Division of Regulation
Complaint Process
June 23, 2011
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Department of Business and
Professional Regulation
(DBPR)
• Executive agency of the Governor
• Charged with regulating more than 1 million
businesses and professions
• Formed by the Florida Legislature in 1993 as a result
of the merger between the Department of
Professional Regulation and the Department of
Business Regulation
• Issues more than 200 distinct license types; regulates
24 professions; and multiple industries
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Department Mission and Goals
• License efficiently. Regulate fairly.
• Enhance the Quality of Customer Service
• Increase Consumer & Community Protection
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Division of Regulation
• Enforcement Division for the professional
boards, council and commissions.
• Responsible for analyzing complaints,
conducting inspections, opening
investigations, fighting unlicensed activity
(ULA) and initiating alternative dispute
resolution (ADR).
• Also responsible for enforcement of Farm
Labor and Child Labor laws.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Complaint Process
Complaints can be initiated in three
different ways by a consumer:
• The complainant can mail a Uniform
Complaint Form (UCF) to the Division
• Faxing a UCF to the Division
• Email a UCF to an employee of the
Division
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Complaint Process
Complaints can also be initiated by field
investigators, inspectors, board staff,
anonymous sources, or from the unlicensed
activity hotline which is 866-532-1440.
Upon receipt of a complaint it is turned over
to a complaint analyst who will determine if
the complaint falls under the jurisdiction of
the Division.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Complaint Process
If the complaint analyst determines the
complaint can be handled by the
Division, the complaint is prepared
for review. If the complaint is against
a profession that is not regulated by
the Division, the complaint will be
forwarded to the entity with
jurisdiction.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Complaint Process
Once the complaint received, it is distributed
to a complaint analyst. The analyst reviews
the complaint for “legal sufficiency”. Legal
sufficiency occurs when the allegation, if
true, is a violation of the statute or rule of
the profession.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Complaint Process
If violations exist the followings steps are
taken:
• The analyst gathers the appropriate
supporting documentation to establish legal
sufficiency (i.e. contracts, proof of
payment, etc.)
• Recommends the action to be taken on the
case, including opening an investigation or
if the complaint should be closed.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Investigative Process
• When an investigation is undertaken, the department shall promptly furnish to
the subject or their attorney a copy of the complaint.
• The subject may submit a response within 20 days for the consideration by the
probable cause panel.
• The department shall prepare a report to the panel.
• Upon completion of the investigation and pursuant to a request, the
department shall forward to the subject or their attorney a copy of the report.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Investigative Process
•
Building Officials - 468.619 (4) The investigation of a complaint against an
enforcement official is subject to the time restrictions set forth in this subsection, and
failure to comply with any time restriction set forth in this subsection shall result in
dismissal of the complaint against the enforcement official. An investigation of a
complaint against an enforcement official that was dismissed for failure to comply with a
time restriction set forth in this subsection may not be reopened. However, in any
instance of an additional complaint being initiated, information or investigation related
to the dismissed complaint may be used.
(a)
The department must inform the enforcement official of any legally sufficient
complaint received, including the substance of the allegation, within 10 days after receipt
of the complaint by the department.
(b)
The enforcement official shall be given 30 days to respond to any legally sufficient
complaint.
(c)
No longer than 180 days from the date of the receipt of the complaint, the
department shall submit the investigation, whether complete or not, to the probable
cause panel for review. In the event the investigation is not complete, the probable cause
panel shall review and instruct the department to complete the investigation within a
time certain and, in no event, greater than 90 days or dismiss the complaint with
prejudice.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Section 455.255(10) F.S. states; “The complaint
and all information obtained pursuant to the
investigation by the department are
confidential and exempt from S. 119.07 (1)
until 10 days after probable cause has been
found to exist by the probable cause panel or
by the department, or until the regulated
professional or subject of the investigation
waives his or her privilege of confidentiality,
whichever occurs first.
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Legal Review
• Once investigation is complete, case transferred to
the Office of the General Counsel
• Case reviewed by attorney for dismissal or drafting of
administrative complaint
• Complaint presented to board Probable Cause panel
for review. Department acts as panel if there is no
board.
• Panel can dismiss or find probable cause
• Administrative complaint is filed with the Agency Clerk
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
WHAT IS AN ELECTION OF RIGHTS?
• By law, the Subject is given the right to choose how to proceed on the
administrative complaint filed by the department. An election of rights is
similar to a criminal defendant choosing whether to plead guilty or not guilty.
An election of rights offers three basic choices:
• A straight plea to the board, or the department when there is no board,
meaning that the respondent is not contesting the charges in the
administrative complaint and is leaving any penalty up to the board, usually
without further input from the respondent.
• An informal hearing where the respondent (the individual or business you
complained about who is responding to the complaint) does not want to
contest the facts of the case, but the respondent wants to present mitigation
of any penalty that may be imposed by the board.
• A formal hearing where the respondent requests a hearing on the charges
before a court of administrative law known as the Division of Administrative
Hearings (DOAH).
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
WHERE MAY I GO TO OBTAIN MORE INFORMATION?
Online
Businesses and consumers may perform functions such as search for information
on a licensee, apply for a license, or file a complaint at
www.myfloridalicense.com
Email
Please send your comments and/or questions to call.center@dbpr.state.fl.us. In
order to better serve you, please include your daytime telephone number in
your message.
Phone
Our Customer Contact Center may be reached at 850-487-1395. The hours of
operation are Monday-Friday, excluding holidays, 8 a.m. to 6 p.m. EST.
Fax
Our Customer Contact Center fax number is 850-488-1830.
Mail
Department of Business and Professional Regulation
1940 N. Monroe Street
Tallahassee, Florida 32399-1027
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N
Comments/Questions/Concerns
Contact:
Jerry Wilson
Director, Division of Regulation
Phone: 850-717-1493
Cell: 850-443-8857
E-mail: Jerry.Wilson@dbpr.state.fl.us
Linda Butler
Program Lead, Consumer Complaints Section
Phone: 850-488-6603
Email: Linda. Butler@dbpr.state.fl.us
F LO R I DA D E PAR T M E N T O F B U S I N E S S AN D P R O F E S S I O NAL R E G U LAT I O N