Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS 6.611, 6.686, 6.691
NECESSITY, FUNCTION, AND CONFORMITY: KRS 6.666(5) requires the
commission to promulgate administrative regulations necessary to implement KRS 6.601 through 6.849. KRS 6.686 requires the commission to conduct adjudicatory
hearings into alleged violations of KRS 6.601 through 6.849 in appropriate
cases. This administrative regulation establishes the requirements governing
adjudicatory proceedings of the commission.
Section
1. Definitions.
(1) "Commission"
is defined by KRS 6.611(9).
(2)
"Complaint" means a formal, written complaint filed in accordance with KRS 6.686 that accuses one (1) or more persons of violating a provision of KRS 6.601 to 6.849.
(3) "Enforcement
counsel" means the attorney employed by the commission to investigate and
prosecute a complaint.
(4)
"Respondent" means a person accused in a complaint of violating any of the
provisions of KRS 6.601 to 6.849.
Section 2. Joinder of Complaints.
(1) Separate complaints against a single
respondent may be consolidated by the commission and heard as a single
case.
(2)
(a) Separate complaints against two (2) or
more respondents may be consolidated and heard as a single proceeding if the
commission determines that the complaints are based upon the same or related
set of facts.
(b) If allegations
against two (2) or more respondents are heard as a single proceeding, the
commission shall make separate findings regarding each respondent.
Section 3. Rulings on
Motions.
(1) A substantive or dispositive
motion such as a motion to dismiss or a motion to exclude evidence shall be
ruled on by the commission.
(2) A
procedural motion such as a motion for a continuance shall by ruled on by the
commission chair or another member authorized by the commission.
(3) All pleadings, motions, and exhibits
shall be filed with the principal assistant of the commission staff and copies
served on each respondent or respondent's counsel and on the commission's
enforcement counsel in accordance with the Kentucky Rules of Civil
Procedure.
Section 4.
Authority for Settlement Negotiations.
(1) The
commission may authorize:
(a) Its enforcement
counsel to attempt to negotiate a settlement with the respondent; and
(b) Its chair to accept or reject a proposed
negotiated settlement.
(2) If a proposed negotiated settlement is
reached and accepted, the procedures established in this subsection shall be
followed.
(a) The commission shall conduct an
adjudicatory hearing as required by KRS 6.691(5) before imposing any penalty on
the respondent.
(b) The respondent
shall waive the introduction of evidence at the hearing.
(3) If a proposed negotiated settlement is
rejected, the respondent's offer of settlement shall not be used against the
respondent.
Section 5.
Witness Lists.
(1) At least ten (10) days
before the date set for the adjudicatory hearing, the attorneys for the parties
and for the commission shall provide to the commission the names and addresses
of all proposed witnesses.
(2) A
copy of each witness list shall be served upon each opposing party or counsel
as provided by the Kentucky Rules of Civil Procedure.
(3) Additional witnesses may only be called
for rebuttal, or with the permission of the commission for good cause
shown.
(4) Commission staff shall
provide all witnesses with a copy of this administrative regulation in
accordance with KRS 6.691(1).
Section
6. Prehearing Conference.
(1) The
commission chair may order that a prehearing conference be held for the
purposes set out in Kentucky CR 95 with reasonable notice to each respondent or
respondent's attorney and to enforcement counsel.
(2) The commission chair, or another member
authorized by the commission, shall preside over the prehearing
conference.
Section 7.
Amendments to the Complaint or Answer.
(1) The
complaint may be amended before or after the commencement of the hearing to
conform to the proof or to set forth additional facts.
(2) If the complaint is amended, the
respondent shall be given twenty (20) days to answer the amended complaint and
a reasonable time to prepare his or her defense against the matters charged in
the amended complaint.
Section
8. Hearing Additional Evidence.
(1) The commission may order a hearing for
the taking of additional evidence at any time while the complaint is pending
before it.
(2) The order shall set
the time and place of the hearing and shall indicate the matters on which the
evidence is to be taken.
(3) A copy
of the order shall be sent by mail to the respondent or the respondent's
attorney at least ten (10) days prior to the date of the hearing.
Section 9. Deliberations. The
commission shall deliberate and publish its findings and conclusions in
accordance with KRS 6.691(4) and (5).
Section
10. Transcript of Evidence. Adjudicatory hearings before the
commission shall be reported by a reporter or recorded by an electronic
device.
STATUTORY AUTHORITY: KRS 6.666(5)