105 KAR 1:215.
RELATES TO: KRS
16.505-16.652, 61.510-61.705, 78.510-78.852
AND CONFORMITY: KRS 61.645(9)(g) authorizes the Board of Trustees of Kentucky
Retirement Systems to promulgate all administrative regulations necessary or
proper in order to carry out the provisions of KRS 61.515 to 61.705, 16.510 to
16.652, and 78.520 to 78.852. KRS 61.645(16) provides that an affected person
aggrieved by a decision of the system, which is not a determination relating to
disability retirement benefits, may have the right to request an administrative
hearing prior to the filing of an appeal in court. This administrative
regulation establishes the administrative appeal procedures.
Definition. "Affected person" means a member, retired member or
recipient as defined in KRS 16.505, 61.510 and 78.510.
Section 2. If the
system takes action which substantially impairs an affected person's benefits
or rights under KRS 16.505 to 16.652, 61.510 to 61.705 or 78.510 to 78.852,
except action which relates to entitlement to disability benefits, the system
shall notify the affected person of the opportunity to request a hearing. The
notification shall be contained in the notice of action. An affected person may
request a hearing by submitting the request in writing within thirty (30) days
after the date of the notice of the opportunity to request a hearing. The
request for hearing shall be filed with the executive director of the system at
its office in Frankfort. The request for hearing shall contain a short and
plain statement of the basis for request.
Section 3. Failure
of the affected person to request a formal hearing within the period of time
specified shall preclude the affected person from requesting a hearing at a
Section 4. (1) The
system may, either through review of its records or conference with the
affected person, recommend a favorable determination prior to scheduling a
hearing. Upon notification of a favorable determination, the affected person
may withdraw the hearing request or request that the hearing be scheduled.
(2) The hearing
officer may request a prehearing conference or may consider new evidence not
already part of the affected person's file. The prehearing conference is an
informal procedure, presided over by the hearing officer. Every effort shall be
made by all parties to dispose of controversies, to narrow and define issues,
and to facilitate prompt settlement of the claim.
(3) If at the conclusion
of the prehearing conference the parties have not reached an agreement on all
the issues, the hearing officer shall schedule a hearing to be held within a
(4) If the parties
agree upon a settlement after the prehearing conference but before the hearing,
the settlement agreement shall be filed with the hearing officer. The hearing
shall be cancelled and notice of the cancellation shall be served on all
Section 5. The
hearing officer shall make a report and a recommended order to the board. The
report and recommended order shall contain the appropriate findings of fact and
conclusions of law. The hearing officer shall mail postage prepaid, a copy of
his report and recommended order to all parties. The parties may file exceptions
to the report and recommended order. There shall be no other or further
Section 6. The board
shall consider an act on the recommended order in accordance with KRS 13B.120.
Section 7. The
system shall mail the final decision of the board to the affected person or his
legal representative. If any extension of time is granted by the board for a
hearing officer to complete his report, the system shall notify the affected
person or his legal representative when the extension is granted.
Section 8. A final
order of the board shall be based on substantial evidence appearing in the
record as a whole and shall set forth the decision of the board and the facts
and law upon which the decision is based.
Section 9. Formal
hearings shall be held at the system's office in Frankfort unless another
location is determined by the hearing officer.
Section 10. All
requests for a hearing pursuant to this section shall be made in writing.
Section 11. The
board may establish an appeals committee whose members shall be appointed by
the chairman and who shall have the authority to act upon the recommendations
and reports of the hearing officer pursuant to this section on behalf of the
Section 12. Any
affected person aggrieved by a final order of the board may seek judicial
review after all administrative appeals have been exhausted by filing suit in
the Franklin Circuit Court within the time period prescribed in KRS 13B.140.
Section 13. Any
proposed order or order shall be served by one (1) of the following methods:
(1) The system may
place a copy of the document to be served in an envelope, and address the
envelope to the affected person to be served at the address of the affected
person existing in the system files or at the address set forth in written
instructions furnished by the affected person or his legal representative. The
system shall affix adequate postage and place the sealed envelope in the United
States mail as certified mail return receipt requested. The system shall
immediately enter the fact of mailing in the record and make entry when the
return receipt is received. If the envelope is returned with an endorsement
showing failure of delivery, that fact shall be entered in the record. The
system shall file the return receipt or returned envelope in the record.
Service by certified mail is complete upon delivery of the envelope. The return
receipt shall be proof of the time, place, and manner of service.
(2) The system may
cause the document, with necessary copies, to be transferred for service to any
person authorized by the board or by any statute or rule to deliver them, who
shall serve the documents, and the endorsed return shall be proof of the time
and manner of service.
(3) The methods of
service specified in this section shall be supplemental to and shall be
accepted as an alternative to any other method of service specified by other
applicable law. (18 Ky.R. 934; Am. 1326; eff. 11-8-91; 19 Ky.R. 969; eff.
12-9-92; 21 Ky.R. 1527; eff. 2-8-95; 22 Ky.R. 777; eff. 12-7-95; 29 Ky.R. 770;
1252; eff. 11-12-02.)