What to Expect If a Complaint Is Filed Against Your North Carolina HVAC License
For HVAC contractors in North Carolina, a professional license represents years of skill, investment, and trust. But even experienced contractors can find themselves facing a consumer or competitor complaint before the State Board of Examiners of Plumbing, Heating & Fire Sprinkler Contractors (“the Board”). Understanding how the complaint process works—and what your rights are at each step—can make a major difference in protecting your license and your livelihood.
1. How Complaints Begin
Most disciplinary actions before the Board start with a written complaint. Complaints can come from a homeowner, customer, building inspector, competitor, or anyone with an interest. Once a complaint is received, the Board’s staff reviews it to determine whether the allegations fall under the Board’s jurisdiction and whether there appears to be a potential violation of North Carolina’s licensing laws or Board rules.
If the complaint meets those criteria, it is assigned to a Board investigator. This initiates the formal investigation process.
2. Responding to the Complaint
Once a licensee is notified of a complaint they receive a document called a “Notice of Complaint” and are then required to submit a written response within 10 days of receiving the Notice. This is an important deadline—failure to respond can be viewed unfavorably and may limit your ability to defend yourself later in the process.
In your response, you have the opportunity to explain your version of events, clarify any misunderstandings, and attach supporting documentation such as contracts, correspondence, permits, or inspection reports. The Board encourages licensees to be thorough and factual in their responses.
3. The Investigation Process
After your response is received, the assigned investigator gathers additional information. This often includes:
Interviewing relevant parties such as the complainant, other subcontractors, or inspection officials
Collecting affidavits or written statements from witnesses
Reviewing project documents or inspection records
The investigator’s goal is to compile a clear picture of what happened and present the facts to the Board for review. This stage is typically informal but should still be treated seriously. Anything you say—or fail to say—may be used in the Board’s final determination.
4. Possible Early Resolution
Once the investigation is complete, the investigator or Board staff may offer an informal resolution. This can include a proposed consent agreement or warning letter.
You are not required to accept any proposed resolution, and if you do, you still retain limited rights to appeal within a certain timeframe. However, these early resolutions can sometimes help resolve the issue more quickly and with less expense than a formal hearing.
5. The Resolution Review Conference
If no agreement is reached, the matter may proceed to a Resolution Review Conference (RRC). This meeting typically includes:
The licensee and their attorney
The Board investigator
Two members of the Board
The purpose of the RRC is to discuss the matter informally and explore potential ways to resolve it before moving to a formal hearing. These conferences can be valuable opportunities to clarify misunderstandings, present mitigating evidence, or negotiate a fair resolution.
6. The Formal Hearing Process
If the issue remains unresolved, the Board will issue a Notice of Hearing, which sets the time, date, location, and alleged violations. The case then proceeds to a contested case hearing, which is a formal, trial-like proceeding under North Carolina’s Administrative Procedure Act.
At the hearing:
Both sides may present evidence and witnesses.
Attorneys may cross-examine witnesses and make opening and closing statements.
The Board will deliberate and decide whether a violation occurred and what, if any, disciplinary action is appropriate.
Possible outcomes can include a reprimand, probation, suspension, revocation, or dismissal of the complaint.
7. Protecting Your License at Every Stage
There are generally three stages where resolution may occur:
During the initial investigation,
At the Resolution Review Conference, or
At or after the formal hearing.
Having experienced legal representation at each stage can help protect your rights, ensure deadlines are met, and improve the chances of a favorable resolution.
Final Takeaway
A complaint before the North Carolina HVAC Board is not the same as a finding of wrongdoing—but it can become one if ignored or mishandled. Understanding the process, responding promptly, and seeking experienced legal guidance early on can make a critical difference in protecting your professional license and reputation.
This is not legal advice. If you do need legal representation call the office at: 919-616-3317