201 KAR 39:100. Complaint procedure.

 

      RELATES TO: KRS 309.304(7), 309.316,

309.318

      STATUTORY AUTHORITY: KRS 309.304(3),

309.316(2)

      NECESSITY, FUNCTION, AND CONFORMITY: KRS

309.316(2) authorizes the board to establish procedures for receiving and

investigating complaints. KRS 309.318 delineates the causes for which

disciplinary action may be taken against a licensee. This administrative

regulation establishes procedures for the filing, evaluation, and disposition

of administrative complaints.

 

      Section 1. Receipt of Complaints. (1) A

complaint:

      (a) May be submitted by an:

      1. Individual;

      2. Organization; or

      3. Entity.

      (b) Shall:

      1. Be in writing or contained on a

videotape or digital media; and

      2. Include the signature or stated name,

address, and telephone or videophone number of the person submitting the

complaint; and

      (c) May be filed by the board or board

member based upon information in its possession.

      (2) Upon receipt of the complaint a copy

of the complaint shall be sent to the licensee named in the complaint along

with a request for the licensee’s response to the complaint. The individual

shall be allowed a period of twenty (20) days from the date of receipt to

submit a written, videotaped, or other digital media response.

 

      Section 2. Initial Review. (1) After the

receipt of a complaint and the expiration of the period for the licensee’s response,

the case manager or the complaint screening committee shall consider the

complaint, the licensee’s response, and any other relevant material available

and make a recommendation to the board. 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 licensee

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 case

manager or the complaint screening committee at the earliest opportunity.

 

      Section 3. Results of Formal

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

investigation, the investigator shall submit a written report to the case

manager or the complaint screening committee of the facts regarding the

complaint. The case manager or the complaint screening committee shall review

the investigative report and make a recommendation to the board. The board shall

determine whether there has been a prima facie violation of KRS 309.300 to

309.319 or the administrative regulations promulgated thereunder and if a

formal complaint should 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 may issue a written

admonishment to the licensee in accordance with KRS 309.316(4).

      (4) If the board determines that a

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

board attorney in conjunction with the case manager or the complaint screening

committee shall prepare a formal complaint which states clearly the charge or

charges to be considered at the hearing. 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.

      (5) If the board determines that a person

may be in violation of KRS 309.301(1), it shall:

      (a) Order the individual to cease and

desist from further violations of KRS 309.301(1);

      (b) Forward information to the county

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

309.301(1) with a request that appropriate action be taken under KRS 309.319;

or

      (c) Initiate action in Franklin Circuit

Court for injunctive relief to stop the violation of KRS 309.301(1) pursuant to

KRS 309.304(7).

 

      Section 4. Settlement by Informal

Proceedings. (1) The board through counsel and the case manager or 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 5. Notice and Service of Process.

A notice required by KRS 309.300 to 309.319 or this administrative regulation

shall be issued pursuant to KRS Chapter 13B.

 

      Section 6. Notification. The board shall

make public:

      (1) Its final order in a disciplinary

action under KRS 309.316(3); and

      (2) An action to restrain or enjoin a

violation of KRS 309.301(1).

 

      Section 7. Incorporation by Reference.

(1) "Complaint Form", 2011, 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. 1266; Am. 1611; eff. 1-14-2002; 38

Ky.R. 1654; 1850; eff. 6-1-2012; TAm 6-1-2012.)