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BOARDS AND COMMISSIONS

Board of Alcohol and Drug Counselors

(New Administrative Regulation)

201 KAR 35:061.Complaint procedure.

RELATES TO:

KRS 13B, 61.878(1)(l), 309.0805(1), 309.0813(6), (7), (11), (13), 309.086

STATUTORY AUTHORITY:

KRS 309.0813(6), (7), (11)

CERTIFICATION STATEMENT:

NECESSITY, FUNCTION, AND CONFORMITY:

KRS 309.0813(6), (7), (11), and 309.086 require the Board of Alcohol and Drug Counselors to promulgate administrative regulations for the administration and enforcement of KRS 309.080 to 309.089, including disciplinary actions, complaints, and hearings. This administrative regulation establishes procedures for the filing, evaluation, and disposition of administrative complaints.

Section 1.

Receipt of Complaints.

(1)

A complaint:

(a)

May be submitted by:

1.

An individual;

2.

An organization;

3.

An entity; or

4.

The board, based upon information in its possession; and

(b)

Shall be:

1.

Submitted using a Complaint Form; and

2.

Signed by the person offering the complaint.

(2)

(a)

Upon receipt of a complaint, a copy of the complaint shall be sent to the individual named in the complaint along with a request for that individual's response to the complaint.

(b)

The individual shall be allowed a period of twenty (20) days from the date of the board's notice to submit a written response.

(3)

(a)

Upon receipt of the written response of the individual named in the complaint, a copy of the response shall be sent to the complainant.

(b)

The complainant shall have seven (7) days from receipt to submit a written reply to the response.

Section 2.

Initial Review.

(1)

After the receipt of a complaint and the expiration of the period for the individual's response, the complaint committee shall consider the individual's response, complainant's reply to the response, and any relevant material available and make a recommendation to the board.

(a)

The names of the individuals and other identifying information shall be redacted to provide anonymity.

(b)

If the complaint committee determines there is insufficient evidence to warrant a formal investigation of the complaint, the committee shall recommend that the board conduct an investigation.

(2)

If the complaint committee determines there is insufficient evidence to warrant an investigation, but there is sufficient evidence to pursue the complaint, it shall recommend that the board:

(a)

Offer an informal settlement or pursue administrative action based on evidence as presented; and

(b)

Notify the complainant and respondent of the board's decision.

(3)

If the complaint committee determines there is insufficient evidence to warrant an investigation, it shall recommend that the board:

(a)

Dismiss the complaint; and

(b)

Notify the complainant and respondent of the board's decision.

(4)

If the board accepts the recommendation of the complaint committee that a complaint warrants a formal investigation, it shall:

(a)

Authorize an investigation into the matter; and

(b)

Provide status report to the complaint committee every sixty (60) days and the final report upon completion.

(5)

If the board accepts the recommendation of the complaint committee that there is a prima facie violation of KRS Chapter 309 or 201 KAR Chapter 35, the board shall issue a formal complaint against the credential holder.

Section 3. (1)

The board may investigate complaints related to violations of this administrative regulation and may impose the following penalties on a credential holder:

(a)

Restriction;

(b)

Probation;

(c)

Suspension;

(d)

License revocation;

(e)

Issuance of public reprimand;

(f)

Issuance of public admonishment;

(g)

Issuance of private admonishment; or

(h)

Issuance of fine.

(2)

The board may impose any combination of the penalties in subsection (1) of this section.

Section 4. (1)

Upon completion of the formal investigation, the investigator shall submit a report to the complaint committee of the facts regarding the complaint.

(a)

The complaint committee shall review the investigative report and make a recommendation to the board.

(b)

If the board accepts the recommendation of the complaint committee that there has been a prima facie violation of KRS Chapter 309 or 201 KAR Chapter 35, a complaint shall be filed.

(2)

If the board accepts the recommendation of the complaint committee that a complaint does not warrant the issuance of a formal complaint, it shall:

(a)

Dismiss the complaint; and

(b)

Notify the complainant and respondent of the board's decision.

(3)

If the board accepts the recommendation of the complaint committee that a violation has occurred but is not serious, the board shall issue a private written admonishment to the credential holder.

(a)

A copy of the private written admonishment shall be placed in the permanent file of the credential holder.

(b)

A private admonishment shall not be subject to disclosure to the public under KRS 61.878(1)(l) and shall not constitute disciplinary action, but may be used by the board for statistical purposes or in any subsequent disciplinary action against the credential holder or applicant.

(4)

If the board accepts the recommendation of the complaint committee that a complaint warrants a disciplinary action, the board shall issue a notice of disciplinary action and inform the credential holder;

(a)

Of the specific reason for the board's action, including:

1.

The statutory or regulatory violation; and

2.

The factual basis on which the disciplinary action is based;

(b)

Of the penalty to be imposed; and

(c)

That the credential holder may appeal the penalty to the board within twenty (20) calendar days of the date of the board's notice.

1.

A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the board's notice.

2.

If the request for an administrative hearing is not timely filed, the notice of denial shall be effective upon the expiration of the time for the credential holder to request an appeal.

Section 5.

If the board determines that a person is in violation of KRS 309.0805(1), it shall:

(1)

Order the individual to cease and desist from further violations of KRS 309.0805(1); or

(2)

Initiate action in Franklin Circuit Court pursuant to KRS 309.0813(13) for injunctive relief to stop the violation of KRS 309.0805(1).

Section 6.

Settlement by Informal Proceedings.

(1)

The board, through counsel and the complaint committee, may, at any time during this process, enter into informal proceedings with the individual who is the subject of the complaint for the purpose of dispensing with the matter.

(2)

An agreed order or settlement reached through this process shall be approved by the board and signed by the individual who is the subject of the complaint and the chair.

Section 7.

Revocation of Probation.

(1)

(a)

If the board moves to revoke the probation of a credential holder, the board shall issue a notice of revocation and inform the credential holder:

1.

Of the factual basis on which the revocation is based;

2.

Of each probation term violated; and

3.

That the credential holder may appeal the revocation to the board within fifteen (15) days of the date of notification of revocation.

(b)

The notification shall be sent to the last known address on file with the board for the credential holder.

(2)

A written request for an administrative hearing shall be filed with the board within fifteen (15) calendar days of the date of the board's notice.

(3)

If the request for an administrative hearing is not timely filed, the notice of denial shall be effective upon the expiration of the time for the credential holder to request an appeal.

Section 8.

Any request for an administrative hearing shall be sent to the Board of Alcohol and Drug Counselors by mail to P.O. Box 1360, Frankfort, Kentucky 40602 or by hand-delivery to 500 Mero Street, Second Floor, Frankfort, Kentucky 40601.

Section 9.

The administrative hearing shall be conducted in accordance with KRS Chapter 13B.

Section 10.

Incorporation by Reference.

(1)

"Complaint Form", DPL-ADC-26, October 2026, is incorporated by reference.

(2)

This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero Street, Second Floor, Frankfort, Kentucky 40601, telephone (502) 564-3296, ext. 222, Monday through Friday, 8:00 a.m. to 4:30 p.m.

201 KAR 35:061

KARYN HASCAL, Board Chair

APPROVED BY AGENCY: November 10, 2026

FILED WITH LRC: November 10, 2026 at 1:10 p.m.

PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on January 27th, 2027, at 8:00 a.m. to 4:30 p.m. at the Mayo-Underwood Building, Conference Room 127CW, 500 Mero Street, Frankfort, Kentucky. Individuals interested in being heard at this hearing shall notify this agency in writing by five (5) workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing was received by that date, the hearing may be cancelled. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted through January 31, 2027. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person by using the PPC public comment portal at the address listed below.

CONTACT PERSON: Name: Michelle A. VanHook, Title: Staff Attorney III, Agency: Department of Professional Licensing, Office of Legal Services, Address: 500 Mero Street, Frankfort, Kentucky 40601, Phone Number: (502) 564-3296, Fax: (502) 564-4818, Email: michelle.vanhook@ky.gov, Link to PPC public comment portal: https://ppc.ky.gov/reg_comment.aspx

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

Contact Person:

Michelle A. VanHook, Staff Attorney III, Phone: (502) 564-3296, Email: michelle.vanhook@ky.gov

Subject Headings:

Alcohol and Drug Counselors, Boards and Commissions, Appeals and Hearings

(1) Provide a brief summary of:

(a) What this administrative regulation does:

This administrative regulation establishes the complaint and administrative hearing process to address alleged violations brought before the board.

(b) The necessity of this administrative regulation:

This regulation is necessary to establish a complaint and administrative hearing process to address alleged violations brought before the board.

The regulation is in conformity with the authorizing statute in so far as it gives the board the ability to promulgate regulations regarding the requirements for the administrative hearing process to address alleged violations brought before the board.

(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:

This regulation will assist in establishing the complaint, investigation, and administrative hearing process of alleged violations brought before the board.

(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

(a) How the amendment will change this existing administrative regulation:

N/A

(b) The necessity of the amendment to this administrative regulation:

N/A

(d) How the amendment will assist in the effective administration of the statutes:

N/A

(3) Does this administrative regulation or amendment implement legislation from the previous five years?

: No.

(4) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:

The board is unable to determine the exact number of persons who would be impacted by this regulation since the number of applications varies from month to month. Presently, there are 4369 credential holders licensed, certified, or registered with the board and specified below (as of September 29, 2026): License Type:Number of Licensees: LADC(Licensed Alcohol & Drug Counselor) 26 LCADC (Licensed Clinical Alcohol & DrugCounselor) 717 LCADCA (Licensed Clinical Alcohol & Drug Counselor Associate) 34 CADC (Certified Alcohol & Drug Counselor) 500 TCADC (Temporary Certified Alcohol & Drug Counselor) 1122 CADCA II (Certified Alcohol & Drug Counselor Associate – II) 88 CADCA I (Certified Alcohol & Drug Counselor Associate – I) 209 RADPSS (Registered Alcohol & Drug Peer Support Specialist) 291 TRADPSS (Temporary Registered Alcohol & Drug Peer Support Specialist) 1170 CCS (Certified Clinical Supervisor) 212 TOTAL: 4369

(5) Provide an analysis of how the entities identified in question (4) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

(a) List the actions that each of the regulated entities identified in question (4) will have to take to comply with this administrative regulation or amendment:

The credential holder will have to comply with the complaint procedure set forth in the regulation and request a hearing should the credential holder choose to appeal a disciplinary action taken by the board against them.

(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (4):

The board is unable to determine the additional costs for complying with this regulation since it would be the cost of litigation should a credential holder choose to appeal a disciplinary action and obtain private counsel.

Credential holders will now have a clearer understanding of the complaints procedure followed by the board.

(6) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:

(a) Initially:

No new costs will be incurred by the changes.

(b) On a continuing basis:

No new costs will be incurred by the changes.

(7) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation or this amendment:

The board’s operations are funded by fees paid by credential holders and applicants.

(8) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:

There are no increases in fees or funding required to implement this administrative regulation.

(9) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:

There are no fees or fee increases associated with the administrative regulation.

(10) TIERING: Is tiering applied?

Tiering was not applied as the regulation is applicable to all credential holders. This regulation does not distinguish between similarly situated individuals on the basis of any factor.

FISCAL IMPACT STATEMENT

(1) Identify each state statute, federal statute, or federal regulation that requires or authorizes the action taken by the administrative regulation:

KRS 309.0813(6) (7), (11); KRS 309.086.

(2) State whether this administrative regulation is expressly authorized by an act of the General Assembly, and if so, identify the act:

Not applicable.

(3)(a) Identify the promulgating agency and any other affected state units, parts, or divisions:

The Kentucky Board of Alcohol and Drug Counselors.

(b) Estimate the following for each affected state unit, part, or division identified in (3)(a):

1. Expenditures:

For the first year:

There are no expenditures anticipated in the first year.

For subsequent years:

There are no expenditures anticipated in subsequent years.

2. Revenues:

For the first year:

There are no revenues anticipated in the first year.

For subsequent years:

There are no revenues anticipated in subsequent years.

3. Cost Savings:

For the first year:

No cost savings are anticipated in the first year.

For subsequent years:

No cost savings are anticipated in subsequent years.

(4)(a) Identify affected local entities (for example: cities, counties, fire departments, school districts):

None anticipated.

(b) Estimate the following for each affected local entity identified in (4)(a):

1. Expenditures:

For the first year:

Not applicable.

For subsequent years:

Not applicable.

2. Revenues:

For the first year:

Not applicable.

For subsequent years:

Not applicable.

3. Cost Savings:

For the first year:

Not applicable.

For subsequent years:

Not applicable.

(5)(a) Identify any affected regulated entities not listed in (3)(a) or (4)(a):

None anticipated.

(b) Estimate the following for each regulated entity identified in (5)(a):

1. Expenditures:

For the first year:

Not applicable.

For subsequent years:

Not applicable.

2. Revenues:

For the first year:

Not applicable.

For subsequent years:

Not applicable.

3. Cost Savings:

For the first year:

Not applicable.

For subsequent years:

Not applicable.

(6) Provide a narrative to explain the following for each entity identified in (3)(a), (4)(a), and (5)(a)

(a) Fiscal impact of this administrative regulation:

There is no fiscal impact anticipated to any entity identified in response to (3)(a), (4)(a), or (5)(a).

(b) Methodology and resources used to reach this conclusion:

Methodology and resources used are the fiscal department within the Public Protection Cabinet, Department of Professional Licensing.

(7) Explain, as it relates to the entities identified in (3)(a), (4)(a), and (5)(a):

(a) Whether this administrative regulation will have a "major economic impact", as defined by KRS 13A.010(14):

It is not anticipated that this administrative regulation will have an overall negative or adverse major economic impact to the entities identified.

(b) The methodology and resources used to reach this conclusion: