201 Kar 32:070. Complaint Procedure

Link to law: http://www.lrc.ky.gov/kar/201/032/070.htm
Published: 2015

      201 KAR 32:070. Complaint procedure.

 

      RELATES TO: KRS 335.305(1), 335.348,

335.350, 335.399

      STATUTORY AUTHORITY: KRS 335.320(9),

335.325

      NECESSITY, FUNCTION, AND CONFORMITY: KRS

335.320(9) requires the Kentucky State Board of Licensure for Marriage and

Family Therapists to promulgate administrative regulations to implement KRS

Chapter 335. This administrative regulation establishes procedures for the

filing, evaluation, and disposition of administrative complaints.

 

      Section 1. Definitions. (1) "Chairman"

means the chairman or vice-chairman of the board.

      (2) "Charge" means a specific

allegation contained in a formal complaint, as defined in subsection (5) of

this section, issued by the board alleging a violation of a specified provision

of KRS Chapter 335 or 201 KAR Chapter 32.

      (3) "Complaint" means a written

allegation of misconduct by a credentialed individual or other person that may

constitute a violation of KRS Chapter 335 or 201 KAR Chapter 32.

      (4) "Complaint screening

committee" means a committee consisting of three (3) persons on the board

appointed by the chairman of the board to review complaints, investigative

reports, and to participate in informal proceedings to resolve a formal

complaint, and in addition to board members, the executive director of the

board or another staff member may be appointed to serve on this committee.

      (5) "Formal complaint" means a

formal administrative pleading authorized by the board that charges a licensed

individual or other person with an alleged violation and commences a formal

disciplinary proceeding pursuant to KRS Chapter 13B or requests the court to

take criminal or civil action.

      (6) "Informal proceedings"

means the proceedings instituted at any stage of the disciplinary process with

the intent of reaching a dispensation of any matter without further recourse to

formal disciplinary procedures under KRS Chapter 13B.

      (7) "Investigator" means an

individual designated by the board to assist the board in the investigation of

a complaint or an investigator employed by the Attorney General or the board.

 

      Section 2. Receipt of Complaints. (1) A

complaint:

      (a) May be submitted by an:

      1. Individual;

      2. Organization; or

      3. Entity;

      (b) Shall be:

      1. In writing using the Complaint Form

and Instructions; and

      2. Signed by the person offering the

complaint; and

      (c) May be filed by the board based upon

information in its possession.

      (2) Upon receipt of a complaint:

      (a)1. A copy of the complaint shall be

sent to the individual named in the complaint along with a request for that

individual’s response to the complaint.

      2. The individual shall have a period of

twenty (20) days from the date of receipt to submit a written response.

      (b)1. Upon receipt of the written

response of the individual named in the complaint, a copy of the response shall

be sent to the complainant.

      2. The complainant shall have seven (7)

days from the receipt to submit a written reply to the response.

 

      Section 3. Initial Review. (1)(a) After

the receipt of a complaint and the expiration of the period for the

individual’s response, the complaint screening committee shall consider the

individual’s response, complainant’s reply to the response, and any other

relevant material available and make a recommendation to the board.

      (b) The board shall determine whether

there is enough evidence to warrant a formal investigation of the complaint.

      (2) If the board determines before formal

investigation that a complaint is without merit, it shall:

      (a) Dismiss the complaint; and

      (b) Notify the complainant and respondent

of the board’s decision.

      (3) If the board determines that a

complaint warrants a formal investigation, it shall:

      (a) Authorize an investigation into the

matter; and

      (b) Order a report to be made to the

complaint screening committee.

 

      Section 4. Results of Formal

Investigation; Board Decision on Hearing. (1) Upon completion of the formal

investigation, the investigator shall submit a report to the complaint

screening committee of the facts regarding the complaint.

      (a) The committee shall review the

investigative report and make a recommendation to the board.

      (b) The board shall determine whether

there has been a violation of KRS Chapter 335 or 201 KAR Chapter 32 and a

complaint shall be filed.

      (2) If the board determines that a

complaint does not warrant issuance of a formal complaint, it shall:

      (a) Dismiss the complaint; and

      (b) Notify the complainant and respondent

of the board’s decision.

      (3) If the board determines that a

violation has occurred but is not serious, the board shall issue a written

admonishment to the licensee.

      (a) A copy of the written admonishment

shall be placed in the permanent file of the licensee.

      (b)1.The licensee shall have the right to

file a response in writing to the admonishment within thirty (30) days of its

receipt and may have it placed in his permanent file.

      2.a. Alternatively, the licensee may file

a request for a hearing with the board within thirty (30) days of the

admonishment.

      b. Upon receipt of the request, the board

shall set aside the written admonishment and set the matter for hearing

pursuant to the provisions of KRS Chapter 13B.

      (4) If the board determines that a

complaint warrants the issuance of a formal complaint against a respondent, the

complaint screening committee shall prepare a formal complaint that states

clearly the charge or charges to be considered at the hearing.

      (a) The formal complaint shall be

reviewed by the board and, if approved, signed by the chairman and served upon

the individual as required by KRS Chapter 13B.

      (b) The formal complaint shall be

processed in accordance with KRS Chapter 13B.

      (5) If the board determines that a person

may be in violation of KRS 335.305(1), it shall:

      (a) Order the individual to cease and

desist from further violations of KRS 335.305(1);

      (b) Forward information to the county

attorney of the county of residence of the person allegedly violating KRS

335.305(1) with a request that appropriate action be taken pursuant to KRS

335.399; or

      (c) Initiate action in Franklin Circuit

Court for injunctive relief to stop the violation of KRS 335.305(1).

 

      Section 5. Settlement by Informal

Proceedings. (1) The board through counsel and the complaint screening

committee may, at any time during this process, enter into informal proceedings

with the individual who is the subject of the complaint for the purpose of

appropriately dispensing with the matter.

      (2) An agreed order or settlement reached

through this process shall be approved by the board and signed by the

individual who is the subject of the complaint and the chairman.

      (3) The board may employ mediation as a

method of resolving the matter informally.

 

      Section 6. Notice and Service of Process.

A notice required by KRS Chapter 335 or this administrative regulation shall be

issued pursuant to KRS Chapter 13B.

 

      Section 7. Notification. The board shall

make public:

      (1) Its final order in a disciplinary

action pursuant to KRS 335.350 with the exception of a written admonishment

issued pursuant to Section 4(3) of this administrative regulation; and

      (2) An action to restrain or enjoin a

violation of KRS 335.305(1).

 

      Section 8. Incorporation by Reference.

(1) "Complaint Form and Instructions", 2009, is incorporated by

reference.

      (2) This material may be inspected,

copied, or obtained, subject to applicable copyright law, at the Division of

Occupations and Professions, 911 Leawood Drive, Frankfort, Kentucky 40601,

Monday through Friday, 8 a.m. to 4:30 p.m. (28 Ky.R. 189; Am. 562; eff.

9-10-2001; 35 Ky.R. 1867; 2417; eff. 6-5-09.)
Read Entire Law on www.lrc.ky.gov