Current through Register Vol. 51, No. 3, September 1, 2024
RELATES TO:
KRS
335.540,
335.545
NECESSITY, FUNCTION, AND CONFORMITY:
KRS
335.515(3) requires the
board to promulgate administrative regulations necessary to carry out and
enforce the provisions of
KRS
335.500 to
335.599. This administrative
regulation establishes the procedures for filing, investigating, and addressing
a complaint filed against a professional counselor.
Section 1. Receipt of Complaints.
(1) A complaint:
(a) May be submitted by an:
1. Individual;
2. Organization; or
3. Entity;
(b) Shall be:
1. In writing and provided on the Complaint
Form, DPL-LPC-12; and
2. Signed by
the person submitting the complaint; and
(c) May be filed by the board based upon
information in its possession.
(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
receipt to submit a written response.
(3)
(a)
Upon receipt of the written response of the individual named in the complaint,
a copy of his or her response shall be sent to the complainant.
(b) The complainant shall have seven (7) days
from the 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 or reply, the
complaint screening committee shall consider the individual's response,
complainant's reply to the response, and any 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 the board
determines before formal investigation that a complaint is without merit, it
shall:
(a) Dismiss the complaint;
and
(b) Notify the complainant and
respondent of the board's decision.
(3) If the board determines that a complaint
warrants a formal investigation, it shall:
(a)
Authorize an investigation into the matter; and
(b) Order a report to be made to the
complaint screening committee at the earliest opportunity.
Section 3. Results of Formal
Investigation; Board Decision on Hearing.
(1)
Upon completion of the formal investigation, the investigator shall submit a
report to the complaint screening committee of the facts regarding the
complaint. The committee shall review the investigative report and make a
recommendation to the board. The board shall determine whether there has been a
prima facie violation of
KRS
335.500 to
335.599 or the administrative
regulations promulgated thereunder and a complaint should be filed.
(2) If the board determines that a complaint
does not warrant issuance of a formal complaint, it shall:
(a) Dismiss the complaint or take action
pursuant to KRS
335.540(3); and
(b) Notify the complainant and respondent of
the board's decision.
(3) If the board determines that a complaint
warrants the issuance of a formal complaint against a respondent, the complaint
screening committee shall prepare a formal complaint, which states clearly the
charge or charges to be considered at the hearing. The formal complaint shall
be reviewed by the board and, if approved, signed by the chair and served upon
the individual as required by KRS Chapter 13B.
(4) If the board determines that a person may
be in violation, it shall:
(a) Order the
individual to cease and desist from further violations of
KRS
335.505;
(b) Forward information to the county
attorney of the county of residence of the person allegedly violating
KRS
335.505 with a request that appropriate
action be taken under
KRS
335.599; or
(c) Initiate action in Franklin Circuit Court
for injunctive relief to stop the violation of
KRS
335.505.
Section 4. Settlement by Informal
Proceedings.
(1) The board, through counsel
and the complaint screening 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 appropriately 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.
(3) The board may employ
mediation as a method of resolving the matter informally.
Section 5.
(1) If the complaint screening committee
determines that a violation has occurred but is not serious, the complaint
screening committee may recommend the issuance of a private written reprimand
to the board. If the board accepts the recommendation, the board shall issue a
private written reprimand to the credential holder.
(2) A copy of the private written reprimand
shall be placed in the permanent file of the credential holder.
(3) A private written reprimand shall not:
(a) Be subject to disclosure to the public
under KRS
61.878(1)(l); or
(b) Constitute disciplinary
action.
(4) A private
written reprimand may be used by the board for statistical purposes or in any
subsequent disciplinary action against the credential holder or
applicant.
Section 6. If
the board determines that there is reasonable cause to believe that a license
holder or applicant for a license is physically or mentally incapable of
practicing professional counseling with reasonable skill and safety to clients,
the board may order the license holder or applicant to submit to an examination
by a mental health professional or a physician designated by the board to
determine the license holder's or applicant's mental health or physical status
to practice professional counseling.
Section
7. Notice and Service Process. A notice required by
KRS
335.500 to
335.599 or this administrative
regulation shall be issued pursuant to KRS Chapter 13B and
201 KAR 36:090.
Section 8. Notification. The board shall make
public:
(1) Its final order in a disciplinary
action under KRS
335.540 with the exception of a written
admonishment issued pursuant to
KRS
335.540(3); and
(2) An action to restrain or enjoin a
violation of KRS
335.505.
201 KAR
36:050.
Section 9. Incorporation by Reference.
(1) "Complaint Form", DPL-LPC-12, July 2023,
is incorporated by reference.
(2)
This material may be inspected, copied, or obtained, subject to applicable
copyright law, at the Board of Licensed Professional Counselors, 500 Mero
Street, Frankfort, Kentucky 40601, from 8:00 a.m. to 4:00 p.m., Monday through
Friday. This material is also available on the board's Web site at
lpc.ky.gov.
STATUTORY AUTHORITY:
KRS
335.515(3),
(7)
