


• interviewing complainant(s)
• interviewing witness(es)
• interviewing involved individual(s)
• obtaining appropriate records or documentation (subpoena)
• gathering other evidence
• obtaining input from applicable experts
• drafting petitions which include a statement of the allegations
  

At any time, the case may be reviewed by any or all of the following: the Utah Attorney Generals Office, an expert in the respective occupation or profession, DOPL's enforcement counsel, or DOPL's bureau manager responsible for the regulation of the respective occupation or profession. DOPL may also determine that a criminal complaint is warranted and will then notify the appropriate authorities of the situation.

A case is usually resolved in one of two ways:

Administrative Hearings: Similar in some ways to a civil court hearing, administrative hearings allow both sides to present information and testimony regarding the situation. An administrative law judge rules on all evidence, procedures, and legal issues. The respective licensing board receives the submitted evidence and may question all witnesses. DOPL is represented by an assistant attorney general, and the involved individual may be represented by personal legal counsel. Each may present information and evidence in response to the case.

At the conclusion of a hearing, the licensing board considers the evidence and makes a recommendation regarding the status of the individual's license. The recommendation is submitted to the director of DOPL who may accept the entire recommendation or may issue a modified or supplemental order. A recommendation and final order may include any of the following actions or a combination of these actions. All are reportable and public information:


• revocation
• revocation with a stay of enforcement
• indefinite suspension
• indefinite suspension with terms and conditions to be met to lift the suspension
• suspension for a specific period of time
• suspension for a specific period of time followed by a term of probation
• suspension with a stay of enforcement and probation
• probation for a specific period of time with terms and conditions
• probation with restrictions
• restrictions
• public reprimand
• private reprimand

Stipulated Agreements:  A stipulated agreement is a written settlement accepted by all applicable parties with regard to the involved individual's license. No hearing is held for such action, but the final agreement is public and reportable. A stipulated agreement may include any combination of the same actions that are possible during an administrative hearing. However, a stipulated agreement may also be the result of the voluntary surrender of an individual's license. As with an administrative hearing, a stipulated agreement must be approved by the director of DOPL.

Any individual who has action taken against his or her license has certain rights of appeal. Appeals may be made to the Department of Commerce's executive director, the District Court, or the Court of Appeals. (See Utah Code Title 67, Chapter 46b.)

PLEASE NOTE: This information provides only a general overview of the process by which a complaint or other report of unlawful or unprofessional conduct is reviewed by DOPL. The information may be thoroughly reviewed in Title 58 of the Utah Code and Title R156 of the Utah Administrative Code.