201 KAR 21:051. Board hearings.

      RELATES TO: KRS 312.150, 312.155, 312.160

      STATUTORY AUTHORITY: KRS 312.019(9)

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.150 provides for disciplinary action to be taken against a licensee. This administrative regulation establishes procedural guidelines for board hearings and the processing of complaints against licensees.

      Section 1. Definitions. (1) "Complaint" means an allegation alleging misconduct that might constitute a violation of KRS Chapter 312 or the administrative regulations promulgated thereunder.

      (2) "Hearing officer" means the person designated and given authority by the board to preside over all proceedings pursuant to the issuance of a notice and complaint.

      Section 2. Complaints and Investigations. (1) A complaint may be made by any person, organization or entity. A complaint made by a person, organization, or entity shall be in writing and shall be signed by the person offering the complaint. The complaint shall contain:

      (a) The name, phone number, and address of the person making the charge and the name and address of the place of business of the person or persons against whom charges are made.

      (b) A clear and concise description of the issues of fact.

      (2) Upon receipt of a complaint against a licensee, the board shall send a copy of the complaint to the licensee for a response. The complaint shall be sent to the last known address of the licensee that the board has on file. The licensee shall file a response within twenty (20) days from the date of the board's letter. The board shall review the complaint and the licensee’s response before it determine whether the nature and quality of the charges warrant dismissal, further investigation or the initiation of a hearing. In making its determination, the board shall consider whether the charges if proven would warrant sanction by the board.

      (3) The board may at any time proceed against a licensee on its own initiative either on the basis of information contained in its own records or on the basis of information obtained through its own investigation.

      (4) The filing of formal charges shall require the affirmative vote of a majority of the board.

      (5)

      (a) If the board finds that allegations against a licensee are insufficient for initiation of a formal disciplinary procedure, it shall dismiss the matter and notify all interested parties.

      (b) If the board determines that disciplinary proceedings are appropriate, the board shall set the matter for hearing at a future meeting of the board and shall notify the licensee of the charges against him and the time and place of the hearing. The notice shall set forth with reasonable particularity the facts constituting the alleged offense and shall state the statutes or administrative regulations of the board which are applicable to the charge. The notice of the charges shall be served upon the respondent licensee not less than twenty (20) days prior to the hearing either personally or by mailing a copy thereof by certified mail, to the respondent licensee's address last known to the board.

      (c) The board is also entitled to resolve the matter informally through mediation or negotiation. Any agreed order reached through mediation or negotiation shall be approved by the board and signed by the individual who is the subject of the complaint, the individual’s attorney, and the chair of the board.

      Section 3. (1) The hearing shall be held in accordance with KRS Chapter 13B.

      (2) The respondent may be entitled to a reasonable continuance of the hearing date, for good cause, as recommended to the board by the hearing officer.

      (3) The board shall keep a record of the hearing.

      (4) It shall take a majority of the board to sustain the charges against the respondent licensee. The hearing officer shall issue a recommended order pursuant to KRS Chapter 13B which the board shall consider before issuing a final order.

      (5) If the board sustains some or all of the charges, the board shall by majority vote establish the sanction under law which it deems warranted. The order of the board shall be mailed to the respondent by certified mail, return receipt requested.

      Section 4. The respondent may within thirty (30) days of receipt of the order appeal to the Franklin Circuit Court. In the absence of an appeal, the order of the board shall be final at the expiration of the thirty (30) day period. (2 Ky.R. 607; rejected 3 Ky.R. 364; resubmitted over rejection; reprinted 431; eff. 10-1-76; Am. 16 Ky.R. 1615; eff. 4-12-90; 32 Ky.R. 1734; 33 Ky.R. 1071; eff. 10-18-2006.)