Title 201 | Chapter 030 | Regulation 070

201 KAR 30:070.Grievances.

Section 1.

Grievance and Answers.


Grievances submitted against a certificate holder, licensee, or registrant shall:


Be submitted in writing;


Identify the person or organization submitting the grievance, unless submitted anonymously;


Contain a concise statement of the facts, transaction, or occurrence upon which it is based;


Include exhibits or other documents, if applicable;


Be served on the certificate holder, licensee, or registrant by the board:


At the last known address of the certificate holder, licensee, or registrant; and


By certified mail, return receipt requested; and


Be filed by the grievant within five (5) years from the date the grievant knew or should have known of the alleged violation.


If the board receives an anonymous grievance, it shall conduct an initial investigation to determine whether a formal investigation is warranted.



Unless an extension is requested and granted, the certificate holder, licensee, or registrant shall file an answer to the grievance with the board no later than twenty (20) days after service of the grievance.


A copy of the answer shall be served on the grievant, unless the grievant is anonymous, by the certificate holder, licensee, or registrant, by certified mail, return receipt requested, to the address shown on the grievance.

Section 2.

Formal Investigations. The board shall conduct an investigation of the facts alleged in a grievance:


Upon receipt of a grievance and answer; or


If an answer is not filed with the board, upon expiration of the period established in Section 1(3)(a) of this administrative regulation.

Section 3.

Dismissal of Grievance. The board shall dismiss a grievance if the facts stated in the grievance, or facts known to the board upon investigation, fail to establish a violation of KRS 324A.050. The board shall notify the grievant and the certificate holder, licensee, or registrant in writing if it dismisses the grievance.

Section 4.

Administrative Complaints.


If the facts alleged constitute a prima facie violation of KRS Chapter 324A, 201 KAR Chapter 30, or the USPAP, the board shall issue an administrative complaint, in accordance with KRS Chapter 13B, against the certificate holder, licensee, or registrant and proceed pursuant to KRS 324A.052.


The board may enter into informal settlement with the certificate holder, licensee, or registrant.


If the parties to a settlement conference agree on a stipulation, proposed term, or condition for an agreed order to resolve the complaint, the agreed order shall be forwarded to the board for consideration.


If the proposed agreed order is approved by the board, the complaint shall be considered resolved, and a hearing shall not be held.

HISTORY: (19 Ky.R. 2170; Am. 2463; eff. 7-9-1993; 23 Ky.R. 3609; 4111; eff. 6-13-1997; 28 Ky.R. 1490; 1824; eff. 2-11-2002; 29 Ky.R. 2516; 2867; eff. 6-16-2003; 36 Ky.R. 154; 571; eff. 10-2-2009, TAm 12-28-2009; 37 Ky.R. 1332; 1972; eff. 5-6-2011; 39 Ky.R. 1490; 1876; eff. 4-5-2013; 42 Ky.R. 95; 668; eff. 10-2-2015; 46 Ky.R. 110, eff. 10-4-2019.)

7-Year Expiration: 10/4/2026

Last Updated: 12/15/2021

Page Generated: 5/12/2023, 4:33:50 PM