200 KAR 30:020reg. Complaint review

      Section 1. Form of Complaint: Response. (1) A complaint shall be:

      (a) Submitted to the division;

      (b) In writing; and

      (c) Signed by the person offering the complaint.

      (2) A complaint may be filed by a person or institution, including the office[division] or appropriate college, university, or athletic regulatory body, based upon information in its possession.

      (3) Upon receipt of a complaint, the office[division] shall:

      (a) Send a copy to the appropriate college, university, or athletic regulatory body; and

      (b) Send to the athlete agent or student athlete named in the complaint:

      1. A copy of the complaint; and

      2. A request for a response to the complaint.

      (4) The response shall be:

      (a) Filed with the office[division] within twenty (20) days from the date of service of the complaint; and

      (b) Served upon the appropriate college, university, or athletic regulatory body.

 

      Section 2. Review by Appropriate College, University, or Athletic Regulatory Body. (1) After the receipt of a complaint, and a response, or after the period of time for a response to be filed has expired, the appropriate college, university, or athletic regulatory body shall enter an initial determination within thirty (30) days stating in writing whether a formal investigation of the complaint is necessary. An extension of time shall be granted by the office[division] for good cause, upon request by the institution.

      (2)(a) A college, university, or athletic regulatory body shall determine that a complaint does not warrant a formal investigation if:

      1. The complaint does not allege a violation of KRS 164.6901[164.680] to 164.6935[164.689] or 200 KAR Chapter 30; or

      2. The allegations in the complaint, if true, would not constitute a violation of KRS 164.6901[164.680] to 164.6935[164.689] or 200 KAR Chapter 30.

      (b) If the college, university, or athletic regulatory body determines that a complaint does not warrant a formal investigation pursuant to paragraph (a) of this subsection, the college, university, or athletic regulatory body shall notify the complaining party, the person against whom the complaint was made, and the office[division] of its recommendation not to proceed in writing and within ten (10) days of the date of the decision. The office[division] shall:

      1. Accept the recommendation not to proceed; or

      2. Order a formal investigation under subsection (3) of this section.

      (3) If the office[division], the appropriate college, university, or athletic regulatory body determines that a complaint warrants a formal investigation, the college, university, or athletic regulatory body shall:

      (a) Issue a written statement notifying the office[division], person against whom the complaint was made, and person or institution making the complaint, of the decision to investigate the complaint; and

      (b) Authorize its president, athletic director, or designated representative, and an investigative assistant, to investigate the complaint and report their findings and recommendations to the office[division] within ninety (90) days of the date of the notification of the decision to investigate. An extension of time shall be granted by the office[division] for good cause shown.

 

      Section 3. Issuance of Recommendations: Review by the Office[Division]. (1) Upon completion of the formal investigation, the college, university, or athletic regulatory body shall issue a written report to the office[division] stating its factual findings and recommendations as to the proper disposition of the complaint. The recommendations shall be served upon the person against whom the complaint was made. If disciplinary action is recommended, the report shall state the charges upon which the recommendations are based.

      (2) Within fifteen (15) days of receipt of the recommendation, the office[division] shall take action as required by KRS 164.6913[164.687(1)].

      (3) If the office[division] determines that the charges do not warrant disciplinary action, the complaint shall be dismissed. The office[division] shall notify the complaining party, the individual being investigated, and the appropriate college, university, or athletic regulatory body, of the outcome of the complaint.

      (4) If the office[division] determines that the charges warrant disciplinary action, the office[division] shall issue an order stating the charges, and the disciplinary action imposed. The order shall be signed by the director and served upon the person disciplined by certified mail.

      (5) An order by the office[division] may be appealed as authorized by KRS 164.6913(2)[164.687(2)].

 

      Section 4. Notice and Service of Process. (1) Unless waived by the recipient, service of notice and other process shall be made by hand-delivery or delivery by certified mail, return receipt requested, to the individual's[last known] address provided to the office at the time of registration or, if known, by regular mail on the named individual's attorney or registered agent.

      (2) Refusal of service if by certified mail, or avoidance of service if hand-delivered, shall not prevent the office[division] from proceeding, as may be appropriate.

 

WILLIAM L. BROWN, Executive Director

      APPROVED BY AGENCY: May 12, 2016

      FILED WITH LRC: May 13, 2016 at 9 a.m.

      PUBLIC HEARING AND PUBLIC COMMENT PERIOD: A public hearing on this administrative regulation shall be held on Wednesday, June 29, 2016 at 9:00 p.m., local time, at the Kentucky Office of Occupations and Professions, 911 Leawood Drive, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing five (5) workdays prior to the hearing of their intent to attend. If no notification of intent to attend the hearing is received in writing five (5) workdays prior to the hearing date, the hearing may be canceled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made in writing five (5) workdays prior to the hearing. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted until the end of day Thursday, June 30, 2016. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.

      CONTACT PERSON: John Marcus Jones, Board Counsel, Office of the Attorney General, 700 Capital Avenue, Suite 118, Frankfort, Kentucky 40601, phone [phone], fax [phone].

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Person: Marcus Jones

      (1) Provide a brief summary of: Establishes the procedures for receiving and processing complaints regarding agents and athletes under the Uniform Athlete Agents Act and its regulations.

      (a) What this administrative regulation does: This administrative regulation establishes the procedures for receiving and processing complaints regarding the agents and athletes under the Uniform Athlete Agents Act and its regulations.

      (b) The necessity of this administrative regulation: The regulation is necessary to establish uniform procedures for receiving and processing complaints. The regulation is necessary for establishing a hearing and appeal procedure registered agent and athlete disciplinary actions.

      (c) How does this administrative regulation conform to the content of the authorizing statutes? KRS 164.6905(3) authorizes the Office to promulgate regulations necessary to carry out the provisions of KRS 164.6901 to 164.6935. KRS 164.6911 authorizes the office to investigate allegations brought to its attention and prosecute violations of the Uniform Athlete Agents Act.

      (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: This administrative regulation informs licensees and the public of the complaint procedures and hearing process for complaints.

      (2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

      (a) How the amendment will change this existing administrative regulation: The amendment will update the current complaint procedures listed in 200 KAR Chapter 30 to match statute changes implemented by the General Assembly to the Uniform Athlete Agents Act.

      (b) The necessity of the amendment to this administrative regulation: The amendment is necessary to add protections of the confidential information of individuals that file complaints. The amendment is necessary to update the current complaint procedures listed in 200 KAR Chapter 30 to match statute changes implemented by the General Assembly to the Uniform Athlete Agents Act.

      (c) How the amendment conforms to the content of the authorizing statutes: KRS 164.6905 authorizes the Office to promulgate regulations and enforce the provisions of the Uniform Athlete Agents Act. KRS 164.6913 allows the Office to take disciplinary action against registered agents and student athletes that violate the terms of the Uniform Athlete Agents Act and regulations.

      (d) How the amendment will assist in the effective administration of the statutes: This amendment will protect individuals that file complaints by creating a process to protect personal contact numbers and information. The amendment will update the current complaint procedures listed in 200 KAR Chapter 30 to match statute changes implemented by the General Assembly to the Uniform Athlete Agents Act.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: An estimated 225 persons will seek a certificate of registration as an athlete agent within the next fiscal year, this regulation will also continue as new applicants seek a certificate of registration from the Office.

      (4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

      (a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment: This administrative regulation requires the public to comply with the complaint procedures that protect student athletes.

      (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3): There are no additional costs to registered agents or student athletes to comply with this regulation that are anticipated.

      (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): Individuals that file complaints will have confidential identifying information protected by the Office. The public will have updated regulations that match the Uniform Athlete Agents Act.

      (5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:

      (a) Initially: The budget for the Office is $55,000 annual. It will not cost the administrative body any additional funds to implement this administrative regulation.

      (b) On a continuing basis: The budget for the Office is estimated to continue to have a budget of $55,000 annual. It will not cost the administrative body any additional funds to implement this administrative regulation.

      (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: The office’s operation is funded by fees paid by the registered athlete agents and applicants for new registrations.

      (7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new or by the change if it is an amendment: No increase in fees or funding is necessary to implement this administrative regulation change.

      (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: This regulation does not increase or establish a fee. This regulation only establishes the procedure for the review of complaints.

      (9) Tiering: Is tiering applied? No. Tiering is not applied because this change in the administrative regulation will apply to all registered agents and applicants for registration as an athlete agent equally.

 

FISCAL NOTE ON STATE OR LOCAL GOVERNMENT

 

      1. What units, parts or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?

The Office of Occupations and Professions is the administrative body regulating the Uniform Athlete Agents Act pursuant to KRS 164.6905.

      2. Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. KRS 164.6905, 164.6913, KRS 164.6929.

      3. Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect. This administrative regulation will not have any effect on the expenditures and revenues of state and local government.

      (a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year? The revenue generated will depend on the number of applicants for registration for the year.

      (b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years? The revenue will depend on the number of applicants for registration for the subsequent years.

      (c) How much will it cost to administer this program for the first year? None

      (d) How much will it cost to administer this program for subsequent years? None

      Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.

      Revenues (+/-): N/A

      Expenditures (+/-): N/A

      Other Explanation: N/A

Notation

      RELATES TO: KRS 164.6913[164.680] – 164.6933[164.689]

      STATUTORY AUTHORITY: KRS 164.6913(1), (2)[164.681(4)]

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 164.6905(3)[164.681(4)] authorizes the office[division] to promulgate administrative regulations necessary to implement KRS 164.6901[164.680] to 164.6935[164.689]. This administrative regulation establishes the procedure for review of a complaint against an athlete agent or student athlete. KRS 164.6905(3)[164.681(4)] authorizes the office[division] to promulgate administrative regulations establishing a procedure to review complaints against athlete agents and student athletes for violation of KRS 164.6901[164.680] to 164.6935[164.689], and the administrative regulations promulgated thereunder. This administrative regulation sets forth procedures for review of complaints.