File a Complaint

The Wisconsin DSPS Division of Legal Services and Compliance (DLSC) provides compliance services for the agency’s boards and direct-licensed professions. DLSC is staffed with attorneys, investigators and other legal staff to address complaints promptly and appropriately. While there are exceptions given the severity of any situation, here are the most common steps we use when managing a complaint submission: 

• If a complaint is made with sufficient evidentiary support to suggest that a credential holder is in violation of a relevant condition or rule related to their profession, the Division may investigate and, if necessary, file a disciplinary action against the credential holder.

• The purposes of discipline are to protect the public, rehabilitate the credential holder, and to deter other credential holders. Disciplinary action is then monitored for compliance by DLSC's Monitoring Unit.

• The Related Links section on this page provides directions for making a complaint as well as a page that describes the Department’s case handling process. If a complaint is opened for investigation, the case may take in excess of a year to reach a conclusion. This span of time is required to screen, investigate, and if appropriate, prosecute the approximately 3,000 complaints the department receives each year.

• In some circumstances, the Department may not have the authority or requisite legal basis to investigate a complaint. Any complaint falling within the jurisdiction of another agency will be referred to that agency for further action. Alternative options to filing a complaint are briefly described below.

Complaints

The Department's Division of Legal Services and Compliance receives over 3,000 complaints each year against credential holders. Each complaint is tracked in and assigned a number (example: 24 NUR 0004). This is the number that the staff will use to identify this complaint.

After the complaint is tracked in and assigned a number, several different things could happen. If there is sufficient information, it may go directly to screening. If more information is required, the Complainant (the person who filed the complaint) or the Respondent (the person who the complaint is filed against) may be asked to provide additional information.

Third parties who have knowledge of the complaint may also be asked to provide information. Once all of the necessary information has been gathered, the complaint is reviewed by a screening panel and/or a department attorney.

Screening

Screening is a careful review of each complaint to determine if further action is warranted. Screening panels are made up of members of the regulatory authority for the profession and/or a department attorney. Professions which are not governed by a board are screened by a department attorney. Under Wisconsin Adm. Code SPS 2.035 considerations in screening include, but are not limited to:

• Whether the person identified in the complaint is licensed.

• Whether the matter alleged is a violation of any statute, rule or standard of practice.

• Whether the violation alleged is a fee dispute.

• Whether the matter alleged, if taken as a whole, is trivial.

It is important to remember that the screening panel is making a determination as to whether or not there is a possible violation(s) of the rules, regulations and statutes regulating that profession.

The only action that the Department is able to take is against the credential of the person or entity. The Department is not a collection agency and is not able to recover funds for people who are unhappy with the service that a credential holder has provided or the manner in which it was provided.

Screening Outcome

After a thorough review of the complaint, the screening panel will make a decision. Possible actions by the screening panel include:

• Sending a response request letter to request more information.

• Opening a case for investigation and possible further action up to and including discipline.

• Closing the case because DSPS has no jurisdiction.

• Closing the case because there is no violation of a statute, rule or regulation.

• Closing the case based upon a screening decision.

Some reasons that a screening panel might make a screening decision to close a case are:

• It is a private, civil matter.

• It is a fee dispute.

• The allegations (even if true) would be virtually impossible to prove.

• The allegations (even if true) are not of a sufficiently serious nature to warrant the time and resources necessary to pursue the matter.

• The conduct complained of, while not the very best, may not rise to the level of “unprofessional conduct” as defined in the profession’s rules, statutes and regulations.

• This was an isolated incident and compliance has been gained.

About Us

Wisconsin Statutes Chapter 440 governs the Department of Safety and Professional Services. The Department serves over 428,000 credential holders and issues more than 300 types of credentials (licenses & certificates) in various occupations and professions. There are 73 Boards (including Examining and Affiliated Credentialing Boards), Sections, Committees, and Councils attached to the Department.

The Division of Legal Services & Compliance is responsible for reviewing complaints filed against persons or entities licensed by the Boards and the Department itself. About 50% of the complaints that the Department receives are not opened for further action.

Both the Complainant and the Respondent are notified of the screening panel’s decision. Screening panel decisions to decline opening a case for further action are seldom reconsidered and generally only rescreened if new relevant information is presented. There is no appeal process for complaints closed by a screening panel.

Many times, complaints that are not opened for further action still have the desired result for the Complainant. Respondents learn from the complaint process without formal disciplinary action being pursued against their credential. In some cases, when a complaint is not opened for further action, the Respondent is sent a “letter of education” reminding them of certain statutes, rules and regulations that apply to their credential.

By the Wisconsin Department of Safety & Professional Services - Division of Legal Services & Compliance

Q: Can I file a complaint anonymously?

A: Yes, you may submit a complaint anonymously. The ability of the Department to respond to the complaint is related to the quality and quantity of the information provided. If we do not have the ability to make inquiries of the complainant, the allegations may be more difficult for the Department to prove. While we make every effort to honor a complainant’s request for anonymity, our materials are subject to Open Records Laws.

Q: Will my complaint be kept confidential?

A: Under Wisconsin's Open Records Law, Wisconsin Statute s.19.35, confidentiality cannot be guaranteed,

and in most cases your name will be disclosed to the person or business complained of so they can

respond to the matter.

Q: What can be the result of filing a complaint?

A: Some complaints may be closed after the initial review process. Some complaints will be investigated. The investigation may or may not result in discipline. The range of discipline may include reprimand, suspension, limitation, or revocation of a license.

Q: How long, in general, does an investigation take?

A: Our goal is to resolve cases within 18 months from the date they are opened for investigation. While a high percentage of cases are resolved prior to 18 months, the time can vary because each case is fact specific. On average, complaints opened for investigation are resolved in less than 11 months from the date received.

Q: How do I know if I have a legitimate complaint?

A: We encourage you to file a complaint if you have a concern. All complaints are evaluated and a determination is made whether to proceed to investigation.

Q: Will the Department be able to get my money refunded?

A: The only action the Department is able to take is against the credential of the person or entity. The Department is not a collection agency and is not able to recover funds for complainants who are unhappy with the service that a credential holder has provided or the manner in which it was provided.

Q: I am dealing with a problem, but I don’t know if DSPS is the right place to file a complaint. What should I do?

A: If you are unsure about whether to file a complaint with DSPS, please submit a support ticket first at [link]. Please explain your situation in the support ticket. A staff member will respond and assist you.

Helpful Information

• In some circumstances the Department may not have the authority or requisite legal basis to investigate a complaint. If we are able to identify the agency that has jurisdiction of the complaint we will refer the matter to that agency for further action. If we cannot identify the appropriate agency, the complaint will be returned to the complainant with a letter of explanation.

• The Division considers all complaints to be important. If the fields are not filled in properly/completely and/or information provided with the complaint is insufficient (i.e., lacking records or documents referenced in the complaint), the processing of your complaint may be delayed.

This alternative might seem quite obvious but is often overlooked. Credentialed professionals are also business people. Most are sensitive to complaints that patients, clients or customers might have about their services.

It is natural to feel some reluctance to approach the credential holder or his or her supervisor with a complaint. However, if the complaint is one that can be resolved by some action by the credential holder, this might be the most efficient course of action to follow.

Any individual in Wisconsin may sue in Small Claims Court. If the complaint is of a financial nature, this may be an alternative to consider. Further information about Small Claims Court can be obtained directly from the Clerk of Courts in each county.

A surety bond is an agreement by a person or company to guarantee the proper performance of a duty by some other person, and to back up that guarantee with a specific amount of money.

Credential holders who are required to have a surety bond or a liability insurance policy filed with the Department of Safety and Professional Services include the following:

• Private detectives and private detective agencies

• Private schools and specialty schools of barbering and cosmetology, aesthetics, manicuring, and electrology

• Professional fundraisers and some fundraising counsels.

If the complaint involves one of the above credential holders, the consumer may call the Department of Safety and Professional Services and ask to talk with the administrative staff person who is assigned to work with credential holders of that profession.

The staff person can provide the name of the surety responsible for guaranteeing the performance of the credential holder, or the name of the insurance company which insures the credential holder against loss or damage claims.

If a credential holder is required to have a surety bond or liability insurance, consumers may be able to make a claim for money and/or contractual damages from the company covering the credential holder or his or her company. The consumer should consider retaining an attorney for assistance.

The consumer always has the option of retaining an attorney for the purpose of bringing a personal injury lawsuit or other legal action against a credential holder.

In many of these circumstances, an attorney might not charge a fee for the initial consultation, which is the meeting at which the attorney will talk with the consumer to determine whether to represent the consumer and initiate legal action. Many personal injury lawsuits are accepted by attorneys on a "contingency basis," which means that if the consumer wins the lawsuit, the attorney earns a certain percentage of the damages awarded.

If the consumer loses, the consumer does not generally owe any legal fees but may be responsible for some costs associated with the case. All attorneys have their own policies about their particular practice, and it is essential that the consumer obtain information in this regard from the attorney the consumer contacts.

Many credential holders belong to local or state-wide professional associations or societies. Included among these organizations are medical societies, boards of realtors, dental associations and societies, pharmacy associations, and other professional groups.

Many of these organizations have a mechanism for attempting to resolve complaints by consumers against their members. Many of the professional organizations are listed with the profession on this site or can be located elsewhere online.

Please note that not all members of a profession are members of these organizations, and the organizations do not have the authority to take disciplinary action against a member of the organization.

If you obtained professional services from a licensee, such as a medical doctor, dentist or other health care provider who was paid in full or in part by your insurance company, your insurer should have a process for resolving complaints against the provider - especially if the complaint is related to billing.

Call the customer service phone number on your insurance card and ask how to make a complaint against your provider.

If you are a Medicare or Medicaid recipient, you can contact those agencies with complaints against providers or with allegations of fraud.

The Wisconsin Department of Health Services handles complaints against a number of health care facilities, such as hospitals and nursing homes, and also against non-credentialed health care providers such as nurses aids, home health aids and many others.

If you think your provider may have committed a crime, contact your local law enforcement agency.