Title 201 | Chapter 042 | Regulation 050
PREVIOUS VERSION
The previous document that this document is based upon is available.
201 KAR 42:050.Complaint procedure and disciplinary action.
Section 1.
Definitions.(1)
"Complaint committee" means a committee of the board that:(a)
Reviews an initiating complaint; and(b)
1.
Recommends dismissal or further investigation of the complaint; or2.
Determines the existence of sufficient evidence to bring a formal complaint.(2)
"Formal complaint" means a formal administrative pleading authorized by the board that sets forth a charge against a licensee or applicant and commences a formal disciplinary proceeding under KRS Chapter 13B.(3)
"Initiating complaint" means a written complaint alleging a violation of KRS 309.350 through 309.364.(4)
"Respondent" means the person against whom an initiating complaint or formal complaint has been made.Section 2.
Initiating Complaint.(1)
A complaint may be initiated by:(a)
An individual;(b)
A state or government agency;(c)
Another member of the massage therapy profession; or(d)
The board.(2)
An initiating complaint shall be made in writing to the board and received in the board office.(3)
The board may conduct an investigation on its own initiative, without receipt of a complaint, if the board has reason to believe that there may be a violation of KRS 309.350 through 309.364, or 201 KAR Chapter 42.(4)
A certified copy of a court record for conviction of a misdemeanor or felony shall be considered a valid reason for an initiating complaint.(5)
Any complaint shall be in writing, identify the complainant, including name and contact information, and contain specific details regarding the complaint. Complaints without the required information will not be processed. The Form to File a Complaint or Unlicensed Activity Report may be used for this purpose.Section 3.
Procedure Upon Receipt of Initiating Complaint.(1)
Upon receipt of the initiating complaint, the board office shall send a copy of the initiating complaint to the respondent at the respondent's last address of record with the board.(2)
The respondent shall file a response to the initiating complaint with the board within twenty (20) days after the board mails the initiating complaint to the respondent.(3)
The allegations in an initiating complaint shall be considered true if the respondent fails to respond to the initiating complaint in a timely fashion.Section 4.
(1)
The complaint committee shall:(a)
Review the initiating complaint and the response filed by the respondent at its next meeting; and(b)
Recommend one (1) of the following options to the board at the board's next meeting:1.
Dismissal;2.
Further investigation;3.
Issuance of a formal complaint; or4.
Referral to another government agency.(2)
A complaint committee member having any known conflict of interest shall be recused from the matter and disclose the existence of the conflict in a regular board meeting.Section 5.
Board Action upon Recommendation of Complaint Committee. At the board's next meeting following review by the complaint committee, the board shall review the committee's recommendations and shall accept or reject the recommendations in whole or in part.Section 6.
Dismissals. The complainant and respondent shall be notified if a case is dismissed.Section 7.
Investigations.(1)
If investigation is warranted, the board shall appoint one (1) of its members or an agent or representative of the board to conduct an investigation of the complaint.(2)
In its investigation, the board may be assisted by:(a)
Board staff;(b)
A board agent; or(c)
The Office of the Attorney General.Section 8.
Formal complaints. If the board finds that sufficient evidence exists to file a formal complaint, the board shall:(1)
Resolve the case informally by agreed order; or(2)
File a formal complaint, in accordance with KRS Chapter 13B.Section 9.
Settlement by Informal Proceedings.(1)
The board, through counsel, may enter into informal discussions or negotiations with the respondent for the purpose of appropriately dispensing with the matter.(2)
An agreed order or settlement reached through informal proceedings shall be approved by the board and signed by the chair of the board, the respondent, and the respondent's attorney. A copy shall be placed in the licensee's file and a copy shall be mailed to the complainant.(3)
The board may employ mediation as a method of resolving the matter informally.Section 10.
Procedures for Disciplinary Hearings.(1)
All procedures for disciplinary hearings shall conform to KRS Chapter 13B.(2)
Testimony to be considered by the board, hearing panel, or hearing officer, if any, may be taken by deposition. A party or witness may be allowed to testify by deposition, rather than attend the hearing, upon a showing of inability to attend and a showing that other parties shall have an opportunity to cross-examine at the deposition. The presiding officer or hearing officer, if any, shall rule upon motions to allow testimony to be considered by deposition, subject to review and approval by the board.(3)
The presiding officer or hearing officer, if any, may order that at least five (5) days prior to the hearing, each party shall file a summary of each witness' expected testimony.(4)
The board may request recovery of administrative costs and fees incurred by the board in processing, investigating, or administering a complaint to be paid by a respondent. The request shall be submitted by motion to an administrative hearing officer assigned under KRS 13B.080 to preside over a KRS Chapter 13B hearing of the complaint. The request may also be made to a circuit court judge presiding over an action for injunction filed by the board pursuant to KRS 309.355(6).Section 11.
Final Disposition. Upon reaching a decision, the board shall notify the respondent in writing, by certified mail or personal service, of its final disposition of the matter and the complainant shall be notified by regular mail.Section 12.
Incorporation by Reference.(1)
The following material is incorporated by reference:(a)
"Form to File a Complaint", June 2021; and(b)
"Unlicensed Activity Report", June 2021.(2)
This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601. The board's Web site address is: https://bmt.ky.gov/.HISTORY: (32 Ky.R. 1019; 1227; eff. 2-3-2006; 37 Ky.R. 1016; 1700; 1992; eff. 3-4-2011; 42 Ky.R. 1594; 2055; eff. 2-5-2016; 48 Ky.R. 1251, 2581; eff. 7-5-2022.)
FILED WITH LRC: March 7, 2022
CONTACT PERSON: Kevin Winstead, Commissioner, Department of Professional Licensing, 500 Mero Street, phone (502) 782 - 8805, fax (502) 564-3969, email KevinR.Winstead@ky.gov.
201 KAR 42:050.Complaint procedure and disciplinary action.
Section 1.
Definitions.(1)
"Complaint committee" means a committee of the board that:(a)
Reviews an initiating complaint; and(b)
1.
Recommends dismissal or further investigation of the complaint; or2.
Determines the existence of sufficient evidence to bring a formal complaint.(2)
"Formal complaint" means a formal administrative pleading authorized by the board that sets forth a charge against a licensee or applicant and commences a formal disciplinary proceeding under KRS Chapter 13B.(3)
"Initiating complaint" means a written complaint alleging a violation of KRS 309.350 through 309.364.(4)
"Respondent" means the person against whom an initiating complaint or formal complaint has been made.Section 2.
Initiating Complaint.(1)
A complaint may be initiated by:(a)
An individual;(b)
A state or government agency;(c)
Another member of the massage therapy profession; or(d)
The board.(2)
An initiating complaint shall be made in writing to the board and received in the board office.(3)
The board may conduct an investigation on its own initiative, without receipt of a complaint, if the board has reason to believe that there may be a violation of KRS 309.350 through 309.364, or 201 KAR Chapter 42.(4)
A certified copy of a court record for conviction of a misdemeanor or felony shall be considered a valid reason for an initiating complaint.(5)
Any complaint shall be in writing, identify the complainant, including name and contact information, and contain specific details regarding the complaint. Complaints without the required information will not be processed. The Form to File a Complaint or Unlicensed Activity Report may be used for this purpose.Section 3.
Procedure Upon Receipt of Initiating Complaint.(1)
Upon receipt of the initiating complaint, the board office shall send a copy of the initiating complaint to the respondent at the respondent's last address of record with the board.(2)
The respondent shall file a response to the initiating complaint with the board within twenty (20) days after the board mails the initiating complaint to the respondent.(3)
The allegations in an initiating complaint shall be considered true if the respondent fails to respond to the initiating complaint in a timely fashion.(4)
(a)
(b)
Section 4.
(1)
The complaint committee shall:(a)
Review the initiating complaint and the response filed by the respondent at its next meeting; and(b)
Recommend one (1) of the following options to the board at the board's next meeting:1.
Dismissal;2.
Further investigation;3.
Issuance of a formal complaint; or4.
Referral to another government agency.(2)
A complaint committee member having any known conflict of interest shall be recused from the matter and disclose the existence of the conflict in a regular board meeting.Section 5.
Board Action upon Recommendation of Complaint Committee. At the board's next meeting following review by the complaint committee, the board shall review the committee's recommendations and shall accept or reject the recommendations in whole or in part.Section 6.
Dismissals. The complainant and respondent shall be notified if a case is dismissed.Section 7.
Investigations.(1)
If investigation is warranted, the board shall appoint one (1) of its members or an agent or representative of the board to conduct an investigation of the complaint.(2)
In its investigation, the board may be assisted by:(a)
Board staff;(b)
A board agent; or(c)
The Office of the Attorney General.Section 8.
Formal complaints. If the board finds that sufficient evidence exists to file a formal complaint, the board shall:(1)
Resolve the case informally by agreed order; or(2)
File a formal complaint, in accordance with KRS Chapter 13B.Section 9.
Settlement by Informal Proceedings.(1)
The board, through counsel, may enter into informal discussions or negotiations with the respondent for the purpose of appropriately dispensing with the matter.(2)
An agreed order or settlement reached through informal proceedings shall be approved by the board and signed by the chair of the board, the respondent, and the respondent's attorney. A copy shall be placed in the licensee's file and a copy shall be mailed to the complainant.(3)
The board may employ mediation as a method of resolving the matter informally.Section 10.
Procedures for Disciplinary Hearings.(1)
All procedures for disciplinary hearings shall conform to KRS Chapter 13B.(2)
Testimony to be considered by the board, hearing panel, or hearing officer, if any, may be taken by deposition. A party or witness may be allowed to testify by deposition, rather than attend the hearing, upon a showing of inability to attend and a showing that other parties shall have an opportunity to cross-examine at the deposition. The presiding officer or hearing officer, if any, shall rule upon motions to allow testimony to be considered by deposition, subject to review and approval by the board.(3)
The presiding officer or hearing officer, if any, may order that at least five (5) days prior to the hearing, each party shall file a summary of each witness' expected testimony.(4)
The board may request recovery of administrative costs and fees incurred by the board in processing, investigating, or administering a complaint to be paid by a respondent. The request shall be submitted by motion to an administrative hearing officer assigned under KRS 13B.080 to preside over a KRS Chapter 13B hearing of the complaint. The request may also be made to a circuit court judge presiding over an action for injunction filed by the board pursuant to KRS 309.355(6).Section 11.
Final Disposition. Upon reaching a decision, the board shall notify the respondent in writing, by certified mail or personal service, of its final disposition of the matter and the complainant shall be notified by regular mail.Section 12.
Incorporation by Reference.(1)
The following material is incorporated by reference:(a)
"Form to File a Complaint", June 2021(b)
"Unlicensed Activity Report", June 2021(2)
This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601.HISTORY: (32 Ky.R. 1019; 1227; eff. 2-3-2006; 37 Ky.R. 1016; 1700; 1992; eff. 3-4-2011; 42 Ky.R. 1594; 2055; eff. 2-5-2016; 48 Ky.R. 1251, 2581; eff. 7-5-2022.)
FILED WITH LRC: March 7, 2022
CONTACT PERSON: Kevin Winstead, Commissioner, Department of Professional Licensing, 500 Mero Street, phone (502) 782 - 8805, fax (502) 564-3969, email KevinR.Winstead@ky.gov.