KAR 11:190 Complaint Screening Committee

Section 3
(1)(a) The commission chair may create at least one (1) complaint screening committee.
(b) Each complaint screening committee shall consist of no more than three (3) commissioners.
(2) The complaint screening committee shall:
(a) Review complaints, supplements, answers, and replies consistent with the Complaint Review Process Chart;
(b) Order investigation or further investigation;
(c) Review investigative reports;
(d) Determine whether the commission’s Research, Education, and Recovery fund shall be at issue; and
(e) Make recommendations as to the disposition of the pending complaint to the full commission.

(3) The committee may be assisted by the commission staff and counsel.

(4)(a) Prior to the complaint screening committee’s review of an investigative report, the commission’s investigator shall notify the respondent that he or she may request a copy of the commission’s investigation report to review and address factual matters contained in the investigation report.
(b) In the investigator’s determination, the report and exhibits shall be redacted to protect personal and sensitive information relating to witnesses.
(c) If the respondent believes a factual discrepancy exists in the investigation report, he or she shall notify the investigator in writing within five (5) days of receiving the report for review and provide the investigator with supporting documentation to rebut the factual discrepancy, if available.
(d) The investigator shall make any changes necessary based on his or her review of the respondent’s notification.

(5) The committee shall report its findings and recommendations for disposition of complaints to the full commission in the form of a motion, and the commission shall:
(a) Dismiss the complaint without an administrative hearing if the facts or evidence do not indicate a prima facie case for a violation of KRS Chapter 324; or
(b) Find a violation of a provision of KRS Chapter 324 or 201 KAR Chapter 11 and issue notice of proposed action against the licensee consistent with KRS Chapter 13B.

(6) The commission, through the complaint screening committee, may engage in informal settlement negotiations, consistent with Section 5 of this administrative regulation.

(7) A commissioner shall recuse himself or herself from any matter relating to an administrative hearing or final order that resolves a case if he or she:
(a) Performed or directed some or all of the investigation;
(b) Has a personal or business relationship with either the complainant or any respondent;
(c) Is the complainant, a respondent, or a witness;
(d) Believes that his or her impartiality may fairly be called into question; or
(e) Is advised to recuse by the office of general counsel or the executive director of the Kentucky Real Estate Authority.


(8) The commission shall notify the complainant and respondent in writing of its decision regarding the disposition of a complaint

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