Kentucky Administrative Regulations
Title 201 - GENERAL GOVERNMENT CABINET
Chapter 41 - Board of Private Investigators
Section 201 KAR 41:080 - Complaint procedure

(1) "Chair" means the chairman or vice-chairman of the board.

(2) "Charge" means a specific allegation contained in a formal complaint, as established in subsection (5) of this section, issued by the board alleging a violation of a specified provision of KRS Chapter 329A, the administrative regulations promulgated thereunder, or any other state or federal statute or regulation.

(3) "Complaint" means any written allegation of misconduct by a licensed individual or other person which might constitute a violation of KRS Chapter 329A, the administrative regulations promulgated thereunder, or any other state or federal statute or regulation.

(4) "Complaint screening committee" means a committee consisting of up to two (2) members of the board appointed by the chair to review complaints and investigative reports, and to participate in informal proceedings to resolve a complaint. In addition to board members, legal counsel for the board and one (1) other staff member may be appointed to assist the committee, but shall not have voting privileges.

(5) "Formal complaint" means a formal administrative pleading authorized by the board which sets forth charges against a licensed individual or other person and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B or requests a court of competent jurisdiction to take criminal or civil action.

(6) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of resolving any matter with the consent of the board and the respondent in lieu of formal disciplinary procedures under KRS Chapter 13B.

(7) "Investigator" means an individual designated by the board to assist the board in the investigation of a complaint or an investigator employed by the attorney general or the board.

(8) "Respondent" means the licensee or an unlicensed person who is the subject of a complaint.

(1) A complaint may be submitted by an individual, a legal entity, or the board on its own initiative.

(2) If the complaint is offered by an individual or a legal entity, it shall be:

(3) Upon receipt of a complaint:

(1) After the receipt of a complaint and the expiration of the period for the respondent's answer, the complaint screening committee shall consider the respondent's answer, complainant's reply to the answer, 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 that a complaint is without merit, it shall:

(3) If the board determines that a complaint warrants a formal investigation, it may authorize an investigation into the matter.

(4) If the board determines it possesses sufficient evidence to issue a formal complaint without the need for a formal investigation, it may issue a formal complaint without a formal investigation.

(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 complaint screening 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 Chapter 329A or the administrative regulations promulgated thereunder and whether a formal complaint should be filed.

(2) Following the investigation, if the board determines that a complaint does not warrant the issuance of a formal complaint, it shall:

(3) If the board determines that a complaint warrants the issuance of a formal complaint against the respondent, counsel for the board, in conjunction with 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 respondent as required by KRS Chapter 13B. Following an investigation, if the board determines that an unlicensed person may be in violation of KRS 329A.015, it may initiate action in circuit court pursuant to KRS 329A.025(3)(l) for injunctive relief to stop the violation of KRS 329A.015.

(1) The board through counsel and the complaint screening committee may at any time during this process enter into informal proceedings with the respondent for the purpose of resolving the matter.

(2) A proposed agreed order or settlement reached through this process shall be approved by the board and signed by the respondent and the chair.

(3) The board may employ mediation as a method of resolving the matter informally.

(1) "Complaint Form and Instructions", (2006 Edition), is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensure for Private Investigators, 911 Leawood Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.