Happening Around
RBE is proud to have been a sponsor of the 9th annual
AECOM Hunt Charity Golf Outing held on September
6th at Eagle Creek Golf Club supporting the Assistance
League of Indianapolis. Serving as a chapter of
National Assistance League®, the Assistance League® of
Indianapolis is a nonprofit all-volunteer organization
committed to serving the needs of children and adults
through ongoing philanthropic programs developed
and managed by its members.
RBE is proud to have participated in the 9th
annual Ruth’s Chris Classic Golf Outing that
took place on Thursday, August 23, at Sagamore
Golf Club to benefit the Indiana’s Children’s
Wish Fund. It was a perfect day with an amazing
host, Ruth’s Chris, and premium sponsor, Tito’s
Vodka. Fun was enjoyed with a Caddyshack
theme that included someone who looked like
Bill Murray (and that gopher was everywhere).
Riley Bennett Egloff LLP - October 2018
Originally Published September 2018
By: Drake T. Land, RBE Attorney
hen someone’s license is the subject of a Consumer Complaint filed with the Office of the Indiana Attorney
W
General (“OAG”), his/her legal counsel will have the opportunity to file a written Response. They may then
be left waiting for several months before the OAG issues its final decision. This article explains the OAG internal
processes and continuing investigation which cause that delay.
There are several licensing sections within the OAG. Depending on which section is charged with investigating
a Consumer Complaint filed against a professional’s license, the Response may be directly reviewed by a Deputy
Attorney General (“DAG”) or by a non-attorney case analyst. The DAG or case analyst must review all documents
provided by the Complainant, all allegations in the Consumer Complaint, and all documents and information
contained in the Response.
The DAG or case analyst may also request records or other documentation from your office or other related
professionals. (Be sure to forward any requests for documents or information to legal counsel to review and
assist in responding.) Any request for records, including most medical records, must be made by administrative
subpoena. A request for mental health records must come in the form of a signed Consent to Release of Mental
Health and Addiction Records (Indiana State Form 51128). Because the investigation of a Consumer Complaint is
not considered litigation, the case analyst or DAG may attempt to directly contact the subject of the investigation
with questions or requests for documents. Should this happen, it is recommended that the subject advise the case
analyst or DAG to direct the communication directly to counsel.
RBE is proud to have sponsored the first
Indiana-India Impact Gala that took place on
August 15th at the Indiana Roof Ballroom.
Congratulations to Christel DeHaan on
receiving the “Indiana Ratna” (Jewel of
Indiana) Award!
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The Consumer Complaint Investigative
Process at the Office of the Indiana
Attorney General
Following review of the Consumer Complaint, Response, and all records, the case analyst or DAG will make a
recommendation that the Consumer Complaint be: (1) closed without warning; (2) closed with a warning; or (3)
charged as an Administrative Complaint before the State Board regulating the license to practice. If the case has been
investigated by a case analyst, that analyst will transfer the file to a DAG with written recommendations for review
and approval. After the DAG has investigated the case, or approved/revised the case analyst’s recommendations,
the DAG will transfer the file to a Supervising Deputy Attorney General (“SDAG”) for final internal review and
approval. After the recommendation is accepted by the SDAG, a summary of the claims and defenses are provided
to a liaison member of the State Board regulating the license for final approval of the recommended action. The
applicable Board liaison then reviews the summary and issues an opinion agreeing or disagreeing with the OAG
recommendations. The OAG is not bound to follow the Board liaison position, but the OAG rarely chooses to file
an Administrative Complaint over the objection of a Board liaison.
Due to the backlog of Consumer Complaints outstanding with the OAG at any time, it may take several months
to over a year after a Response is received for the Consumer Complaint to arrive at a final disposition. Typically,
there are no updates from the OAG as this process unfolds, unless the case analyst or DAG requests additional
information or documentation. Legal counsel may periodically request status updates.
Notice of final case disposition is made by mail via a case closure letter or service of an Administrative Complaint.
Be sure to provide copies of any correspondence from the OAG, the Indiana Professional Licensing Agency, or the
State Board regulating the license to counsel. Even if counsel has provided the OAG with a letter of representation
or the Response, a case closure letter or Administrative Complaint is nevertheless served directly on the subject
party and may not be received by counsel.
Finally, keep the Consumer Complaint in mind during a subsequent license renewal. Several licensing boards
require licensees to report any complaint made against the licensee on the renewal application. Failure to report a
Consumer Complaint could result in an Administrative Complaint based on licensure fraud.
RBELAW.com
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