200 KAR 30:020. Complaint review.

 

      RELATES TO: KRS 164.680-164.689

      STATUTORY AUTHORITY: KRS 164.681(4)

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 164.681(4) authorizes the division to promulgate administrative regulations necessary to implement KRS 164.680 to 164.689. This administrative regulation establishes the procedure for review of a complaint against an athlete agent or student athlete. KRS 164.681(4) authorizes the division to promulgate administrative regulations establishing a procedure to review complaints against athlete agents and student athletes for violation of KRS 164.680 to 164.689, and the administrative regulations promulgated thereunder. This administrative regulation sets forth procedures for review of complaints.

 

      Section 1. Form of Complaint: Response. (1) A complaint shall be:

      (a) Submitted to the division;

      (b) In writing; and

      (c) Signed by the person offering the complaint.

      (2) A complaint may be filed by a person or institution, including the division or appropriate college, university, or athletic regulatory body, based upon information in its possession.

      (3) Upon receipt of a complaint, the division shall:

      (a) Send a copy to the appropriate college, university, or athletic regulatory body; and

      (b) Send to the athlete agent or student athlete named in the complaint:

      1. A copy of the complaint; and

      2. A request for a response to the complaint.

      (4) The response shall be:

      (a) Filed with the division within twenty (20) days from the date of service of the complaint; and

      (b) Served upon the appropriate college, university, or athletic regulatory body.

 

      Section 2. Review by Appropriate College, University, or Athletic Regulatory Body. (1) After the receipt of a complaint, and a response, or after the period of time for a response to be filed has expired, the appropriate college, university, or athletic regulatory body shall enter an initial determination within thirty (30) days stating in writing whether a formal investigation of the complaint is necessary. An extension of time shall be granted by the division for good cause, upon request by the institution.

      (2)(a) A college, university, or athletic regulatory body shall determine that a complaint does not warrant a formal investigation if:

      1. The complaint does not allege a violation of KRS 164.680 to 164.689 or 200 KAR Chapter 30; or

      2. The allegations in the complaint, if true, would not constitute a violation of KRS 164.680 to 164.689 or 200 KAR Chapter 30.

      (b) If the college, university, or athletic regulatory body determines that a complaint does not warrant a formal investigation pursuant to paragraph (a) of this subsection, the college, university, or athletic regulatory body shall notify the complaining party, the person against whom the complaint was made, and the division of its recommendation not to proceed. The division shall:

      1. Accept the recommendation not to proceed; or

      2. Order a formal investigation under subsection (3) of this section.

      (3) If the division, the appropriate college, university, or athletic regulatory body determines that a complaint warrants a formal investigation, the college, university, or athletic regulatory body shall:

      (a) Issue a written statement notifying the division, person against whom the complaint was made, and person or institution making the complaint, of the decision to investigate the complaint; and

      (b) Authorize its president, athletic director, or designated representative, and an investigative assistant, to investigate the complaint and report their findings and recommendations to the division within ninety (90) days of the date of the notification of the decision to investigate. An extension of time shall be granted by the division for good cause shown.

 

      Section 3. Issuance of Recommendations: Review by the Division. (1) Upon completion of the formal investigation, the college, university, or athletic regulatory body shall issue a written report to the division stating its factual findings and recommendations as to the proper disposition of the complaint. The recommendations shall be served upon the person against whom the complaint was made. If disciplinary action is recommended, the report shall state the charges upon which the recommendations are based.

      (2) Within fifteen (15) days of receipt of the recommendation, the division shall take action as required by KRS 164.687(1).

      (3) If the division determines that the charges do not warrant disciplinary action, the complaint shall be dismissed. The division shall notify the complaining party, the individual being investigated, and the appropriate college, university, or athletic regulatory body, of the outcome of the complaint.

      (4) If the division determines that the charges warrant disciplinary action, the division shall issue an order stating the charges, and the disciplinary action imposed. The order shall be signed by the director and served upon the person disciplined.

      (5) An order by the division may be appealed as authorized by KRS 164.687(2).

 

      Section 4. Notice and Service of Process. (1) Unless waived by the recipient, service of notice and other process shall be made by hand-delivery or delivery by certified mail, return receipt requested, to the individual's last known address or, if known, by regular mail on the named individual's attorney.

      (2) Refusal of service if by certified mail, or avoidance of service if hand-delivered, shall not prevent the division from proceeding, as may be appropriate. (26 Ky.R. 271; Am. 584; eff. 9-16-99.)