The Regulatory Programs and Compliance section reviews consumer reports against licensees to determine whether DPOR is authorized to process the complaint. DPOR only processes reports against individuals or businesses that are subject to the laws or regulations of its regulatory boards.
DPOR and its regulatory boards CANNOT require any individual or business to refund money, correct deficiencies, or provide other personal remedies. In some cases, private legal action may be your only recourse to resolve a matter. DPOR cannot provide legal advice.
Regulatory Programs and Compliance Section Department of Professional and Occupational Regulation9960 Mayland Drive, Suite 400Richmond, Virginia 23233-1463
Phone: (804) 367-8504FAX: (866) 282-3932Email: ComplaintAnalysis@dpor.virginia.gov
Complaint Analysis & Resolution | Investigations | Adjudication | Alternative Dispute Resolution | Consent Order | Final Order
The Complaint Analysis & Resolution section is responsible for the receipt, processing, and analysis of all reports against licensees subject to DPOR's boards. After review, this section may close the file, investigate the allegation, obtain compliance or resolve the matter by a consent order, or refer the case to Alternative Dispute Resolution or Investigations for further action.
The Investigations section is responsible for obtaining evidence regarding reports against licensees and determining whether that evidence indicates a probable violation of Board regulations or laws. Investigators prepare a Report of Findings, which outlines the facts in support of probable violation(s) of Board regulations or laws.
Investigators also enforce the criminal laws under DPOR's jurisdiction, including practicing without a required license and filing a false or fraudulent application for licensure or registration. This section conducts other special investigations involving potential public harm and provides assistance and support to law enforcement and government agencies.
The Adjudication section reviews files referred from Complaint Analysis & Resolution or Investigations indicating a probable violation of Board regulations or laws. This section conducts Informal Fact-Finding (IFF) Conferences, the due process administrative proceedings used to gather information Boards must use in determining any disciplinary action. At the IFF Conference, the complainant and respondent (licensee) are given the opportunity to present information before a presiding officer/Board member. After the IFF Conference, the presiding officer makes a recommendation as to what sanctions, if any, the Board should impose for any violations of law or regulations. The IFF recommendation and entire case file is then reviewed by the full Board at its next regularly scheduled meeting, where the Board votes on whether to accept, amend, or reject the IFF recommendation.
In some instances, DPOR may offer Alternative Dispute Resolution (ADR) to resolve a report against a licensee. A form of mediation, ADR is free, voluntary, confidential, and non-adversarial, with the objective of reaching a mutually acceptable agreement between the consumer and the licensee. Parties that resolve disputes through ADR avoid months of a formal investigation and possible civil litigation. If the dispute cannot be resolved through the ADR process, the file will be assigned to Investigations and follow the traditional disciplinary process. Learn more about ADR here.
Following an investigation in which the evidence supports a probable violation, DPOR may offer a licensee the opportunity to enter into a voluntary consent order with the Board. Consent orders may impose sanctions such as remedial education or monetary penalties, and the licensee waives the right to an IFF Conference and any appeals under the Administrative Process Act. The Board must agree to accept the terms of any consent order at a regularly scheduled public meeting. If the Board ratifies the consent order, the file is closed without disciplinary action beyond the terms agreed to by the licensee. Consent orders are subject to public disclosure.
After the Investigations and Adjudication steps--and absent any Alternative Dispute Resolution or Consent Order--the investigative file is forwarded to the Board for action at a regularly scheduled public meeting. The case file is reviewed by the full Board at its next regularly scheduled meeting, where the Board votes on whether a violation occurred and, if so, what sanctions (if any) to impose. Final Orders do not require the agreement of the complainant or respondent.
Time for Filing | What Happens When You File | Reporting Form & Instructions
Any report against a regulant for allegedly violating board statutes or regulations, in order to be investigated, must be made in writing and received by the Department of Professional and Occupational Regulation (DPOR) within three years of the act, omission, or occurrence giving rise to the alleged violation.
In cases where a regulant has materially and willfully misrepresented any information required by statute or regulations to be disclosed to a complainant, and the information so misrepresented is material to the establishment of the alleged violation, the filing may be made at any time within two years after discovery of the misrepresentation.
The report will be reviewed to determine whether a violation of board laws or regulations may have occurred. If the evidence suggests a probable violation of a law or board regulation, the Regulatory Programs and Compliance Section will attempt to resolve the issue informally or investigate further. You may be asked to provide additional information.
If an investigation support probable cause that a violation occurred, the appropriate regulatory board may take disciplinary action to require remedial education, impose a fine, suspend or revoke the license, or fail to renew a license. If an investigation indicates the individual or business is not properly licensed, DPOR may take criminal action. You may be asked to appear at a disciplinary proceeding or in court to provide testimony for the case.
If the investigation does not show probable cause that a violation occurred, the case will be closed.
In some instances, the Department may offer Alternative Dispute Resolution regarding reports against licensees. A regulatory board CANNOT require any individual or business to refund money, correct deficiencies, or provide other personal remedies. In some cases, a legal action may be your only recourse to resolve a matter. The Department cannot provide legal advice.
DPOR considers all complaints important. The processing of your reporting form will be conducted in as timely a manner as possible. Many reports, however, present an immediate threat to public safety and will be given priority. Thank you for your patience during the complaint process.
Complaint Form and Instructions (PDF)
Disciplinary actions associated with closed cases (orders entered since April 1, 2002) are available online using License Lookup.
Copies of closed disciplinary files are available for public review and disclosure. Closed files involving allegations of criminal activity are also subject to disclosure, except when the release is likely to jeopardize an ongoing investigation or the safety of an individual, cause a suspect to flee or evade detection, or result in the destruction of evidence.
State law exempts information about open cases from mandatory public disclosure. Members of the public may review official records and obtain copies after a regulatory investigation is closed. [Code of Virginia § 54.1-108]
Requests for closed files should be sent to the Information Management Section:
Whenever feasible, DPOR provides closed files in electronic format at no charge. Otherwise, reasonable charges may be assessed by DPOR for research and photocopying ($0.25 per page for documents exceeding 40 pages).
please contact us in writing or via telephone and we will work with you to make the information available.