††††† 201 KAR 40:090. Complaint procedure against agents, commercial driver license training schools, uncredentialed agents, and uncredentialed commercial driver license training schools.

 

††††† RELATES TO: KRS Chapter 13B, 165A.330(1), 165A.350(4)(b), 165A.360(3)(b), 165A.370(2)-(4), 165A.490, 165A.495, 165A.510(10), 165A.990

††††† STATUTORY AUTHORITY: KRS 165A.340(3), 165A.400, 165A.510

††††† NECESSITY, FUNCTION, AND CONFORMITY: KRS 165A.510(10) authorizes the State Board for Proprietary Education to establish the procedures for making complaints against commercial driver license training schools licensed by the board, agents, and uncredentialed commercial driver license training schools. This administrative regulation establishes these standards for complaints.

 

††††† Section 1. Definitions. (1) "Chair" means the chair or vice-chair of the board.

††††† (2) "Charge" means a specific allegation contained in a formal complaint, as established in Section 4(3) of this administrative regulation issued by the board alleging a violation of a specified provision of KRS Chapter 165A or the administrative regulations promulgated thereunder.

††††† (3) "Complaint" means a written allegation alleging misconduct by an agent or commercial driver license training school which might constitute a violation of KRS Chapter 165A, the administrative regulations promulgated thereunder, or another state or federal statute or regulation applicable to an agent or commercial driver license training school.

††††† (4) "Formal complaint" means a formal administrative pleading authorized by the board which sets forth charges against a licensed commercial driver license training school or agent and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B or requests a court to take action.

††††† (5) "Informal proceeding" means a proceeding instituted during the disciplinary process with the intent of reaching a resolution of the 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) "Complaint committee" means the committee appointed pursuant to Section 8 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 and certified as to its truth by the person offering the complaint. The board may file a complaint based on information in its possession. A complaint may be filed by an individual, organization, or entity with the board on a "Complaint Form" with an "Authorization for Release of All Pertinent Student Records to the State Board for Proprietary Education."

††††† (2) Upon receipt of a complaint:

††††† (a) A copy of the complaint shall be sent to the last known address on file with the board for the agent and commercial driver license training school named in the complaint along with a request for a written response to the complaint. The agent and commercial driver license training school shall file a written response with the board within ten (10) days from the date of receipt.

††††† (b) Upon receipt of the written response of the agent and commercial driver license training school named in the complaint, a copy of those responses shall be sent to the complainant. The complainant shall have ten (10) days from the date of receipt to submit a written reply with the board to the responses.

 

††††† Section 3. Initial Review. (1) After the receipt of a complaint and the expiration of the period for the response, the complaints committee shall consider the complaint, responses, and complainantís reply to the responses, and 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, in the opinion of the board, a complaint does not warrant the formal investigation of a complaint against an agent or commercial driver license training school, the board shall dismiss the complaint and shall notify both the complainant and the agent and commercial driver license training school of the outcome of the complaint.

††††† (3) If, in the opinion of the board, a complaint warrants a formal investigation against either an agent or commercial driver license training school, then the board shall authorize the executive director of the board or an investigator to investigate the matter and make a report to the complaints committee.

 

††††† Section 4. Results of Formal Investigation; Board Decision on Hearing. (1) Upon completion of a formal investigation, the complaints committee shall consider the facts regarding the complaint. The committee shall review an investigative report, supporting documents, and make a recommendation to the board. The board shall determine whether there is enough evidence to believe that a violation of the law or administrative regulations may have occurred and whether a formal complaint shall be filed.

††††† (2) 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 other appropriate action taken. The board shall notify both the complainant and the commercial driver license training school and agent of the outcome of the complaint.

††††† (3) When in the opinion of the board a complaint warrants the issuance of a formal complaint against an agent or commercial driver license training school, then the complaints committee shall prepare a formal complaint which states the charge or charges to be considered at the hearing. The formal complaint shall be signed by the executive director and served upon the agent or commercial driver license training school as required by KRS 13B.040. If the formal complaint is against an agent, then the commercial driver license training school employing the agent shall be provided with a copy of the formal complaint.

 

††††† Section 5. Uncredentialed School and Uncredentialed Agents. If, in the opinion of the board, a school may be operating as a commercial driver license training school without appropriate credential, or a person may be operating as an agent without appropriate credential, then the board may take any one (1) or a combination of the following actions:

††††† (1) Issue a letter ordering that school or person cease and desist from the operation of a commercial driver license training school or the conduct of an agent;

††††† (2) Forward information to the county attorney of the county of residence of the school or person allegedly acting without appropriate credential with a request that appropriate action be taken under KRS 165A.990; or

††††† (3) Initiate action in Franklin Circuit Court for injunctive relief to stop the unauthorized operation of a school or agent.

 

††††† Section 6. Settlement by Informal Proceedings; Letter of Admonishment. (1) The board, through counsel and the complaints committee, may enter into informal proceedings with the commercial driver license training school and agent who is the subject of the complaint for the purpose of appropriately resolving the matter.

††††† (a) An agreed order or settlement reached through this process shall be approved by the board and signed by the commercial driver license training school or agent who is the subject of the complaint and the chair.

††††† (b) The board may employ mediation as a method of resolving the matter informally.

††††† (2)(a) The board may issue a written admonishment to the agent and to a commercial driver license training school if in the judgment of the board:

††††† 1. An alleged violation is not of a serious nature; and

††††† 2. The evidence presented to the board after the investigation and appropriate opportunity for the commercial driver license training school and agent to respond, provides an indication that the alleged violation did in fact occur.

††††† (b) A copy of the admonishment shall be placed in the permanent file of the proprietary school and agent.

††††† (c) Within thirty (30) days of receipt of an admonishment, the proprietary school or agent may file:

††††† 1. A response to the admonishment which shall be placed in the proprietary school or agentís permanent licensure file; or

††††† 2. A request for hearing with the board. Upon receipt of this request, the board shall set aside the written admonishment, file a formal complaint, and set the matter for hearing pursuant to the provisions of KRS Chapter 13B.

 

††††† Section 7. Notice and Service Process. A notice required by KRS Chapter 165A or this administrative regulation shall be issued pursuant to KRS 13B.040 to the last known address on file with the board.

 

††††† Section 8. Complaints Committee. The complaint committee shall:

††††† (1) Be appointed by the chair of the board to:

††††† (a) Review a complaint or investigative report; and

††††† (b) Participate in an informal proceeding to resolve a formal complaint.

††††† (2) Consist of three (3) persons, at least one (1) person to be a public member, who may be assisted by the executive director of the board and counsel to the board.

 

††††† Section 9. Incorporation by Reference. (1) The following material is incorporated by reference:

††††† (a) Complaint Form (July 13, 2001 edition);

††††† (b) Authorization for Release of All Pertinent Student Records to the State Board for Proprietary Education (July 13, 2001, edition).

††††† (2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the State Board for Proprietary Education, 911 Leawood Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. (30 Ky.R. 141; Am. 584; eff. 9-8-2003.)