You asked whether any state boards or commissions that handle complaints against people licensed by the state have an initial review process to determine if a complaint is legitimate or frivolous.

SUMMARY

We looked at the procedures used for complaints against attorneys and people with licenses, certificates, or registrations issued by boards and commissions that are part of the Department of Consumer Protection (DCP).

The Statewide Bar Counsel initially reviews complaints against attorneys. If a complaint falls into one of several categories (such as a complaint that does not allege facts that would be a violation of a rule governing attorney conduct), the counsel refers it to the chairman or two members of the Statewide Grievance Committee which can dismiss it if appropriate. If the complaint does not fall into one of those categories or is not dismissed, it is referred to a grievance panel for a preliminary investigation. The panel determines whether there is probable cause to believe that misconduct occurred and refers the complaint to the committee. If the panel found probable cause or the committee finds probable cause despite the panel's determination, the committee must hold a public hearing on the allegations against the attorney with the opportunity for the attorney to present evidence and witnesses in his defense.

DCP receives complaints about people it has licensed, registered, or certified. DCP dismisses complaints with allegations that, even if substantiated, do not violate a statue or regulation. If the allegation would be a violation if substantiated, DCP must conduct an investigation. DCP can dismiss a complaint if it does not find probable cause. If DCP finds probable cause, it can bring the complaint to the relevant board or commission for a formal hearing. The board or commission must provide notice to the individual involved and an opportunity to show compliance with all legal requirements. If the board or commission has reason to believe there has been a violation of statute or regulation, it must issue a complaint and provide notice in a contested case.

PRELIMINARY STEPS FOR ATTORNEY GRIEVANCES

Complaints against attorneys are filed with the Statewide Bar Counsel who reviews them. If the counsel finds that a complaint meets certain criteria, he must refer it to the chairman or two members of the Statewide Grievance Committee for dismissal if appropriate. This applies when the complaint:

1. only alleges a fee dispute and not that the fee is clearly excessive or improper;

2. does not allege facts that, if true, would violate a rule governing attorney conduct;

3. does not contain specific allegations to investigate;

4. duplicates a previously dismissed complaint;

5. alleges that the misconduct occurred more than six years before filing the complaint (with some exceptions);

6. alleges misconduct occurring in a state court action and the court is aware of it and has rendered a decision;

7. alleges personal behavior outside the practice of law that does not violate the rules of conduct;

8. alleges the failure to pay debts; or

9. names a law firm or entity and not an individual attorney, unless dismissal would result in gross injustice (Practice Book § 2-32).

If the complaint does not meet these criteria or is not dismissed, it is referred to a grievance panel consisting of two attorneys and one non-attorney for a preliminary investigation. The counsel notifies the complainant and the attorney. The attorney must also receive a copy of the complaint and respond within 30 days unless there is good cause to extend this period (failure to respond is considered misconduct unless there is good cause).

The panel must determine whether probable cause exists to believe the attorney was guilty of misconduct. (Apparently, in this context, probable cause means knowledge of facts sufficient to warrant belief that misconduct occurred). The preliminary investigation is not public unless the accused attorney asks that it be public. The panel can conduct a hearing.

The panel has 110 days to complete its work (it may request an extension). When it completes the investigation, it notifies both parties of this and whether there is probable cause to believe the attorney engaged in misconduct. The panel then refers the record of its investigation, together with its determination to the committee. The determination is a matter of public record.

The committee or a subcommittee of it must hold a public hearing on the allegations against the attorney if the panel found probable cause to believe the attorney engaged in misconduct. If the panel did not find probable cause, the committee or subcommittee must review this determination and decide for itself whether probable cause exists. If the committee or subcommittee decides there is probable cause, it must hold a public hearing. At a public hearing, the attorney can present a defense and both the attorney and complainant can make a statement (CGS § 51-90 et seq. ).

PRELIMINARY STEPS FOR DCP LICENSEE COMPLAINTS

DCP receives complaints about people it has licensed, registered, or certified. DCP screens the complaints and dismisses those with allegations that would not be a violation of a statute or regulation even if substantiated. DCP must conduct an investigation if a complaint includes an allegation that would, if substantiated, be a violation of statute or regulation. DCP can dismiss a complaint after an investigation if it lacks probable cause. DCP can also authorize a settlement if the person who made the complaint, the person who is the subject of the complaint, and the relevant board or commission approves. If DCP finds probable cause to believe that an alleged offense was committed, it can bring the complaint to the board or commission for a formal hearing (CGS § 21a-7 et seq. ).

A board or commission can (1) revoke or suspend a license, registration, or certificate; (2) issue a reprimand; (3) place a person on probation; or (4) limit a person's practice, for the following reasons:

1. engaging in fraud or material deception to obtain a license, registration, or certificate or to aid in doing so;

2. performing work beyond the scope of a license, registration, or certificate;

3. illegally using or transferring a license, registration, or certificate;

4. performing incompetent or negligent work;

5. making false, misleading, or deceptive representations to the public;

6. having been disciplined in a similar action by a professional agency of another state or a foreign jurisdiction; or

7. violating a statute or regulation relating to his profession or occupation (CGS § 21a-9(c)).

Regulations provide a uniform procedure for all boards and commissions within DCP. A board or commission cannot take any disciplinary action without providing (1) notice of the facts and conduct that warrant the action and (2) an opportunity to show compliance with all lawful requirements. The notice of the opportunity to show compliance must include (1) the time, date, and method of responding; (2) a reference to the statute or regulation allegedly violated; and (3) a clear and concise factual statement sufficient to inform each person of the acts or practices alleged to be violations (This requirement can be met by including a copy of the investigation report).

If the public health, safety, or welfare requires emergency action, the board or commission can suspend a license, certificate, or registration pending other proceedings.

When a board or commission has reason to believe there has been a violation of a statute or regulation, it must issue a complaint. The notice in contested cases must include, among other things, (1) a reference to the specific statute or regulation allegedly violated and (2) a short and plain statement of the matter that is sufficient to inform the person of the acts or practices that are allegedly in violation of the law. Unless prohibited by law, a contested case can be informally resolved by stipulation, settlement, consent order, or default. The agreement must include a consent order with certain requirements (Conn. Regulations § 21a-9-1 et seq. ).

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