A complaint against your professional license can raise concerns about your reputation, your livelihood and your ability to continue practicing. Filing a complaint does not automatically mean discipline will follow. The exact process depends on which Massachusetts agency oversees your license. Other agencies may follow different rules from the Division of Occupational Licensure, or DOL.
For licenses overseen by DOL, the process usually begins with an investigation and board review. Through its boards, DOL regulates professions that include real estate, public accountancy and plumbing.
What happens during the investigation?
DOL reviews the complaint to see whether your conduct may have broken a law, rule or professional standard. During the investigation, it may:
- Request records, client files or other documents
- Contact witnesses or other involved parties
- Ask for more details about the complaint
If you receive notice of a complaint or a request for a response, read it closely. Identify the allegations, keep relevant records and note any deadline. Response rules can vary by board and stage of the case.
Once the investigation is complete, the appropriate licensing board reviews the findings. It may dismiss the complaint or send it to DOL’s Prosecutions Unit for a formal disciplinary process, called an adjudicatory proceeding.
What if the board pursues disciplinary action?
If the case moves forward, you and the board may reach a consent agreement. It can include agreed terms, such as penalties or limits on your license. Otherwise, you generally have an opportunity for an adjudicatory proceeding.
If a formal case begins, the board may issue an Order to Show Cause. This document explains the charges against you and what action the board is seeking. Under Massachusetts’ standard adjudicatory rules, you generally have 21 days after receiving the order to file an answer. A statute or board rule may set a different deadline. At a hearing, you can respond to the allegations and present evidence.
Understanding what the board must decide
A complaint alone does not mean the board will discipline you. The board must compare the allegations with the laws, rules and standards that apply to your license. Understanding those standards can help you see which facts are likely to matter as the process develops. Legal guidance can help you identify the key issues, respond to the board and follow the rules that apply to your case.
