Riley Bennett Egloff Magazine April 2018 | Page 10

YOU RECEIVED A CONSUMER
COMPLAINT FROM THE OFFICE OF
THE INDIANA ATTORNEY GENERAL,
NOW WHAT?
By: Drake T. Land
T
he Indiana Professional Licensing Agency (“IPLA”) regulates 40 licensed professions in the State of
Indiana, everything from auctioneers to funeral directors. Within that wide group are twenty (20) boards
and committees regulating a variety of licensed medical and healthcare professionals. All licensed professionals
in Indiana are subject to the rules of the board or committee that issued their license. IPLA is charged with
disciplining licensed professionals who are found to have violated the rules, statutes, and/or standards of practice
governing their specifi c profession.
When an individual suspects a license holder has acted unethically, dishonestly, or otherwise violated rules or
practice standards, that individual may fi le a “Consumer Complaint” with IPLA or the Offi ce of the Indiana
Attorney General (“OAG”). Regardless of where the Consumer Complaint is fi led, it will be directed to the
OAG for investigation. If the facts of the Consumer Complaint do not grant the OAG jurisdiction to investigate
(for example, if a Consumer Complaint is made against a hospital, facility, or certifi ed professional rather than
a license holder), or the facts cannot support a violation even if taken as true, the Consumer Complaint will be
closed without investigation and typically without notice to the subject of the Consumer Complaint. In all other
cases, the Consumer Complaint will be assigned to a case analyst and/or Deputy Attorney General (“DAG”) for
investigation. The OAG, in a prosecutorial role, will investigate the claims and determine whether suffi cient
information exists to justify fi ling an administrative complaint with the appropriate licensing board or committee.
Of note, the OAG review is not limited to only the allegations of the Consumer Complaint. The OAG may fi le
charges against a professional’s license based on any information obtained in the course of the investigation.
Once an investigation is opened, a copy of the Consumer Complaint is sent to the license holder with an opening
letter explaining the investigative process. The license holder then has twenty (20) days to submit a response and
any supporting documents. At the conclusion of the investigation, the OAG will determine whether to: (1) close
the fi le; (2) close the fi le with a warning to the license holder stating their conduct may have fallen below the
standards of practice but no charges will be fi led due to untimeliness or other reasons; or (3) charge the license
holder by fi ling an administrative complaint.
What immediate steps should you take if you receive a Consumer Complaint
letter from the OAG?
1 . Evaluate whether you will respond to the request directly or retain legal counsel to
assist with your response.
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Riley Bennett Egloff LLP - April 2018