GENERAL GOVERNMENT CABINET
Kentucky Board of Licensure for
Long-Term Care Administrators
(As Amended at ARRS, October 8, 2013)
TO: KRS Chapter 13B, Chapter 216A[
††††† STATUTORY AUTHORITY: KRS 216A.070(3)
††††† NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the board to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.070(1)(e) requires the board to investigate a person engaging in a practice which violates the provisions of KRS Chapter 216A. This administrative regulation establishes procedures for the investigation of a complaint received by the board.
††††† Section 1. Definitions. (1) "Chairman" means the chairman or vice-chairman of the board.
"Charge" means a specific allegation contained in a formal complaint,
as established in subsection (4) of this section, issued by the board alleging
a violation of a specified provision of KRS Chapter 216A or 201 KAR Chapter
the administrative regulations promulgated thereunder].
††††† (3) "Complaint" means:
A written allegation alleging misconduct by a credentialed individual or other
person which might constitute a violation of KRS Chapter 216A, 201 KAR
the administrative regulations promulgated thereunder], or
another state or federal statute or administrative regulation;
††††† (b) A notification which relates to the credential of the individual pursuant to KRS Chapter 216A; or
"]Notification of Substandard Care[ "] issued by the
Cabinet for Health and Family Services, as defined in 42 C.F.R. 488.301.
††††† (4) "Formal complaint" means a formal administrative pleading authorized by the board which sets forth charges against a licensed individual or other person and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B or requests the court to take criminal action.
††††† (5) "Informal proceeding" means a proceeding instituted during the disciplinary process with the intent of reaching a dispensation of a matter without further recourse to formal disciplinary procedures under KRS Chapter 13B.
††††† (6) "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.
††††† (7) "Standards of practice committee" means the committee appointed pursuant to Section 7 of this administrative regulation.
††††† Section 2. Receipt of Complaints. (1) A complaint may be submitted by an individual, organization, or entity. A complaint shall be in writing and shall be signed by the person offering the complaint. The board may file a complaint or a formal complaint based on information in its possession.
Upon receipt of a complaint against a licensee,[
a copy of the complaint shall be sent to the licensee[ individual]
named in the complaint along with a request for that licenseeís[ individualís]
response to the complaint.
individual] shall file a response to the
complaint within twenty (20) days from the date the letter was mailed as signified
by the date on the letter[ be allowed a period of twenty (20) days from
the date of receipt to submit a written response.
Upon receipt of the written response of the individual named in the complaint,
a copy of his response shall be sent to the complainant. The complainant shall
have five (5) days from the receipt to submit a written reply to the response].
Upon receipt of a notification of substandard care, a copy of the notification
shall be sent to the licensee administering the facility at issue[
along with a letter from the board requesting the following information:
The effective date of that administrator becoming the administrator of record
for the facility. If that has occurred within the last 180 days, the facility
shall furnish the name of the previous administrator;[
††††† (b) A copy of completed and approved 2567L and notice of acceptance of allegation of compliance as issued by the Cabinet for Health and Family Services;
††††† (c) A copy of notice of results of revisit as issued by the Cabinet for Health and Family Services; and
††††† (d) A formal notice of each remedy imposed by the Cabinet for Health and Family Services, if applicable.
††††† (4) A licensee shall provide the documentation listed in subsection (3) of this section if a request is made by the board pursuant to that provision.
3. Initial Review. (1) After the receipt of a complaint and the expiration of
the period for the licenseeís[
individualís] response, the
standards of practice committee shall consider the complaint, the licenseeís[ individualís]
response,[ complainantís reply to the response,] and other relevant
material available and make a recommendation to the board regarding whether
an investigation of the complaint is required[ The board shall determine
whether there is enough evidence to warrant a formal investigation of the
If, in the opinion of the board, a complaint does not warrant a[
formal investigation[ of a complaint against an individual], the board shall
dismiss the complaint[ and shall notify both the complaining party and the
individual of the outcome of the complaint].
If, in the opinion of the board, a complaint warrants a formal investigation
against either a licensed individual or a person who may be practicing without
appropriate credential, the board shall authorize an investigator to
investigate the matter and make a report to the standards of practice committee[
the earliest opportunity].
If, at any time, the board determines that it has enough information, it may
file a formal complaint pursuant to Section 4[
In the case of a
notification of substandard care, the board shall:
Open a formal investigation; or
Proceed under Section 4(3)] of this administrative regulation.
††††† Section 4. Results of Formal Investigation; Board Decision on Hearing. (1)(a) Upon completion of the formal investigation, the investigator shall submit a report to the standards of practice committee of the facts regarding the complaint.
††††† (b) The committee shall review the investigative report and make a recommendation to the board.
The board shall determine whether there is enough evidence to believe that a
violation of KRS Chapter 216A or 201 KAR Chapter 6[
the law or
administrative regulations] may have occurred and whether a
complaint shall be filed.
If, in the opinion of the board, a complaint does not warrant the issuance of a
formal complaint and the holding of a hearing, the complaint shall be dismissed
or referred to another agency for action[
action taken]. The board shall notify both the complaining party
and the individual of the outcome of the complaint.
When] in the opinion of the board, a complaint
warrants the issuance of a formal complaint against a licensee, the standards
of practice committee shall authorize[ prepare] a formal complaint
which states[ clearly] the charge or charges to be considered at the
hearing. The formal complaint shall be approved by the board and[ reviewed
by the board and, if approved, signed by the chairman and] served upon the
individual as required by KRS 13B.050[ 13B.040].
If, in the opinion of the board, probable cause exists that an individual is
a person shall be] practicing without appropriate
credential, it may:
Issue a letter ordering that person to cease and desist from the unlicensed
practice of long-term care[
nursing home] administration;
††††† (b) Forward information to the county attorney of the county of residence of the person allegedly practicing without appropriate credential with a request that appropriate action be taken under KRS 216A.150 and 216A.990; or
Initiate action in Franklin Circuit Court for injunctive relief to stop the
unauthorized practice of long-term care[
nursing home] administration.
5. Settlement by Informal Proceedings[
; Letter of Admonishment]. [ (1)]
The board[ , through counsel and the standards of practice committee,]
may at any time enter into a settlement agreement or agreed order[ informal
proceedings] with the individual who is the subject of the complaint for
the purpose of appropriately dispensing with the matter.
An agreed order or settlement agreement[ reached through this process]
shall only be effective after being[ be] approved by the board and
signed by the individual who is the subject of the complaint and the chairman.
The board may employ mediation as a method of resolving the matter informally.[ (2)(a)
The board may issue a written admonishment to the licensee if in the judgment
of the board:
An alleged violation is not of a serious nature; and
The evidence presented to the board after the investigation and appropriate
opportunity for the licensee to respond, provides a clear indication that the
alleged violation did in fact occur.
A copy of the admonishment shall be placed in the permanent file of the
Within thirty (30) days of receipt of an admonishment, the licensee shall file:
A response to the admonishment which shall be placed in the licensee's permanent
licensure file; or
A request for hearing with the board. Upon receipt of this request, the board
shall set aside the written admonishment and set the matter for hearing
pursuant to the provisions of KRS Chapter 13B.]
6. Notice and Service Process. A notice required by KRS Chapter 216A or this
administrative regulation shall be issued pursuant to KRS 13B.050[
††††† Section 7. Standards of Practice Committee. The standards of practice committee shall:
Be appointed by the chairman of the board; and[
Review a complaint or investigative report; and
Participate in an informal proceeding to resolve a formal complaint;]
Consist of two (2) or three (3) board members[
A board member who is a nursing home administrator;
A board member who is not a nursing home administrator; and
One (1) other person, which may be the executive director of the board or
another staff member].
GREG WELLS, Board Chair
††††† APPROVED BY AGENCY: July 24, 2013
††††† FILED WITH LRC: August 14, 2013 at 3 p.m.
††††† CONTACT PERSON: Karen Lockett, Board Administrator, Board of Licensure for Long-Term Care Administrators, PO Box 1360, Frankfort, Kentucky 40602, phone 502-564-3296.