​​​​​​​​KRS 327.040 (2) requires the board to investigate every alleged violation of this chapter which comes to its notice. ​It is the Complaint Committee’s responsibility to review the complaint and make a recommendation to the Board whether an investigation should be opened or the case should be dismissed.

Complaint Form [PDF, 30KB]

Complaint Flowchart [PDF, 109KB]

Complaint Form

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If an investigation is opened, the Complaint Committee will review the entire investigation file and make a recommendation to the full Board whether the complaint should be dismissed or a “formal complaint” should be​ filed by the Board.
* The Board does accept anonymous complaints online and via mail.*

Complaint Processing Procedure

     A.     Board office sends Complainant a letter acknowledging receipt of complaint.
     B.     Board office shall notify the Respondent of the receipt of the complaint and the essential         
             contents of the complaint.  The Board may keep the Complainant’s name confidential until
             completion of any Board investigation.
     C.    The Respondent shall file a Reply to the Complaint with the Board within twenty (20) days after
             receipt of notice of the complaint.  If the Board does not receive a reply within the twenty days, a
             reminder letter by certified mail may be sent.
     D.    The Board office assigns a number to the complaint to maintain anonymity for full                       
             Board discussions.
     E.     The Board office sends copies of the initiating complaint and Respondent's reply to     
              Complaint Committee.
     F.     The Complaint Committee discusses the material to determine whether:
               1.      there are grounds for an investigation to be conducted, and
               2.      specific sections of KRS Chapter 327 may have been violated.
     G.      Complaint Committee prepares for the next full Board meeting:
               1.      an overview of the facts of the initiating complaint and reply,
                        using numbered identifiers to maintain Respondent’s anonymity.
               2.      an opinion whether there was an alleged violation of KRS Chapter 327
               3.      a recommendation to the Board that it open a Formal Investigation or close the              
II.  PRELIMINARY FULL BOARD DECISION:  Is there sufficient evidence of a violation to
     merit further investigation?
     A.     If the Board votes to close the complaint, the Board office will send letters to both the      
             Complainant and the Respondent, stating that the complaint has been closed.
     B.     If the Board votes to open an investigation, an investigator will be appointed to gather additional
             facts regarding the case.
     A.     The Board office sends copies of the initiating complaint and Respondent's reply to the     
              Investigator assigned to the case.
     B.     The Board staff shall contact the investigator, clearly specify aspects of the complaint to be
              investigated, Sections of KRS Chapter 327 under review, and set a reasonable deadline for
              completion of the report.
     C.     The Board staff remain informed about details of the investigation through
              communication with the Investigator and Board’s Counsel.
     D.     At the completion of the investigation, the Complaint Committee reviews a report of the
              investigation to formulate:
                  1.      an opinion as to whether there was an alleged violation of KRS Chapter 327; and
                  2.      a recommendation to the full Board whether to issue a Formal Complaint or close  
                           the complaint.
IV.  FULL BOARD DECISION: Is there sufficient evidence of a violation to file a Formal      
     A.     If not, the Full board votes to close complaint, and the Board office sends letters to Complainant
             and Respondent, stating that the complaint has been closed
     B.     If so, the Full Board votes to issue a Formal Complaint, alleged violations are specified and a
             Hearing Date is scheduled.
     A.     The Complaint Committee may consult with Counsel regarding settlement negotiations, shielding
              other Board members from prejudicial information should a hearing be necessary.
     B.     The full Board must approve the settlement agreement
                 1.      If settled, Counsel sends letters notifying all parties involved.
                 2.      If not settled, a hearing is held, Complaint Committee will recuse from hearing the
                          matter, but will serve as a consultant to Counsel in presentation of the case.
     C.     The hearing body will consist of Board members and/or a Hearing Officer.   
     D.     The Hearing Officer is given deadline to file a report under KRS Chapter 13B.
VI.  HEARING DECISION:  Is there enough evidence to believe a violation of the law occurred?
     A.     If not, the hearing body dismisses the complaint, and the Board office sends letters of        
             dismissal to parties involved.
     B.     If so, hearing body determines sanctions if a quorum is present or presents sanctions for
             approval at next meeting of the full Board.​