201 KAR | Title 201 KAR — Boards and Commissions

Chapter 1 Board of Accountancy

201 KAR 1:020 Members of board {#sec-201-kar-1-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:020}

Section 1. The annual election of officers of the board shall be held at the meeting immediately preceding July 1st of each year. All officers shall continue in office until new officers have been elected.

History

RELATES TO: KRS 325.230, 325.240
STATUTORY AUTHORITY: KRS 325.240
NECESSITY, FUNCTION, AND CONFORMITY: To elect officers of the State Board of Accountancy of Kentucky.
History: SBA-1-E; 1 Ky.R. 1009; eff. 6-11-1975; 18 Ky.R. 2972; eff. 6-7-1992; Crt eff. 4-9-2019; Crt eff. 3-30-2026.

201 KAR 1:050 Accountancy license application {#sec-201-kar-1-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:050}

Section 1.

(1) A person who has met the qualifications established in KRS 325.261 shall submit the Application for License.

(2) With his or her application, the person shall include:

(a) A check or money order, which is nonrefundable, made payable to the Kentucky State Board of Accountancy for $100;

(b) The certificate of experience as established in 201 KAR 1:063;

(c) A list of colleges and universities the applicant attended with graduation dates, degrees awarded, and the "official transcript" as defined by 201 KAR 1:190, Section 1, unless it is already in the possession of the board;

(d) An "official transcript" as defined by 201 KAR 1:190, Section 1, from an accredited college or university as established in 201 KAR 1:190, which verifies that the candidate has satisfied the 150-hour requirement of KRS 325.261;

(e) Proof of successful completion of the Uniform CPA Exam. If the applicant successfully completed the examination in Kentucky, documentation shall not be required. If the examination was successfully completed in another jurisdiction, the applicant shall have an Authorization for Interstate Exchange of Information submitted to the board on his or her behalf; and

(f) If the applicant is not a citizen of the United States, documentation from the:

United States Citizenship and Immigration Services, or its successor, to verify the person is legally residing in the United States; or
Employer that verifies the person is an employee of a public accounting firm, company, or institution of postsecondary education located outside the United States, which also has an office or campus located in the United States.

Section 2. License by Reciprocity.

(1) An applicant for a license by reciprocity shall submit or cause to have submitted:

(a) An Application for Reciprocal License;

(b) Payment of the fee established in Section 1(2)(a) of this administrative regulation and other documents required by Section 1(2) of this administrative regulation, except for an official transcript; and

(c) An Authorization for Interstate Exchange of Information form completed by the licensing jurisdiction where the applicant holds a valid and active license to practice.

(2) If the applicant cannot provide the certificate of experience as required in Section 1 of this administrative regulation and:

(a) Is applying under the provisions of KRS 325.280(1)(c)1, the applicant shall have the licensing jurisdiction where he or she holds a valid and active license send certified copies of experience requirement documents from his or her license file; or

(b) Is applying under the provisions of KRS 325.280(1)(c)2, he or she shall submit or cause to have submitted one (1) of the following documents, which clearly reflects that the applicant has practiced public accounting as a full-time profession for four (4) of the last ten (10) years:

Proof of public accounting errors and omissions insurance;
A letter from an attorney, client, or certified public accountant that has knowledge of the applicant's practice;
Copies of firm license applications; or
Copies of personal tax returns.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for License", August 2015;

(b) "Application for Reciprocal License", August 2015; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the State Board of Accountancy, 332 W. Broadway, Suite 310, Louisville, Kentucky 40202, Monday through Friday, 8 a.m. and 4:30 p.m.

History

RELATES TO: KRS 325.261, 325.280, 325.330
STATUTORY AUTHORITY: KRS 325.240(2), 325.330(1)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325. KRS 325.330(1)(c) requires the board to promulgate administrative regulations establishing an application process. This administrative regulation establishes the requirements for obtaining a license as a certified public accountant.
History: SBA-2-E; 1 Ky.R. 1010; eff. 6-11-1975; Am. 3 Ky.R. 441; eff. 1-5-1975; 9 Ky.R. 594; eff. 12-1-1982; 11 Ky.R. 1433; eff. 5-14-1985; 18 Ky.R. 2975; eff. 6-7-1992; 20 Ky.R. 3210; eff. 8-4-1994; 27 Ky.R. 585; eff. 10-26-2000; 31 Ky.R. 1526; eff. 5-26-2005; 32 Ky.R. 2062; 33 Ky.R. 380; eff. 9-1-2006; 42 Ky.R. 817; 1456; eff. 12-4-2015; Cert. eff. 12-2-2022; 50 Ky.R. 801; eff. 1-2-2024.

201 KAR 1:063 Certificate of experience {#sec-201-kar-1-063 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:063}

Section 1. Definitions.

(1) "One (1) year" means the completion of 2,000 hours of employment obtained after the award of a baccalaureate degree during an employment period of not less than twelve (12) months, excluding any leave or holiday time.

(2) "Verification" means confirmation by a certified public accountant, as described in KRS 325.261(6), of the truth or accuracy of the applicant's accounting or attest experience.

Section 2.

(1) An applicant for licensure shall submit a Certificate of Experience, which has been provided by the certified public accountant for verification of experience.

(2) If the applicant has been employed by more than one (1) employer to meet the experience requirement described in KRS 325.261 and this administrative regulation, a certificate shall be submitted for each employment situation.

Section 3. Experience Verification. The certificate of experience shall include the following information verified by a certified public accountant as described in KRS 325.261(6):

(1) The name and address of the employing public accounting firm, industry, or government agency;

(2) The month, day, and year the employment:

(a) Began; and

(b) Was terminated or the experience was completed;

(3) Total number of hours worked during the employment period, excluding holiday or leave time;

(4) A brief description of the applicant's job duties;

(5) The applicant's working titles during employment; and

(6) The signature of the verifying certified public accountant which attests to the truth and accuracy of the statements made regarding the applicant's experience.

Section 4. Documentation and Verification of Applicant Experience. A false or misleading statement made by a certified public accountant on a certificate of experience shall constitute a violation of KRS 325.340(1)(h).

Section 5. Incorporation by Reference.

(1) "Certificate of Experience", August 2015, is incorporated by reference.

History

RELATES TO: KRS 325.261, 325.340(1)(h)
STATUTORY AUTHORITY: KRS 325.240(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325. This administrative regulation establishes requirements for documenting experience when applying to become a certified public accountant.
History: 19 Ky.R. 1692; Am. 2025; eff. 2-19-1993; 20 Ky.R. 3212; eff. 8-4-1994; 27 Ky.R. 586; eff. 10-16-2000; 31 Ky.R. 1527; 1782; eff. 5-26-2005; TAm 10-27-2009; 42 Ky.R. 819; 1457; eff. 12-4-2015; Cert. eff. 12-2-2022.

201 KAR 1:081 Firm license, renewal, and reinstatement {#sec-201-kar-1-081 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:081}

Section 1. Definitions.

(1) "Certified public accountant owner" means a certified public accountant with a current and active license to practice issued by a state board of accountancy and who is operating a public accounting firm as a:

(a) Shareholder in a corporation;

(b) Partner in a partnership or registered limited liability partnership;

(d) Sole proprietor.

(2) "Firm" is defined by KRS 325.220(3).

(3) "Firm manager" is defined by KRS 325.220(4).

(4) "Nonlicensed owner of the firm" means a person referred to in KRS 325.301(3)(b).

Section 2. To obtain an initial license to practice, the firm manager shall submit:

(1) A completed Instate Application form; and

(2) A check or money order made payable to the Kentucky State Board of Accountancy in the amount of $100. This fee shall be nonrefundable.

Section 3. To obtain an initial license to practice, a sole proprietor shall submit:

(1) A completed Sole Proprietor Firm Application form; and

(2) The fee required by Section 2(2) of this administrative regulation.

Section 4. A certified public accountant shall:

(1) Have ultimate responsibility for all services provided by the firm;

(2) Have ultimate authority over any unit, division, or branch of the firm that performs attest services; and

(3) Comply with the Statement on Quality Control Standards, January, 2012, issued by the American Institute of Certified Public Accountants Auditing Standards Board, as incorporated by reference.

Section 5. A nonlicensed owner of the firm shall not sell or otherwise transfer any ownership interest in the firm to any person who fails to satisfy the requirements of KRS 325.301(3).

Section 6. Renewal of a Firm License.

(1) Except as provided in subsection (2) of this section, a firm manager shall renew a firm license by:

(a) Using the online Firm License Renewal System offered by the board at www.cpa.ky.gov; and

(b) Paying a nonrefundable renewal fee in the amount of $100.

(2) If a firm manager is unable to use the online procedure, he or she shall:

(a) Submit a written request to obtain a paper copy of the Firm License Renewal form to the Kentucky State Board of Accountancy, 332 W. Broadway, Suite 310, Louisville, Kentucky 40202;

(b) Complete and submit the form to the board; and

(c) Submit a check or money order made payable to the Kentucky State Board of Accountancy in the amount of $100. This fee shall be nonrefundable.

(3) A sole proprietor shall renew his or her firm license according to the procedures contained in this section.

Section 7.

(1) A firm manager who fails to renew the firm license by the August 1 deadline shall renew the license on or before September 1 by:

(a) Utilizing the online Firm License Renewal System offered by the board at www.cpa.ky.gov;

(b) Paying the nonrefundable $100 renewal fee; and

(2) A firm manager shall correct any outdated or inaccurate information listed on the Firm License Renewal System except for a change in the name of the firm.

Section 8. A firm is prohibited from operating and holding out as a CPA firm if the firm license is expired for a period of more than one (1) month.

Section 9. Changes in firm information. A firm manager shall notify the board within thirty (30) days of any changes to the licensing information on file with the board by submitting a Firm Change form.

Section 10.

(1) Upon the death or retirement of a firm member which is composed of only two (2) certified public accountant owners, the board shall authorize the continuation of the use of the firm name by the surviving certified public accountant owner for a period of time not to exceed two (2) years from the date of the certified public accountant owner's death or retirement.

(2) The remaining certified public accountant owner shall advise the board in writing of this change within thirty (30) days of its occurrence.

Section 11. The firm name registered with the board shall be the firm name used in all circumstances.

Section 12.

(1) The following material is incorporated by reference:

(a) "Instate Firm Application", August, 2015;

(b) "Firm Change Form" August, 2015;

(d) "Firm License Renewal", January, 2015;

(e) "Statement on Quality Control Standards", January 2012; and

(f) "Sole Proprietor Firm Application", August, 2015.

History

RELATES TO: KRS 325.220(6), 325.301, 325.380
STATUTORY AUTHORITY: KRS 325.240(2), 325.301(4), (5), (6), (7), (8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325. KRS 325.301(4) through (8) require the board to promulgate administrative regulations concerning applications, renewals, and related fees. This administrative regulation establishes the procedures for firms to obtain and renew a license to practice as required by KRS 325.301.
History: 20 Ky.R. 3343; Am. 21 Ky.R. 307; eff. 8-4-1994; 27 Ky.R. 589; eff. 10-16-2000; 38 Ky.R. 1465; 1834; eff. 6-1-2012; 42 Ky.R. 820; 1458; eff. 12-4-2015; Cert. eff. 12-2-2022.

201 KAR 1:100 Continuing professional education requirements {#sec-201-kar-1-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:100}

Section 1. Definitions.

(1) "Continuing professional education hour" or "CPE hour" means a fifty (50) minute period excluding meals, breaks, and business sessions.

(2) "Technical standards courses" means continuing education courses if the subject matter area of the courses are accounting, auditing, business law, economics, finance, information technology, management services, professional ethics, statistics, securities, tax, and specialized areas of industry, all of which shall contribute directly to the professional competence of a licensee.

(3) "Worked" means hours devoted by a licensee that are documented as billable and nonbillable hours to a public accounting firm or client.

Section 2. Requirements for Continuing Professional Education Credit.

(1) A licensee who worked 3,000 hours or more in a public accounting firm licensed with the board during the two (2) calendar years prior to the renewal date of his or her license shall complete eighty (80) CPE hours. The eighty (80) hours shall be completed during the preceding two (2) calendar years. All other licensees shall complete sixty (60) CPE hours.

(a) Beginning January 1, 2021, fifty (50) percent of the eighty (80) hours and sixty (60) hours shall include technical standards courses.

(b) Beginning January 1, 2021, licensees who worked in a public accounting firm licensed with the board during the two (2) calendar years prior to the renewal date of his or her license and who perform attest services, as defined in KRS 325.220, or compilation or preparation of financial statement engagements subject to the American Institute of Certified Public Accountants (AICPA) Statements on Standards for Accounting and Review Services (SSARS) shall complete eight (8) hours of CPE in the subject matter area of auditing or accounting each calendar year for a total of sixteen (16) hours per reporting period.

(c) Beginning January 1, 2021, licensees required to obtain eighty (80) hours of CPE may include eight (8) hours of personal development courses toward the required hours, and licensees required to obtain sixty (60) hours of CPE may include up to twelve (12) hours of personal development courses in the required hours. An acceptable personal development course shall be limited to a course intended to improve the time management, leadership, team building, goal setting, and similar soft skills related to working in an office or professional setting.

(2) A licensee shall complete two (2) CPE hours in professional ethics. These two (2) hours shall be included as part of the eighty (80) or sixty (60) CPE hours a licensee is required to complete to renew his or her license.

(3)

(a) A certified public accountant who, for the two (2) calendar years prior to renewal of his or her license, did not operate or work in an office in this state shall satisfy the requirements of this section by complying with the continuing professional education requirements for renewal of his or her license:

In the state in which the licensee's principal office is located; or
In the state in which the office is located where the licensee worked a majority of the time.

(b) If the state designated by paragraph (a) of this subsection does not have continuing professional education requirements for renewal of a license, the licensee shall comply with all continuing professional education requirements for renewal of a license in this state.

Section 3. A licensee who held a license for less than a full two (2) calendar year period shall obtain two (2) CPE hours for each full month a license was held not to exceed the total number of required hours for the reporting period. The two (2) hours in professional ethics shall not be required to be part of the CPE hours completed in this time period.

Section 4. Waivers from Continuing Professional Education.

(1) A reduction or waiver may be granted by the board if the licensee:

(a) Establishes that he or she is temporarily physically or psychologically unable to complete the continuing professional education requirements. The licensee shall submit an Initial Request for Waiver of CPE Requirements form with each request and a written statement:

From a licensed physician or other appropriate licensed health care provider that substantiates the physical or psychological claim of the licensee; and
That describes the licensee's working status during the time the licensee was unable to complete the continuing education, the licensee's current working status, and if the licensee plans to return to work;

(b) Has encountered a temporary extreme hardship, which was so severe that it was extremely difficult or impossible to meet the continuing professional education requirements. The licensee shall submit an Initial Request for Waiver of CPE Requirements form with each request and a written statement that:

Describes in detail the facts associated with the extreme hardship; and
Provides documentation to substantiate the extreme hardship; or

(c) Is completely retired from practice and is fifty-five (55) years of age or older. To be considered completely retired, the licensee shall not perform accounting services in the practice of public accounting (which includes the preparation of tax returns), education, government, or industry except for management of personal assets or investments.

(2) The board shall advise a licensee in writing whether the request is approved or denied.

(3) A licensee granted a waiver shall reaffirm the basis of the waiver when the license is next renewed by completing the:

(a) License Renewal - CPE Waiver Due to Medical or Extreme Personal Hardship form; or

(b) License Renewal - CPE Retirement Waiver form.

(4) A licensee completing the License Renewal - CPE Waiver Due to Medical or Extreme Personal Hardship form shall submit with the form updated medical documentation to support that the basis of the waiver continues to limit the licensee's ability to meet the CPE requirements.

(5) If the circumstances which form the basis of the waiver change, the licensee shall notify the board within thirty (30) days from the date of the change and resume compliance with the continuing professional education requirements from the date of the change.

(6) If the waiver request is granted, the licensee shall pay the license renewal fee listed in 201 KAR 1:065 on or before August 1.

Section 5. Courses that Qualify.

(1) The overriding consideration in determining whether a specific course qualifies as acceptable continuing professional education shall be whether it is a formal program of learning which contributes directly to the professional competence of an individual licensed to practice as a certified public accountant in this state.

(2) Continuing professional education courses may qualify only if:

(a) An outline of the course is prepared in advance and preserved;

(b) The course is at least one (1) CPE hour in length. Credit shall be awarded for a course less than fifty (50) minutes in length if it is part of a continuing professional education program where at least one (1) fifty (50) minute course is also being offered;

(c) The course is conducted by a qualified instructor. A qualified instructor or discussion leader shall be anyone whose background training, education, or experience makes it appropriate for him or her to lead a discussion on the subject matter of the particular course;

(d) A record of registration or attendance is maintained;

(e) A course completion document is given to each attendee; and

(f) The course topic is an acceptable field of study.

(3) Acceptable fields of study.

(a) The following fields of study shall be considered acceptable if the courses satisfy all of the criteria established in subsections (1), (2), and (5) of this section:

Any of the courses defined in Section 1(2) of this administrative regulation;
Business communications; or
Marketing.

(b) The responsibility for substantiating that a particular course is acceptable and meets the requirements of this administrative regulation shall be the obligation of the licensee.

(4) Acceptable programs. The following programs qualify for credit if they meet the standards specified in subsections (1), (2), (3), and (6) of this section:

(a) Professional education and development programs of national, state, and local accounting organizations;

(b) University or college courses:

Credit and not for credit courses completed at or through a university or college that is accredited by one (1) of the (6) six regional accrediting associations listed in 201 KAR 1:190, Section 5;
Documentation to verify completion of a course shall be issued by the appropriate representative of the university or college; and
Each unit of credit for a university or college course shall be equal to the following CPE hours:

a. One (1) semester hour equals fifteen (15) CPE hours; and

b. One (1) quarter hour equals ten (10) CPE hours; or

(c) Formal in-firm education programs. Portions of a program devoted to firm administrative, financial, and operating matters shall not qualify.

(5) Formal individual study courses, Web casts, and online learning courses.

(a) The amount of credit allowed for any individual study course shall be recommended by the course sponsor.

(b) A licensee claiming credit for an individual study course shall obtain evidence of satisfactory completion of the course from the course sponsor.

(6) Service as lecturer, discussion leader, or speaker.

(a) Instructors, discussion leaders, and speakers may claim continuing professional education credit for both preparation and presentation time.

(b) Credit may be claimed for actual preparation time up to two (2) times the class contact hours.

(c) Credit as an instructor, discussion leader, or speaker may be claimed if the presentation is one which would meet the requirements of this section.

(d) Credit shall not be granted for repetitious presentations of courses unless it can be demonstrated that the course content was substantially changed and the change required significant additional study or research.

(e) Maximum credit for preparation and teaching shall not exceed sixty (60) percent of the renewal period requirement.

(7) Published articles and books.

(a) A licensee may be awarded credit for articles or books the licensee writes if:

The subject matter of the article or book contributes directly to the professional competence of the licensee; and
Prior to publication, the licensee submits a final draft of the article or book to the board to review and determine the amount of credit to be awarded.

(b) Credit for preparation of the article or book shall not exceed twenty-five (25) percent of the total CPE hours required.

(8) Certifications and licenses. Licensees who receive a certification or license from a nationally organized business organization or a federal governmental entity following successful completion of an exam in one (1) of the fields of study listed in subsection (3) of this section shall receive credit only for the length of time assigned by the organization or governmental entity to complete the examination.

Section 6. Programs that deal with the following subject areas shall not be considered acceptable continuing education:

(1) Self-realization;

(2) Spirituality;

(3) Personal health or fitness;

(4) Sports and recreation;

(5) Foreign languages or cultures; and

(6) Any other subjects that do not contribute directly to the professional competence of the licensee.

Section 7. Reporting and Controls.

(1) A licensee shall obtain the appropriate documentation to establish that he or she completed the continuing professional education requirements.

(2) The documentation shall be retained by the licensee for a period of five (5) years.

(3) The board shall conduct annually a random audit to verify a certain percentage of licensees completed the amount of continuing professional education hours required to renew his or her license. A licensee who misrepresented that he or she completed the sixty (60) or eighty (80) CPE hours at the time the licensee renewed his or her license shall not be eligible for a retirement, medical, or extreme personal hardship waiver after being selected to participate in an audit.

(4) Course completion evidence shall consist of a document prepared by the course sponsor indicating the licensee completed a formal program of learning. A document shall include the:

(a) Names of the licensee and program sponsor;

(b) Title and field of study;

(d) Number of CPE hours awarded.

(5) A licensee who completed continuing professional education courses that complied with the requirements of this administrative regulation and were presented by or on behalf of his or her employer may submit to the board a list of the courses completed if the list contains the:

(a) Information described in subsection (4) of this section; and

(b) Signature of the person at the licensee's place of employment who verifies the accuracy of the information for a third party.

Section 8. Continuing Professional Education Sponsors.

(1) Sponsors shall not be required to be preapproved by the board.

(2) Detailed records of each program shall be kept by the sponsor and shall include:

(a) The date of the program presentation;

(b) The name of each instructor or discussion leader;

(d) A written agenda of the program presentation.

(3) Records shall be kept by the sponsor for a period of five (5) years following the date each program is presented.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial Request for Waiver of CPE Requirements", September 2016;

(b) "License Renewal-CPE Waiver Due to Medical or Extreme Personal Hardship", September 2016; and

History

RELATES TO: KRS 325.330
STATUTORY AUTHORITY: KRS 325.240(2), 325.330(4)(a), (7)(b)1.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325. KRS 325.330(4) and (7)(b)1 require the board to promulgate administrative regulations to establish the continuing professional education requirements for certified public accountants. This administrative regulation establishes the continuing professional education requirements a certified public accountant shall satisfy to renew a license.
History: 10 Ky.R. 502; Am. 877; eff. 12-2-1983; 17 Ky.R. 1528; eff. 11-29-1990; 18 Ky.R. 2872; 3188; eff. 5-1-1992; 28 Ky.R. 1669; 2187; eff. 4-15-2002; 35 Ky.R. 2782: 36 Ky.R. 319; eff. 9-4-2009; 43 Ky.R. 603, 950; eff. 1-6-2017; 46 Ky.R. 1001, 1800; eff. 3-3-2020; 47 Ky.R. 1816, 2575; eff. 8-31-2021.

201 KAR 1:140 Procedures for the reinstatement or reissuance of a CPA license {#sec-201-kar-1-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:140}

Section 1. Definition. "Accounting or auditing course" means:

(1) A field of study dealing with pronouncements of authoritative accounting principles issued by the standard setting bodies; and

(2)

(a) Auditing subjects related to the examination of financial statements, operations, systems, and programs;

(b) The review of internal and management controls;

(d) Compilations;

(e) Reviews; and

(f) Other related subjects generally classified with the accounting discipline, except for courses in tax and computer software training.

Section 2. A licensee who fails to renew his or her license by the August 1 renewal date shall be allowed to renew his or her license by complying with the requirements of KRS 325.330(7), 201 KAR 1:100, 201 KAR 1:065, and paying a $100 late fee, if:

(1) The license is renewed online on or before September 1; or

(2) The renewal materials and payment are received at the board office on or before September 1.

Section 3.

(1) A license expired for a period of more than one (1) month or voluntarily surrendered for any reason, except if a complaint is pending before the board, may be considered by the board for reinstatement if the applicant:

(a) Submits a completed License Reinstatement Application;

(b) Documents compliance with the continuing professional education requirements established in subsection (2) of this section; and

(2) An applicant shall document successful completion of either sixty (60) or eighty (80) hours of continuing professional education, based on the amount of hours the applicant was to have completed when the applicant's license expired or was voluntarily surrendered. The hours shall:

(a) Include accounting or auditing courses that comprise at least one-half of the total amount of hours of continuing professional education required for the applicant;

(b) Include two (2) hours of coursework in professional ethics;

(d) Not have been previously used to satisfy Kentucky license renewal or reinstatement requirements.

(3) When submitting an application, an applicant who is actively licensed in another state that maintains a continuing education requirement shall satisfy all of the requirements of this section, except for the continuing education hours required by subsection (2) of this section.

Section 4.

(1) If a license was revoked for reasons other than failure to satisfy the continuing professional education requirements, it may be considered for reinstatement if the applicant for reinstatement submits to the board, fifteen (15) days prior to the next scheduled meeting, a letter:

(a) Requesting reinstatement;

(b) Specifying the manner in which the applicant for reinstatement has complied with the terms of a disciplinary order of the board; and

(2)

(a) Except as provided in paragraph (b) of this subsection, the board shall:

Review the request for reinstatement, the findings of fact, conclusions of law, and board order;
Affirm or deny the request; and
If denied, state in writing the corrective or remedial education, training, or review required before reinstatement shall be granted.

(b) The board shall not consider a request for reinstatement submitted to the board:

Prior to the date for resubmission that is specified in the disciplinary order of the board; or
If the CPA or CPA firm in a disciplinary order waived the ability to seek reinstatement.

(3)

(a) If an applicant for reinstatement disagrees with the board's determination under this section, he or she may file a written request for a hearing before the board.

(b) A hearing held pursuant to the provisions of this subsection shall be conducted in accordance with KRS 325.360 and 201 KAR 1:150.

Section 5. Incorporation by Reference.

(1) "License Reinstatement Application", August 2015, is incorporated by reference.

History

RELATES TO: KRS 325.330(6), 325.360, 325.370
STATUTORY AUTHORITY: KRS 325.240(2), 325.330(6), (7), 325.370(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325. KRS 325.330(6) and (7) and 325.370 authorize the board to reinstate and reissue licenses that have expired, been suspended, revoked or denied renewal. This administrative regulation establishes the procedures for reinstating or reissuing a license.
History: 18 Ky.R. 3069; eff. 6-7-1992; Am. 20 Ky.R. 2043; 2775; eff. 3-8-1994; 28 Ky.R. 1671; 2189; eff. 4-15-2002; 37 Ky.R. 1508; 1969; eff. 3-4-2011; 42 Ky.R. 822; 1459; eff. 12-4-2015; Cert. eff. 12-2-2022.

201 KAR 1:150 Procedures for the dissemination of information relative to hearings held before the Kentucky State Board of Accountancy {#sec-201-kar-1-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:150}

Section 1. Following the board's adoption of a final order which concludes a disciplinary action, the name of the licensee and a summary of the findings shall be published in the next edition of the board's newsletter and a copy of the order shall be placed on the board's Web site, www.cpa.ky.gov.

History

RELATES TO: KRS 325.360(10), (11)
STATUTORY AUTHORITY: KRS 325.240(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325. This administrative regulation establishes requirements for the dissemination of information.
History: 18 Ky.R. 3070; eff. 6-7-1992; Am. 28 Ky.R. 1673; 2328; eff. 5-16-2002; 42 Ky.R. 823; 1460; eff. 12-4-2015; Cert. eff. 12-2-2022.

201 KAR 1:160 Peer reviews {#sec-201-kar-1-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:160}

Section 1. Definitions.

(1) "Peer review Web site" means a web page operated and maintained by a sponsoring organization on which documents associated with peer reviews performed by that organization's approved agent are posted and made available to the board.

(2) "Sponsoring organization" means an entity administering a peer review program whose standards of review are equivalent to or better than the "Standards for Performing and Reporting on Peer Reviews" of the American Institute of Certified Public Accountants.

Section 2. Initial Firm License and Renewal Applications.

(1) If a firm applies to receive an initial license or renew an existing license, it shall advise the board if it performs audits, reviews, or compilations. A firm that indicates it is going to perform or is currently performing one of these services shall submit with its license application:

(a) Proof from a sponsoring organization that it is currently enrolled in a peer review program; and

(b) A copy of the firm's most recent peer review report and the sponsoring organization's acceptance letter received by the firm within three (3) years prior to submitting the application. If the firm has not received a peer review report within the three (3) year time period, it shall notify the board of that fact.

(2) Failure to submit proof of enrollment, and, if applicable, a copy of the peer review report and the sponsoring organization's acceptance letter shall result in the:

(a) Application being ineligible for consideration until proof of enrollment, and, if applicable, the peer review report and the sponsoring organization's acceptance letter is received by the board; and

(b) The firm being prohibited from providing any audit, review, or compilation services.

(3)

(a) A firm that is applying for an initial license or to renew an existing license that received a fail, or second successive pass with deficiencies report within three (3) years prior to submitting the application shall also submit with its license application a copy of:

The firm's letter of response to any of the reports listed in this section that was sent to the sponsoring organization;
A letter or letters signed by the firm indicating it agrees to take any remedial actions required by the sponsoring organization as a condition of acceptance of the firm's peer review; and
A letter provided by the sponsoring organization notifying the firm that all required remedial actions have been appropriately completed.

(b) Peer review documents required by subsection (1) of this section or paragraph (a)1. of this subsection shall be made available to the board via a peer review Web site within thirty (30) days of the date of the sponsoring organization's acceptance letter.

(c) Peer review documents required by paragraph (a)2. of this subsection shall be made available to the board via a peer review Web site within thirty (30) days of the date that the firm signs the letter.

(d) Peer review documents required by paragraph (a)3. of this subsection shall be made available to the board via a peer review Web site within thirty (30) days of the date of the letter from the sponsoring organization.

(e) If a sponsoring organization cannot provide access to the peer review documents required by subsection (1) of this section or this subsection via a peer review Web site, the firm shall provide copies of the documents by mail or facsimile within fifteen (15) days of receipt of the applicable document except for the documents required by paragraph (a)2. of this subsection, which shall be submitted within fifteen (15) days of the date the firm signs the letter.

(f) The board shall review and consider each of the reports listed in this section to determine if the firm shall be issued a license.

(g) If the board decides to issue a license, it may impose restrictions on the firm after taking into consideration the reported deficiencies and any remedial action since the issuance of any of the reports listed in this section.

(h) If a firm, when initially applying for or renewing its license, advised the board that it does not provide audits, reviews, or compilations but subsequently begins to provide those services prior to its next license renewal date, the firm shall:

Immediately notify the board;
Immediately enroll in a board-approved peer review program;
Provide evidence of enrollment to the board within thirty (30) days;
Undergo a peer review within eighteen (18) months of the fiscal year end of the initial engagement performed as described in the sponsoring organization's peer review standards; and
Submit the peer review documents to the board for its consideration in the manner identified in this section.

Section 3. Staff of the board shall review every peer review report and acceptance letter when they are received in the board office. A report graded as pass, or as pass with deficiencies that is not the second successive report with this finding shall be discarded according to the board's record retention schedule. A fail, or a second successive pass with deficiencies peer review report and the firm's responses to the report shall be presented to the board for review and determination of any action to be taken against the firm after taking into consideration:

(1) The deficiencies described in the report;

(2) The firm's written response to the report that was sent to the sponsoring organization;

(3) Any remedial actions required by the sponsoring organization; and

(4) The firm's compliance with the required remedial actions.

Section 4. If a firm is granted an extension of time to complete the peer review process, the firm shall immediately submit to the board a copy of a letter from the sponsoring organization that granted the extension.

Section 5.

(1) A sponsoring organization shall report to the board on a quarterly basis the name of every firm enrolled in the peer review program and the name of every firm dropped or terminated from the program since the last quarterly report was provided by the sponsoring organization. This information may also be provided through a peer review Web site.

(2) A sponsoring organization shall bear the costs of verifying that it is operating the program in compliance with the standards for performing peer reviews.

Section 6. Exclusion from Peer Review.

(1) A proposal or other communication that describes the work proposed by a firm or its employees that is a prerequisite to deciding whether to perform an audit, review, or compilation of financial statements shall be excluded from the peer review process.

(2) The exclusion from the peer review process provided for in the "Standards for Performing and Reporting on Peer Reviews" regarding compiled financial statement designated for management use only shall not apply.

Section 7. Incorporation by Reference.

(1) "Standards for Performing and Reporting on Peer Reviews," June 2011, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright laws, at the office of the State Board of Accountancy, 332 W. Broadway, Suite 310, Louisville, Kentucky 40202, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) These standards are also located on a Web site maintained by the American Institute of Certified Public Accountants at www.aicpa.org.

History

RELATES TO: KRS 325.301(12)
STATUTORY AUTHORITY: KRS 325.240(2), 325.301(12)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.301(12) requires a firm that performs an audit, review, or compilation to enroll in and complete an approved peer review program. This administrative regulation establishes the standards and procedures that a CPA firm shall follow to comply with the requirements of KRS 325.301(12).
History: 22 Ky.R. 2192; 23 Ky.R. 122; eff. 7-5-1996; 27 Ky.R. 590; eff. 10-16-2000; 35 Ky.R. 616; 1151; eff. 12-5-2008; 38 Ky.R. 814; 1117; eff. 1-6-2012; Crt eff. 4-9-2019; Crt eff. 3-30-2026.

201 KAR 1:180 Safe harbor language for nonlicensees to use in connection with a compilation of financial information {#sec-201-kar-1-180 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:180}

Section 1. Definitions. "Compilation of financial information" means a presentation of financial data, including accompanying notes, derived from accounting records and intended to communicate an entity's economic resources and obligations at a point in time or the changes therein for a period of time and does not contain any reference to or language found in generally-accepted accounting standards and generally-accepted accounting principles.

Section 2. Pursuant to KRS 320.380(4), nonlicensees may use the following language in connection with a compilation of financial information and not be in violation of the provisions of KRS Chapter 325 and the accompanying administrative regulations: "The accompanying balance sheet (or _______) of XYZ Company as of 20 and the related statements of income, (or retained earnings, or cash flows) for the year then ended have been prepared by me (us). The information presented in these financial statements is the representation of management (owners)."

History

RELATES TO: KRS 325.380(4)
STATUTORY AUTHORITY: KRS 325.240, 325.380(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.380(4) requires Kentucky State Board of Accountancy to issue an administrative regulation that contains language that a nonlicensee may use in preparing a compilation of financial information.
History: 28 Ky.R. 1724; eff. 4-15-2002; Crt eff. 4-9-2019; Crt eff. 3-30-2026.

201 KAR 1:190 Examination sections, applications, and procedures {#sec-201-kar-1-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:190}

Section 1. Definitions.

(1) "Accounting course" means the subject matter contained in the course description or catalog issued by a college or university that includes auditing, tax, accounting standards, principles, or processes.

(2) "AICPA" means the American Institute of Certified Public Accountants, the entity that prepares and grades the Uniform CPA Examination.

(3) "Business-related subjects" means courses that contain in the course prefix or title, an indication that the course subject matter is one (1) of the following: business, finance, marketing, management, economics, computers, statistics, or accounting.

(4) "CLEP credit" means credit granted by a university or college to a prospective student who obtains a passing score on an exam administered through the College Level Examination Program.

(5) "DSST credit" means credit granted by a university or college to a prospective student who obtains a passing score on an exam administered through the Dantes Subject Standardized Testing program.

(6) "Life assessment course" means a course in which a student earns credit at a university or college based upon the student's personal life and work experiences.

(7) "Major or concentration in accounting" means a minimum of thirty-nine (39) semester hours in business-related subjects, of which twenty-seven (27) semester hours consist of accounting courses.

(8) "NASBA" means the National Association of State Boards of Accountancy, which operates a nationwide computer data bank for candidates applying to sit for the Uniform CPA Examination.

(9) "Official transcript" means an official document issued by a college or university that:

(a) States the college course work completed, degrees awarded, and the date the degree was awarded; and

(b) Contains an authorizing signature or seal.

(10) "Prometric or its successor" means the testing service in charge of administering the Uniform CPA Examination.

(11) "Quarter hour" means 66/100ths of a semester hour.

(12) "Uniform CPA Examination" means the computer-based version of the licensure examination administered by the AICPA.

Section 2. Examination. The board shall use the Uniform CPA Examination prepared by the AICPA as the examination every candidate seeking to receive a license shall sit for and obtain a passing grade for licensure.

Section 3. Grading Procedures and Acquiring Credit for Obtaining a Passing Score.

(1) An exam candidate shall receive a passing score on all sections of the examination to be eligible to receive a license.

(2) The passing score shall be seventy-five (75) on each section.

(3) An exam candidate shall not sit for the same section of the examination until after the candidate receives a score for that section.

(4) If an exam candidate initially receives a passing score on a section of the Uniform CPA Examination, the candidate shall have a thirty (30) month period in which to obtain a passing score on the remaining sections of the examination. The thirty (30) month period shall begin on the date that the first passing score is released by NASBA and concludes on the date the candidate sits for the final test section passed, regardless of when the score for that final test section is released.

(a) Failure to receive a passing score on the remaining sections of the examination within the thirty (30) months shall result in the expiration of the initial passing score, but not other sections passed during that thirty (30) month period.

(b) All sections of the examination shall be passed during a thirty (30) month time period for the candidate to be considered to have passed the examination.

(5) One (1) request to extend the time to retain passing scores beyond the time restrictions contained in this section shall be granted to a candidate. The extension shall expire the last day of the calendar quarter from the date the candidate sat for the exam section. Additional extensions may be granted by the board, for good cause, upon a showing of circumstances beyond the candidate's control.

Section 4. Initial Examination Applicants.

(1) Initial examination application process.

(a) An initial examination applicant shall submit a complete, notarized Application for the Uniform CPA Examination.

(b) The applicant shall:

Indicate if the applicant has been convicted, plead guilty, entered an Alford plea, or a plea of no contest to a felony or misdemeanor, other than a minor traffic violation, and if so, submit with the application:

a. A copy of the judgment or sentence of conviction;

b. A criminal record check report from the Kentucky Administrative Office of the Courts, Courtnet Disposition System that is dated within six (6) months of the date of the application, or a similar document from the out-of-state agency where the conviction was entered; and

c. A letter of explanation;

Indicate if the applicant has been denied admission to the Uniform CPA Examination, and if so, attach to the application a letter explaining the reason, date, and jurisdiction of the denial;
Indicate if the applicant has had disciplinary action taken against any professional license, and if so, attach to the application:

a. A letter indicating the jurisdiction and date of action;

b. A copy of all records associated with the action; and

c. An explanation of the circumstances; and

Submit an official transcript from each college or university that evidences completion of the educational requirements established in KRS 325.261, which includes a major or concentration in accounting. Course credit hours that are based upon a quarter hour system shall be converted to semester hours.

(c) An applicant requesting reasonable accommodations in testing due to a disability shall complete an Exam Applicant Special Accommodations Request Form supported by documentation no more than three (3) years old from a qualified examiner that shall include:

A diagnosis of the disability; and
Recommendation for the specific accommodations.

(d) The board shall not be responsible for the costs associated with obtaining the required documentation, but shall be responsible for the costs of reasonable accommodations that are provided to the applicant.

(e) The applicant shall submit a fee with the Application for the Uniform CPA Examination in the amount of:

Thirty (30) dollars for the application; and
Thirty (30) dollars for each section of the examination the applicant intends to take.

(f) Fees shall be nonrefundable and payment shall be in the form of a check or money order made payable to the Kentucky State Board of Accountancy. If the institution the check or money order is drawn on does not honor the check or money order, the application shall be incomplete and returned.

(2) Educational requirements.

(a) Educational requirements shall be completed at:

A college or university within the United States that was accredited by one (1) of the following accrediting associations when the degree was granted:

a. Middle States Association of Colleges and Schools;

b. North Central Association of Colleges and Schools;

c. New England Association of Schools and Colleges;

d. Northwest Association of Schools, Colleges and Universities;

e. Southern Association of Colleges and Schools; or

f. Western Association of Schools and Colleges;

The board shall accept course credit hours awarded by a college or university after January 1, 2020 that is not accredited by one (1) of the associations listed in subparagraph 1. of this paragraph, if those course credit hours receive credit from a college or university accredited by one (1) of the associations specified in subparagraph 1. of this paragraph following the enrollment of the student in the accredited college or university. This exception does not apply to the course credits listed in subsection (3) of this section; or
A postsecondary educational institution outside the United States with course credits certified by a credentialing agency that is a member of the National Association of Credential Evaluation Services, Inc., or NASBA.

(b) The certification required by paragraph (a)3. of this subsection shall indicate:

That the foreign degree is equivalent to a baccalaureate or master's degree earned in an accredited United States college or university as established in KRS 325.261 and this administrative regulation;
That the applicant had a major or concentration in accounting;
The title of all courses completed by the applicant outside of the United States; and
The amount of credit awarded to the applicant for each course.

(c) The board may consult with a Kentucky state-funded, four (4) year institution of higher education for assistance in evaluating the hours earned and the accreditation of an educational institution under this subsection.

(3)

(a) An applicant shall not receive credit toward satisfying the education requirements in KRS 325.261 and this administrative regulation for any credit hours awarded through a life assessment course or for DSST credit.

(b) An applicant who received CLEP credit from a college or university may use a maximum of six (6) of those credit hours solely toward satisfying the 150 hour requirement in KRS 325.261(5).

Section 5.

(1)

(a) The executive director of the board shall review all applications.

(b) If the executive director determines the application satisfies the requirements of this administrative regulation, the application shall be approved.

(c) If the executive director refuses to approve the application, it shall be submitted to the board for the board's review and consideration at its next regularly scheduled meeting.

(2) Applications approved by the executive director or the board shall be entered into the data bank operated by NASBA. NASBA shall then issue a payment coupon to the applicant that specifies the fees to be paid to NASBA, the AICPA, and Prometric to sit for the exam.

(3) Following payment of the required fees, NASBA shall issue a notice to schedule to the candidate, which states the candidate is eligible to contact Prometric or its successor to schedule a date and time to sit for the examination.

(4)

(a) A candidate shall have six (6) months from the date of issuance by NASBA of a notice to schedule to sit for the sections of the examination approved by the executive director or the board.

(b) The notice to schedule shall expire when the candidate has sat for the sections approved by the executive director or the board, or at the conclusion of the six (6) month period, whichever comes first.

(c) A notice to schedule that is not expired may be extended if a candidate describes in writing that the extension is necessary due to an emergency or a serious illness that will prohibit the candidate from sitting for a section of the exam prior to the conclusion of the six (6) month time period.

(d) To obtain approval to sit for additional sections of the examination, a candidate shall submit a reexam application as established in Section 9 of this administrative regulation.

(5)

(a) The exam candidate shall pay all costs associated with sitting for the Uniform CPA Examination charged by NASBA, Prometric or its successor, and the AICPA.

(b) The costs shall be paid no later than ninety (90) days following the date of issuance of the payment coupon from NASBA.

(c) Failure to pay these fees prior to the end of the ninety (90) day time period shall result in the cancellation of the payment coupon and require the candidate to submit a reexam application accompanied by the appropriate fees.

Section 6. Examination Rules of Conduct.

(1) An examination candidate shall present two (2) forms of current and valid identification at the Prometric or its successor examination center. One (1) of these forms of identification shall be a state driver's license, a picture identification card issued by a state motor vehicle licensing agency, or a passport.

(2) The license or picture identification card shall be currently in effect and shall contain a photograph and signature.

(3) Failure to bring this identification to the examination center shall result in the candidate being prohibited from sitting for the examination.

(4) An examination candidate shall comply with all directives of the staff at the Prometric or its successor testing center and the rules of conduct in effect at the testing center.

(5) An examination candidate shall not:

(a) Use written materials or mechanical aids inside or outside the examination room during the course of the examination;

(b) Communicate with any person, other than the testing center staff, inside or outside the examination room, during the course of the examination;

(d) Substitute an individual in his or her place;

(e) Disclose in any manner any information concerning the examination questions or content;

(f) Falsify or misrepresent educational credentials or other information required for admission to the examination; or

(g) Fail to follow written or announced examination administration procedures.

Section 7. Examination Misconduct Penalties. An examination candidate who violates any of the provisions of this administrative regulation may be prohibited from:

(1) Further participation in that particular examination section;

(2) Receiving grades after sitting for any examination; or

(3) Sitting for subsequent examinations.

Section 8. An exam applicant shall immediately notify the board of a change in his or her mailing address.

Section 9. Reexam Applicants.

(1) Upon request, the board shall mail a Reexam Application for the Uniform CPA Exam to every candidate who fails to pass the Uniform CPA Examination.

(2) The reexam application shall be mailed to the most recent address provided by the candidate.

(3) The board shall not be responsible if the reexam application is not delivered by the United States Postal Service.

(4)

(a) The applicant shall:

Indicate since the approval of the applicant's initial application if the applicant has been convicted, pleaded guilty, entered an Alford plea, or a plea of no contest to a felony or misdemeanor, other than a minor traffic violation, and if so, submit with the reexam application:

a. A copy of the judgment or sentence of conviction;

b. A criminal record check report from the Kentucky Administrative Office of the Courts, Courtnet Disposition System that is within six (6) months of the date of the application, or a similar document from the out of state agency where the conviction was entered; and

c. A letter of explanation; and

If not previously submitted, and if the applicant is requesting reasonable accommodations in testing due to a disability, complete an Exam Applicant Special Accommodations Request Form supported by documentation no more than three (3) years old from a qualified examiner that shall include:

a. A diagnosis of the disability; and

b. Recommendation for the specific accommodations.

(b) The reexam application shall be received in the board's office prior to the reexam candidate being considered eligible to sit for any section of the exam.

(5)

(a) The candidate shall return the completed reexam application with the reexam fee.

(b) The reexam fee shall be thirty (30) dollars per section. The reexam fee shall be nonrefundable and paid by check or money order made payable to the Kentucky State Board of Accountancy. If the institution the check or money order is drawn on does not honor the check or money order, the application shall be incomplete and returned.

(6) A reexam candidate who fails to comply with the requirements of this section shall not be allowed to sit for reexam.

(7) The procedures and policies in Section 5 of this administrative regulation shall be applicable to a reexam application.

(8) The reexam candidate shall comply with the requirements of Sections 6 through 8 of this administrative regulation.

Section 10. Examination Grades. Kentucky exam candidates shall receive their scores via the NASBA Web site: Nasba.org.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for the Uniform CPA Examination", 2023;

(b) "Reexam Application for the Uniform CPA Examination", 2023; and

History

RELATES TO: KRS 325.261, 325.270
STATUTORY AUTHORITY: KRS 325.240(2), 325.270(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the board to promulgate administrative regulations to administer KRS Chapter 325. KRS 325.270(1) and (2) require the board to authorize examinations for individuals seeking to become certified public accountants and authorize the board to, by administrative regulation, promulgate standards and fees governing all examination policies and procedures. KRS 325.261(4) requires passage of an examination prior to a person becoming licensed as a certified public accountant and for the board to determine the subjects to be included on the examination. This administrative regulation establishes the subjects, also referred to as sections, to be included on the examination, and the procedures and fees associated with the administration of the examination.
History: 30 Ky.R. 507; Am. 844; eff. 10-15-2003; 31 Ky.R. 1529; 1782; eff. 5-26-2005; 32 Ky.R. 2063; eff. 9-1-2006; TAm eff. 10-27-2009; 41 Ky.R. 548; 1036; eff. 12-5-2014; 46 Ky.R. 1004, 1802; eff. 3-3-2020; 48 Ky.R. 2112, 2558; eff. 7-5-2022; 49 Ky.R.1639, 2076; 50 Ky.R. 19; eff. 06-22-2023; 50 Ky.R. 1360, 1869; eff. 6-4-2024.

201 KAR 1:200 Board of Accountancy Scholarship Funding {#sec-201-kar-1-200 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:200}

Section 1. Definitions.

(1) "Board" is defined by KRS 325.220(2).

(2) "CPA" means certified public accountant.

(3) "Educational Foundation of the Kentucky Society of Certified Public Accountants" means the 501(c)(3) organization established in 1961 by Kentucky Society of Certified Public Accountants to strengthen and advance the profession through enriched educational programs and scholarships.

(4) "Kentucky Society of Certified Public Accountants" means the statewide, non-profit professional organization, founded in 1924, serving certified public accountants in public accounting firms, businesses, industry, government, and education.

Section 2. Scholarship Funding.

(1) The board's support of scholarship programs shall include financial contributions made directly to the scholarship program operated by the Educational Foundation of the Kentucky Society of Certified Public Accountants, which recognizes scholastic achievement and leadership qualities in students who plan to become CPAs.

(2) Decisions regarding the amount and timing of the board's scholarship funding distributions to the program shall be made by the board, and the expenditures shall in no way hinder or interfere with the performance of the board's regulatory purpose or statutory responsibilities.

Section 3. Administration of the Scholarship Program and Criteria for Awards.

(1) Program scholarships funded by the board shall be administered by the trustees of the Educational Foundation consistent with the existing administrative guidelines of its scholarship program.

(2) Apart from its monetary contributions, the board shall have no involvement in any administration of the scholarship program. Even with regard to scholarship awards funded by the board, members of the Educational Foundation of the Kentucky Society of Certified Public Accountants shall continue to administer the program under its existing guidelines.

(3) As the one (1) and only departure from the existing parameters and guidelines of the scholarship program established and administered by the Educational Foundation of the Kentucky Society of Certified Public Accountants, to be eligible to receive scholarship funds provided by the board, an applicant shall be enrolled in a Kentucky-based college or university.

(4) In all other respects, the existing parameters and guidelines of the scholarship program established and administered by the Educational Foundation of the Kentucky Society of Certified Public Accountants governing applicant eligibility; the application process; selection criteria; the selection process; and award amounts, distribution and authorized use, shall be utilized in connection with scholarship awards funded by the board's financial contributions.

(5) Information on each of those specific elements of the Educational Foundation's scholarship program may be found on the Web site of the Kentucky Society of Certified Public Accountants,https://www.kycpa.org/edfoundation/scholarship.

History

RELATES TO: KRS 325.240
STATUTORY AUTHORITY: KRS 325.240(7)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(7)(b) authorizes the Kentucky State Board of Accountancy to expend funds from its account created by KRS 325.250 to support scholarship programs that assist students enrolled in a Kentucky-based college or university who also satisfy other criteria contained in an administrative regulation promulgated by the board. This administrative regulation identifies the scholarship program that shall be supported by the board and establishes the selection criteria that shall be used in connection with the scholarship funds awarded by the board.
History: 50 Ky.R. 1625, 2020; eff. 7-2-2024.

201 KAR 1:290 Standards of practice {#sec-201-kar-1-290 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:290}

Section 1. Definitions.

(1) "AICPA" means the American Institute of Certified Public Accountants. (www.aicpa.org)

(2) "Audit" means an engagement performed in accordance with generally accepted auditing standards (GAAS) promulgated by the American Institute of Certified Accountants (AICPA) to obtain reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, thereby enabling the licensee to express an opinion on whether the financial statements are presented fairly, in all material respects, in accordance with an applicable financial reporting framework.

(3) "Board" is defined by KRS 325.220(2).

(4) "Client" means a person or entity that retains a licensee to provide a regulated activity as defined in KRS 325.220 (9) (a).

(5) "Compilation" means an engagement to apply accounting and financial reporting expertise to assist management in the presentation of financial statements and report in accordance with the Statements on Standards for Accounting and Review Services without undertaking to obtain or provide any assurance that there are no material modifications that should be made to the financial statements in order for them to be in accordance with the applicable financial reporting framework.

(6) "DOL" means the United States Department of Labor. (www.dol.gov.)

(7) "Financial statement" means a presentation of financial data, including accompanying notes, derived from accounting records and intended to communicate an entity's economic resources and obligations at a point in time, or the changes therein for a period of time, in accordance with generally accepted accounting principles (GAAP) or another financial reporting financial framework. General use financial statements, financial forecasts, projections, and similar presentations are considered financial statements.

(8) "GAAP" means generally accepted accounting principles that describe accepted accounting practices at a particular time and include broad guidelines of general applications and detailed practices and procedures that provide a standard by which to measure financial presentations.

(9) "GAAS" means generally accepted auditing standards.

(10) "GAO" means the Government Accountability Office. (www.gao.gov).

(11) "IAASB" means the International Auditing and Assurance Standards Board. (www.iaasb.org)

(12) "IFAC" means the International Federation of Accountants. (www.ifac.org)

(13) "Licensee" is defined by KRS 325.220(6).

(14) "PCAOB" means the Public Accounting Standards Board. (www.pcaobus.org)

(15) "Regulated activity" is defined by KRS 325.220(9) (a).

(16) "Review" means an engagement to obtain limited assurance as a basis for reporting whether the licensee is aware of any material modifications that should be made to the financial statements for them to be in accordance with generally acceptable accounting principles or other financial reporting framework, primarily through the performance of inquiry and analytical procedures.

(17) "SEC" means the United States Securities and Exchange Commission. (www.sec.gov.)

Section 2. Standards of Practice. When performing a regulated activity, a licensee shall comply with 29 U.S.C. 18 and the following appropriate practice standards:

(1) The AICPA Professional Standards as reflected in the following documents:

(a) General Principles for Engagements Performed in Accordance with Statements on Standards for Accounting and Review Services;

(b) Review of Financial Statements, SSARS 21 and 23;

(d) Compilation Engagements;

(e) General Principles for Engagements Performed in Accordance with Statements on Standards for Accounting and Review Services, SSARS 21 and 23;

(f) General Principles for Engagements Performed in Accordance with Statements on Standards for Accounting and Review Services, SSARS 21, 23, and 24;

(g) Preparation of Financial Statements;

(h) Statements on Standards for Valuation Services;

(i) Review of Financial Statements: Accounting and Review Services;

(j) Special Considerations-International Reporting Issues; and

(k) Review of Financial Statements: Accounting and Review Services Interpretation of Section 90.

(2) Government Auditing Standards, Yellow Book;

(3) Auditing Standards of the Public Company Accounting Oversight Board; and

(4) International Standards on Auditing issued by the IAASB and published on the IFAC web site. (www.ifac.org.).

Section 3. Accounting Principles.

(1) A licensee who is aware that the financial statement or financial data of any entity contains a departure from the applicable financial reporting framework that has a material effect on the financial statement or financial data taken as a whole shall not:

(a) Express an opinion or state affirmatively that the financial statement or financial data are presented in conformity with the applicable financial reporting framework; or

(b) State that he or she is unaware of any material modifications that should be made to the statements in order for them to be in conformity with the applicable financial reporting framework.

(2) Financial statements may depart from the applicable financial reporting framework, if the licensee:

(a) Demonstrates that due to unusual circumstances the financial statements or data would otherwise be misleading;

(b) Describes the departure;

(d) Explains the reasons why compliance with the applicable financial reporting framework would result in a misleading statement.

Section 4. Generally Accepted Auditing Standards. A licensee engaged to audit financial statements shall comply with following standards:

(1) Generally accepted auditing standards for audits of public companies required to register with the SEC shall use the Auditing Standards of the Public Company Accounting Oversight Board;

(2) Generally accepted auditing standards for federal agencies or entities receiving significant federal financial assistance shall use Government Auditing Standards, Yellow Book issued by the GAO, Comptroller General of the United States;

(3) Generally accepted auditing standards for all entities except those specified in subsection (1) and (2) of this section known as the AICPA Professional Standards and that includes the documents listed in Section 2(1)(a) through (k) of this administrative regulation; or

(4) International Standards on Auditing issued by the IAASB and published on the International Federation of Accountants Web site (www.ifac.org) in the following cases:

(a) The standards in subsection (1) or (3) of this section, as applicable to the specific audit engagement, do not prohibit the use of those standards; or

(b) The parent company of the entity being audited is located in a foreign country and requires the use of those standards.

Section 5. Practice before the Internal Revenue Service. A licensee shall comply with the standards contained in the United States Department of Treasury Circular Number 230 (2014) 31 C.F.R. Subtitle A, Part 10, (2014).

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "AICPA Professional Standards," December 2015 Edition;

"General Principles for Engagements Performed in Accordance with Statements on Standards for Accounting and Review Services", December 15, 2015;
"Review of Financial Statements, SSARS 21 and 23", December 15, 2015;
"Review of Financial Statements, SSARS 21, 23, and 24", December 15, 2015;
"Compilation Engagements", December 15, 2015;
"General Principles for Engagements Performed in Accordance with Statements on Standards for Accounting and Review Services, SSARS 21 and 23", December 15, 2015;
"General Principles for Engagements Performed in Accordance with Statements on Standards for Accounting and Review Services, SSARS 21, 23, and 24", December 15, 2015;
"Preparation of Financial Statements", December 15, 2015;
"Statements on Standards for Valuation Services", June 2007;
"Review of Financial Statements: Accounting and Review Services", February 2016;
"Special Considerations-International Reporting Issues", June 15, 2019; and
"Review of Financial Statements: Accounting and Review Services Interpretation of Section 90", February 2016;

(b) "Government Auditing Standards, Yellow Book", July 2018 Edition;

(d) "International Standards on Auditing," 2017 Edition.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky State Board of Accountancy, 332 W. Broadway, Suite 310, Louisville, Kentucky 40202, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 325.240, 325.340(1)(c)
STATUTORY AUTHORITY: KRS 325.240(2); 15 U.S.C. 98; 29 U.S.C. 18; 31 U.S.C. 75; 31 U.S.C. 330; 2 C.F.R. Subtitle A Chapter II Part 200 Subpart F; 29 C.F.R. Subtitle A Part 99; and 31 C.F.R. Subtitle A, Part 10.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations to establish and maintain a high standard of integrity and dignity in the profession of public accounting. This administrative regulation is necessary to ensure licensees follow specific accounting standards and principles that are nationally and internationally recognized and in some instances required by federal law, when performing a regulated activity. The Single Audit Act Amendments of 1996, 31 U.S.C. 75 and 2 C.F.R. Subtitle A Chapter II Part 200, require Generally Accepted Government Auditing Standards be adhered to when performing of audits of state and local governments and nonprofit entities that receive federal awards. 2 C.F.R. Subtitle A Chapter II Part 200 Subpart F of the Office of Management and Budgets Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, provides the government-wide guidelines and policies on conducting audits to comply with the Single Audit Act, and reiterates the requirement to use Generally Accepted Government Auditing Standards. The Sarbanes-Oxley Act of 2002, 15 U.S.C. 98, authorizes the Public Company Accounting Oversight Board to establish standards that licensees shall follow when performing audits of U.S. publicly traded companies. 31 U.S.C. 330 authorizes the Secretary of the United States Treasury Department to regulate licensees who practice before the Internal Revenue Service. 31 C.F.R. Subtitle A, Part 10 contains the procedures that licensees shall follow when practicing before the IRS. A CPA shall comply with the reporting requirements in The Employee Retirement Security Act of 1974, 29 U.S.C. 18, when performing an audit of an employee retirement plan created under the act. This administrative regulation establishes the standards of practice for CPAs and public accounting firms.
History: 45 Ky.R. 2802, 3399; eff. 7-5-2019; Crt eff. 6-30-2026.

201 KAR 1:300 Rules of professional conduct {#sec-201-kar-1-300 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:300}

Section 1. Definitions.

(1) "AICPA" means the American Institute of Certified Public Accountants.

(2) "Board" is defined by KRS 325.220(1).

Section 2. Each licensee and firm shall comply with the AICPA's interpretation of the rules of professional conduct in the AICPA Code of Professional Conduct adopted by the board.

Section 3. Incorporation by Reference.

(1) "AICPA Code of Professional Conduct", December 2014, is incorporated by reference.

History

RELATES TO: KRS 325.240, 325.340
STATUTORY AUTHORITY: KRS 325.240
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations for the administration of KRS Chapter 325, and to establish and maintain a high standard of integrity and dignity in the profession of public accounting. This administrative regulation establishes the Kentucky State Board of Accountancy Rules of Professional Conduct that incorporate by reference the AICPA Code of Professional Conduct.
History: 20 Ky.R. 668; eff. 10-8-93; Am. 21 Ky.R. 3061; 22 Ky.R. 275; eff. 8-10-95; 24 Ky.R. 2406; eff. 7-13-98; 28 Ky.R. 1674; 2190; eff. 4-15-2002; 45 Ky.R. 2964, 3401; eff. 7-5-2019; Crt eff. 6-30-2026.

201 KAR 1:310 Expungement of minor violation {#sec-201-kar-1-310 omnilex-key=us-ky-regs-official--title-201--201 KAR 1:310}

Section 1. Definition. "Expungement" means all affected records are sealed and the proceedings to which the records refer never occurred.

Section 2. A licensee whose record has been expunged may properly reply, upon inquiry, that disciplinary records do not exist.

Section 3. Any licensee seeking expungement of a minor violation from the licensee's record shall submit to the board a written request that specifically demonstrates satisfaction of each of the elements for expungement identified in KRS 325.340(4).

Section 4.

(1) Upon receipt of the written request, the board shall:

(a) Review the request for expungement; and

(b) Provide the licensee with a written response granting or denying the request.

(2) If the request is denied, the board shall explain the basis for its denial.

Section 5.

(1) If an applicant for expungement disagrees with the board's determination under this section, he or she may file a written request for a hearing before the board.

(2) The hearing request shall:

(a) Be received by the board within twenty (20) days from the date of the issuance of the decision to deny the request; and

(b) Explain the grounds upon which the applicant challenges the board's determination.

(3) A hearing held pursuant to the provisions of this subsection shall be conducted in accordance with KRS 325.360.

History

RELATES TO: KRS 325.240(2)
STATUTORY AUTHORITY: KRS 325.240(2), 325.340(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 325.240(2) authorizes the Kentucky State Board of Accountancy to promulgate administrative regulations to administer KRS Chapter 325. KRS 325.340(5) requires the board to promulgate an administrative regulation to establish procedures to expunge a minor violation. This administrative regulation establishes those expungement procedures.
History: 45 Ky.R. 2804, 3403; eff. 7-5-2019; Crt eff. 6-30-2026.

Chapter 2 Board of Pharmacy

201 KAR 2:010 Schools approved by the board {#sec-201-kar-2-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:010}

Section 1. An applicant for licensure as a pharmacist, shall have graduated and received a degree in an accredited pharmacy degree program, which has been approved by the Board of Pharmacy. A program shall be considered approved if the program's standards are equivalent to the minimum standards for accreditation for a similar program established by:

(1) The Accreditation Council on Pharmaceutical Education, Accreditation Standards and Key Elements for the Professional Program in Pharmacy Leading to the Doctor of Pharmacy Degree; or

(2) The Canadian Council for Accreditation of Pharmacy Programs, Accreditation Standards for Canadian First Professional Degree in Pharmacy Programs.

Section 2. An applicant for licensure as a pharmacist who shall have graduated and received a degree in a foreign pharmacy degree program, other than from a college or school accredited by the Canadian Council for Accreditation of Pharmacy Programs shall be deemed to be a graduate of a pharmacy degree program, which has been approved by the Board of Pharmacy if the applicant has obtained a Foreign Pharmacy Graduate Examination Committee Certificate through the Foreign Pharmacy Graduate Examination Committee Certification Program, which is administered by the National Association of Boards of Pharmacy.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Accreditation Standards and Key Elements for the Professional Program in Pharmacy Leading to the Doctor of Pharmacy Degree", July 2025, Accreditation Council on Pharmaceutical Education; and

(b) "Accreditation Standards for Canadian First Professional Degree in Pharmacy Programs", July 2018, Revised 2020, Canadian Council for Accreditation of Pharmacy Programs.

History

RELATES TO: KRS 315.050
STATUTORY AUTHORITY: KRS 315.050, 315.191(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the board to promulgate administrative regulations to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists. KRS 315.050(1) requires the board to approve the schools or colleges of pharmacy whose curricula or course of studies are acceptable. This administrative regulation establishes the educational standards for an applicant for licensure as a pharmacist in Kentucky and identifies the acceptable and approved colleges or schools of pharmacy from which an applicant shall graduate.
History: 201 KAR 002:010. 4 Ky.R. 218; eff. 1-4-1978; 11 Ky.R. 1612; eff. 6-4-1985; 12 Ky.R. 498; eff. 12-10-1985; 16 Ky.R. 791; eff. 1-12-1990; 18 Ky.R. 1911; eff. 2-19-1992; 19 Ky.R. 443; eff. 10-8-1992; 25 Ky.R. 2925; 26 Ky.R. 718; eff. 10-20-1999; 45 Ky.R. 3447; 46 Ky.R. 410; eff. 8-19-2019; 52 Ky.R. 1164; eff. 6-16-2026.

201 KAR 2:015 Continuing education {#sec-201-kar-2-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:015}

Section 1. Definitions.

(1) "Continuing education unit" or "CEU" is defined by KRS 315.010(8).

(2) "Sponsor" means a person, school, association, company, corporation, or group who wishes to develop a continuing education program.

Section 2.

(1) Continuing education hours for credit shall be relevant to the practice of pharmacy and free of commercial bias.

(2) Continuing education hours shall be approved if approved by:

(a) The Accreditation Council for Pharmacy Education (ACPE); or

(b) The board.

Section 3.

(1) Continuing education sponsors shall submit an Application for Provider CE Approval to the board:

(a) At least sixty (60) days prior to the presentation date, if pre-approval is sought; or

(b) Between sixty (60) days prior and thirty (30) days after the presentation date, if pre-approval is not sought.

(2) Program changes shall be submitted to and approved by the board, or the approval of the program shall be void.

(3) Continuing education credit shall be given only once for each program per participant.

(4) Sponsors shall retain a file of each participant's program completion for three (3) years.

(5) Board approval of each program shall expire three (3) years after the date of approval.

Section 4.

(1) Pharmacists requesting approval of individually obtained continuing pharmacy education shall submit an Application for Pharmacist CE Approval to the board within thirty (30) days of completion of the educational presentation.

(2) The board shall notify the requesting pharmacist whether the application request has been approved or denied.

(3) Continuing education that has not been approved by ACPE or the board shall not be used to meet continuing education requirements for renewal or issuance of a license.

Section 5.

(1) A pharmacist shall:

(a) Complete a minimum of one and five-tenths (1.5) CEU (fifteen (15) contact hours) annually between March 1 and February 28 of the subsequent year prior to licensing renewal; and

(b) For licensing years 2023 through 2028, one (1) contact hour of the fifteen (15) contact hours shall be on the opioid epidemic or opioid use disorder; and

(2) A pharmacist may be granted a deferral on a year-to-year basis at the determination of the board for illness, incapacity, or other extenuating circumstances.

(3) A pharmacist first licensed by the board within twelve (12) months immediately preceding the annual renewal date shall be exempt from the continuing pharmacy education provisions for that year.

(4) Pharmacists shall:

(a) Keep valid records, receipts, and certifications of continuing pharmacy education programs completed for three (3) years; and

(b) Submit that documentation to the board upon request.

(5) Submission of a fraudulent statement or certificate concerning continuing pharmacy education shall subject the pharmacist to discipline as provided in KRS 315.121.

Section 6. Each pharmacist shall keep the board informed of the pharmacist's correct address.

Section 7. CEU may be transferred from another state to Kentucky if the transfer state recognizes Kentucky CEU.

Section 8. A licensee who failed to timely renew his or her license shall:

(1) Comply with the applicable provisions of KRS 315.120(2) or (3); and

(2) Complete fifteen (15) hours of continuing education for each year the applicant failed to renew his or her license, up to a maximum of seventy-five (75) hours.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Provider CE Approval", June 2018; and

(b) "Application for Pharmacist CE Approval", June 2018.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, 125 Holmes Street, Suite 300, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the Web site at https://pharmacy.ky.gov/professionals/Pages/Continuing-Education-.aspx

History

RELATES TO: KRS 315.010, 315.065, 315.120, 315.121
STATUTORY AUTHORITY: KRS 315.065, 315.110(1), 315.191(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.065(2) and (3) require the Board of Pharmacy to establish continuing education requirements for pharmacists. This administrative regulation establishes requirements for the continuing pharmacy education of registered pharmacists and requires all registered pharmacists holding a license issued by the board to participate in continuing pharmacy education as a means of renewal of their licenses.
History: 4 Ky.R. 218; eff. 1-4-1978; 11 Ky.R. 1612; eff. 6-4-1985; 16 Ky.R. 791; eff. 1-12-1990; 28 Ky.R. 1906; 2192; eff. 3-28-2002; 37 Ky.R. 2041; 2376; eff. 5-6-2011; 41 Ky.R. 2609; 42 Ky.R. 272; eff. 9-4-2015; 45 Ky.R. 146, 650; eff. 9-19-2018; 48 Ky.R. 2815; 49 Ky.R. 758; eff. 11-15-2022; 50 Ky.R. 2282; eff. 10-23-2024.

201 KAR 2:020 Examination {#sec-201-kar-2-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:020}

Section 1. The examination for licensure shall include:

(1) The North American Pharmacist Licensure Examination (NAPLEX); and

(2) The Multistate Pharmacy Jurisprudence Examination (MPJE).

Section 2. Both the NAPLEX and the MPJE examinations are graded as pass or fail.

Section 3. If an applicant fails an examination described in Section 2 of this administrative regulation, the applicant may upon proper application retake the examination. An applicant is limited to three (3) attempts for each examination without further board approval. An applicant is limited to a lifetime limit of five (5) attempts on each examination.

Section 4. If after three (3) examination attempts, the applicant has not passed, to qualify for two (2) additional attempts, the applicant shall:

(1) For the NAPLEX, complete a refresher course and submit to the Board of Pharmacy a certificate of completion; and

(2) For the MPJE, submit to the Board of Pharmacy:

(a) Proof of (5) five hours of ACPE or board approved continuing education in the topic of pharmacy law; or

(b) A certificate of completion of a refresher course.

Section 5. All results of examinations shall be preserved according to the Board of Pharmacy Record Retention Schedule.

Section 6. Prior to approval for examination, an applicant shall:

(1) Submit to a nation-wide criminal background investigation by means of fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation;

(2) Submit to a query to the National Practitioner Data Bank of the United States Department of Health and Human Services;

(3) Submit an Initial Application for Pharmacist Licensure that reports:

(a) Name, maiden, and other names used currently or previously;

(b) Address and telephone number;

(d) Social Security number;

(e) Citizenship;

(f) Sex;

(g) Name of pharmacy school;

(h) Intern Registration Number;

(i) Record of any conviction for any felony or misdemeanor offense;

(j) Record of any state licensing agency refusal of licensure, failure of examination, or refusal of examination; and

(k) Certificate of moral standing.

(4) Submit as part of the Initial Application for Pharmacist Licensure a Certification of College Graduation completed by the Dean of the College of Pharmacy where the applicant graduated pharmacy school; and

(5) Submit as part of the Initial Application for Pharmacist Licensure a Certification of Intern Hours completed by the College of Pharmacy where the applicant graduated, or the State Board of Pharmacy if the hours are outside of Kentucky.

Section 7. Each applicant for renewal shall submit the Pharmacist License Renewal Application along with the fee as required by Section 8 of this administrative regulation.

Section 8. Fee. An applicant shall submit the fee established by 201 KAR 2:050, Section 1(1).

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial Application for Pharmacist Licensure", June 2023; and

(b) "Pharmacist License Renewal Application", June 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/Forms/Pages/default.aspx.

History

RELATES TO: KRS 218A.205(7), 315.050
STATUTORY AUTHORITY: KRS 218A.205(8), 315.050(2), 315.191(1), (2), (4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.050(2) and 315.191(1)(c) authorize the board to promulgate administrative regulations to prescribe the time, place, method, manner, scope, and subjects of examinations. KRS 218A.205(8) requires the board to establish requirements for background checks for licensees. This administrative regulation establishes the examination and application requirements for obtaining a license to practice pharmacy in Kentucky.
History: 1 Ky.R. 9; eff. 9-11-1974; Am. 7 Ky.R. 403; eff. 12-3-1980; 9 Ky.R. 11; eff. 8-11-1982; 11 Ky.R. 1614; eff. 6-4-1985; 16 Ky.R. 793; eff. 1-12-1990; 19 Ky.R. 443; eff. 10-8-1992; 26 Ky.R. 866; 1117; eff. 12-15-1999; 32 Ky.R. 1462; 1879; eff. 5-5-2006; 39 Ky.R. 501; eff. 2-1-2013; 39 Ky.R. 2377; eff. 8-21-2013; 46 Ky.R. 1926; eff. 3-19-2020; 48 Ky.R. 2817, 49 Ky.R. 320; eff.8-25-2022; 50 Ky.R. 58, 1053; eff. 12-13-2023.

201 KAR 2:030 License transfer {#sec-201-kar-2-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:030}

Section 1. Definitions.

(1) "Board" is defined by KRS 315.010(4).

(2) "Good standing" means that a license is not suspended, revoked, surrendered, conditioned under terms of probation, or otherwise in a status that in any manner restricts the activity of the licensee.

(3) "License transfer" means a license to practice pharmacy in Kentucky issued by the board to a pharmacist licensed in another jurisdiction.

(4) "NABP" means the National Association of Boards of Pharmacy.

Section 2. An applicant licensed in another jurisdiction shall be eligible for license transfer, if the:

(1) Requirements for licensure of the jurisdiction that granted his or her license met or exceeded Kentucky requirements for licensure when the license in the other jurisdiction was granted;

(2) Applicant holds in good standing, an active license to practice pharmacy;

(3) Applicant has:

(a) Completed and certified the NABP Preliminary Application for Transfer of Pharmacist License form; and

(b) Received an NABP Official Application for Transfer of Pharmacist License;

(4) Applicant is currently in good standing in the jurisdiction from which he or she has applied;

(5) Applicant has successfully completed an examination in jurisprudence;

(6) Applicant has submitted to a nation-wide criminal background investigation by means of fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation; and

(7) Applicant has submitted to a query to the National Practitioner Data Bank of the United States Department of Health and Human Services.

Section 3. Required Information. An applicant shall provide the information required by the NABP Preliminary Application for Transfer of Pharmacist License form, including:

(1) Name, maiden, and other names used currently or previously;

(2) Address, telephone number;

(3) Date of birth;

(4) Social Security number;

(5) Citizenship;

(6) Sex;

(7) State of original license by examination, including:

(a) License number;

(b) Original date of issue;

(d) State for which license transfer is requested;

(8) Pharmacy education, including:

(a) Name and location of pharmacy school;

(b) Name of pharmacy degree;

(d) Other professional degrees, including the information specified by paragraphs (a) to (c) of this subsection;

(9) Whether the applicant has earned certification by the Foreign Pharmacy Graduate Examination Committee, and, if so, the examination equivalency number assigned;

(10) Total hours of practical experience as an intern prior to licensure as a pharmacist;

(11) States, dates, and results of pharmacist licensure examinations;

(12) Pharmacist licenses currently held, including issue date, expiration date, status, and any board action taken against the licensee;

(13) Practice and employment, including nonpharmacist employment, from the past three (3) years;

(14) Record of charges or convictions of any felony or misdemeanor offense, other than traffic offenses, and whether or not a sentence was imposed or suspended;

(15) Record of any surrender of a pharmacist license or registration issued by the federal government or any state controlled substance authority;

(16) Record of any pharmacist license revocation, suspension, restriction, termination, or other disciplinary action by any board of pharmacy or other state authority;

(17) Record of whether the pharmacist is currently under investigation or subject to disciplinary action by the licensing jurisdiction, federal Food and Drug Administration, federal Drug Enforcement Administration or any state drug enforcement authority for the violation of any state or federal pharmacy, liquor, or drug laws;

(18) Record of any condition or impairment, such as substance or alcohol abuse or dependency that in any way affects the pharmacist's ability to practice pharmacy in a safe and competent manner; and

(19) Record of any application for initial licensure, renewal licensure, or licensure by transfer that was denied by any licensing authority, whether in pharmacy or any other profession.

Section 4. The board shall accept license transfer applications from jurisdictions that:

(1) Are an active member of the NABP; and

(2) Grant license transfers to pharmacists pursuant to conditions and requirements that are the equivalent of conditions and requirements established by the board.

Section 5. An applicant for license transfer shall:

(1) Take and pass the Multistate Pharmacy Jurisprudence Examination administered by the NABP; and

(2)

(a) Pay the fee established in 201 KAR 2:050, Section 1(2) for the application and initial license transfer; and

(b) Pay the fee established in 201 KAR 2:050, Section 1(19) for the Query to the National Practitioner Data Bank of the United States.

Section 6. Incorporation by Reference.

(1) "NABP Preliminary Application for Transfer of Pharmacist License", April 2018, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the Web site at https://pharmacy.ky.gov/professionals/Pages/Pharmacists.aspx.

History

RELATES TO: KRS 315.050, 315.191(1)(c), (d), 315.210
STATUTORY AUTHORITY: KRS 218A.205(8), 315.191(1)(a), (c), (d), 315.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.210 authorizes the board to establish conditions for licensure by reciprocity. KRS 218A.205(8) requires the board to establish requirements for background checks for licensees. This administrative regulation establishes conditions, forms, and examination requirements for licensure by reciprocity.
History: Rx-3, 11; 1 Ky.R. 147; eff. 12-11-74; Am. 16 Ky.R. 794; 1943; eff. 3-8-90; 24 Ky.R. 1115; 1865; eff. 3-16-98; 25 Ky.R. 2185; 2832; eff. 6-16-99; 26 Ky.R. 1436; 1798; eff. 4-12-2000; 32 Ky.R. 1463; 1879; eff. 5-5-06; 39 Ky.R. 502; 1371; eff. 2-1-2013; 39 Ky.R. 2378; eff. 8-21-2013; 41 Ky.R. 298; 738; eff. 10-15-2014; 48 Ky.R. 1235, 2025; eff. 1-13-2022; 50 Ky.R. 2284; 51 Ky.R. 1257; eff. 2-5-2025.

201 KAR 2:040 Registration of pharmacist interns {#sec-201-kar-2-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:040}

Section 1. Definitions.

(1) "Academic experience program" means a course or series of courses taken by a pharmacist intern at a school or college of pharmacy approved by the board that involves actual practice of pharmacy experiences.

(2) "Pharmacist intern" is defined by KRS 315.010(18).

(3) "Preceptor" means the pharmacist who is responsible to the board for the practice of pharmacy experiences of a pharmacist intern.

Section 2. An applicant for registration as a pharmacist intern shall:

(1) File an Application for Registration as a Pharmacist Intern, Form I, with the board; and

(2) Submit proof of acceptance or graduation by a college or school of pharmacy approved by the board.

Section 3. An applicant for initial licensure as a pharmacist shall:

(1) Complete 1,500 hours of internship;

(2) Be awarded credit for internship for hours worked in a pharmacy or in related research during the time the pharmacist intern is enrolled in an approved school or college of pharmacy;

(3) Not be awarded credit for hours worked in a pharmacy or in related research during the period the pharmacist intern is completing the academic experience program;

(4) Be limited to internship credit:

(a) Of forty-eight (48) hours per week during non-academic sessions if the pharmacist intern is in good standing with a college or school of pharmacy and the board; and

(b) Of twenty (20) hours per week during academic sessions in a college or school of pharmacy. The maximum credit allowed for this enrolled time shall be 500 hours;

(5) Be given credit for the following forms of internship:

(a) Completion of an academic experience program;

(b) Work performed in a pharmacy under the supervision of a preceptor;

(c) Work or research related to the practice of pharmacy that was performed under the supervision of a preceptor for a government body, college or university, pharmacy business, or other entity if the pharmacist intern has received prior approval by the board. The maximum credit allowed for this time shall be 400 hours, and the pharmacist intern shall file an essay of at least 500 words describing the work or research experience and the relation of the work or research to the practice of pharmacy, which shall be approved by the board president; or

(d) An internship performed outside of Kentucky if the:

Requirements for internship in that state are at least equivalent to the requirements established in this administrative regulation; and
Board of licensure in that state has certified that the preceptor, pharmacy, government body, college or university, pharmaceutical business, or other entity is in good standing; and

(6) Not be awarded credit for an internship completed prior to registration with the board.

Section 4. A pharmacist intern shall:

(1) Be issued a Registration Identification Card;

(2) Carry the Registration Identification Card when on duty;

(3) Show it upon request to a member of the board or its authorized agent; and

(4) Notify the board within thirty (30) days of any charge of:

(a) A felony;

(b) A violation of drug laws; or

Section 5. The registration of a pharmacist intern shall not be revoked if the intern is not currently enrolled in a college or school of pharmacy approved by the board if the board finds that:

(1) The intern is on a semester break; or

(2) Personal or family health concerns or other reasons beyond the control of the pharmacist intern necessitate a temporary absence from enrollment and the absence is approved by the board.

Section 6. A person who is not registered as a pharmacist intern shall not:

(1) Hold himself or herself out as a pharmacist intern; or

(2) Perform the duties of a pharmacist intern.

Section 7.

(1) A preceptor shall be a pharmacist who:

(a) Has a license in good standing;

(b) Has been licensed by the board for at least one (1) year; and

(2) A preceptor shall be actively engaged in the practice of pharmacy in the location where the pharmacist intern performs his or her internship.

(3) The preceptor shall supervise only one (1) pharmacist intern at a time for the purpose of the intern obtaining credit for the practice of pharmacy experience unless the pharmacist is supervising interns as a faculty member at a school or college pharmacy approved by the board during an academic experience program.

Section 8. Credit for Non-Academic Experience Programs.

(1) Within ten (10) days of beginning an internship credit for non-academic experience program, a pharmacist intern shall submit a Pharmacist Preceptor's Affidavit, Form II.

(2) On or before graduation from a college or school of pharmacy, a pharmacist intern shall submit an Internship Report, Form III.

Section 9. Credit for Academic Experience Programs.

(1) For a Doctor of Pharmacy degree, credit shall be awarded for each hour of successful completion of an academic experience program at a college or school of pharmacy approved by the board.

(2) An academic experience program shall be reported on an Academic Experience Affidavit, Form IV, which shall be filed with the board upon completion of the academic experience program or prior to certification for examination.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Registration as a Pharmacist Intern", Form I, 08/2023;

(b) "Pharmacist Preceptor's Affidavit", Form II, 08/2023;

(d) "Academic Experience Affidavit", Form IV, 08/2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601 Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/professionals/Pages/Pharmacist-Interns.aspx.

History

RELATES TO: KRS 315.010(18), 315.020(3), (4), 315.050(4), (5), 315.191(1)(h)
STATUTORY AUTHORITY: KRS 315.050(4), (5), 315.191(1)(a), (h)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.050(4) requires the Kentucky Board of Pharmacy to establish standards for pharmacy intern certification. KRS 315.191(1)(h) authorizes the board to establish an internship program for training, qualifications, and registration of applicants for registration of pharmacist interns. This administrative regulation establishes the standards for training, qualifications, and registration of pharmacist interns
History: Rx-6; 1 Ky.R. 9; eff. 9-11-74; Am. 9 Ky.R. 247; eff. 9-8-82; 11 Ky.R. 1125; eff. 3-12-85; 16 Ky.R. 795; eff. 1-12-90; 25 Ky.R. 2187; 2832; eff. 6-16-99; 26 Ky.R. 1023; 1404; eff. 1-12-2000; 34 Ky.R. 1095; 1703; eff. 2-1-2008; 39 Ky.R. 1051; 1372; eff. 2-1-2013; 41 Ky.R. 300; 739; eff. 10-15-2014; 47 Ky.R. 2029; 48 Ky.R. 22; eff. 7-21-2021; 50 Ky.R. 719; eff. 12-13-2023.

201 KAR 2:045 Technicians {#sec-201-kar-2-045 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:045}

Section 1. Certified Pharmacy Technician Recognition. A person shall be recognized by the board as a certified pharmacy technician if the person has successfully completed the:

(1) Pharmacy Technician Certification Exam (PTCE) administered by the Pharmacy Technician Certification Board (PTCB) or the Examination for the Certification of Pharmacy Technicians (ExCPT) by the National Healthcareer Association (NHA) and the certificate issued by the PTCB or NHA is current; or

(2) Nuclear Pharmacy Technician Training Program at the University of Tennessee or other entity approved by the Board of Pharmacy.

Section 2. Registered Pharmacy Technician.

(1) A registered pharmacy technician may, under the immediate supervision of a pharmacist, engage in the following activities at a permitted location to the extent that the activities do not require the exercise of professional judgment:

(a) Initiate or receive telephonic or electronic communication from a practitioner or practitioner's agent concerning refill authorization. If the practitioner or practitioner's agent communicates information that does not relate to the refill authorization:

The technician shall immediately inform the pharmacist; and
The pharmacist shall receive the communication;

(b) Enter information into and retrieve information from a database or patient profile, including order entry;

(d) Stock and retrieve, or return product to or from the pharmacy inventory, including the stocking and loading of an automated filling or dispensing system with the use of barcode technology;

(e) Count and pour prescription drugs into patient storage containers;

(f) Obtain, record, or maintain information for a patient record;

(g) Make an offer to counsel;

(h) Sell and record the sale of an over-the-counter ephedrine, pseudoephedrine, or phenylpropanolamine product;

(i) Prepare for delivery unit dose mobile transport systems that have been refilled by another technician in an institutional pharmacy;

(j) Receive diagnostic orders within a nuclear pharmacy; and

(k) Non-sterile and sterile drug compounding.

(2) A registered pharmacy technician may, under electronic supervision, perform order entry from a location outside of the permitted pharmacy pursuant to KRS 315.020(5)(b) and (c) and 201 KAR 2:480.

(3) A registered pharmacy technician may, under general supervision:

(a) Administer a vaccine to an individual if the technician:

Completes a minimum of two (2) hours of immunization-related continuing education accredited by the Accreditation Council for Pharmacy Education (ACPE) per each state registration period;
Completes, or has completed, a practical training program accredited by ACPE that includes hands-on injection technique and the recognition and treatment of emergency reactions to vaccines; and
Possesses a current certificate in basic cardiopulmonary resuscitation.

(b) Stock an automated dispensing system in a residential hospice facility if a pharmacist is on-site; and

Section 3. Certified Pharmacy Technician. A certified pharmacy technician, under the general supervision of a pharmacist, may be delegated by the supervising pharmacist to perform any function within the practice of pharmacy except the following:

(1) Patient counseling, including clinical advisement necessary to all areas of a patient's health;

(2) Drug evaluation, utilization, and regimen review;

(3) Interpretation of medical orders and prescriptions;

(4) Final product verification;

(5) Receipt of new verbal prescription drug or medical orders; and

(6) Other acts, services, or decisions that require professional judgement.

Section 4. Directing Pharmacist Responsibility.

(1) A function performed by a certified pharmacy technician or registered pharmacy technician shall be performed subject to the review of the pharmacist who directed the technician to perform the function.

(2) A pharmacist who directs a certified pharmacy technician or registered pharmacy technician to perform a function shall be responsible for the technician and the performance of the function.

Section 5. Pharmacy Technician Application and Renewal.

(1) Initial registration for pharmacy technician.

(a) An applicant shall provide a completed Application for Registration as a Pharmacy Technician form.

(b) The initial application shall be submitted no more than thirty (30) calendar days after the applicant commences employment at a pharmacy.

(2) Annual renewal requirement for pharmacy technician.

(a) Registered pharmacy technician licenses shall expire on March 31 of the year following the initial registration.

(b) A registered pharmacy technician shall renew the registration annually by providing a completed Application for Pharmacy Technician Renewal form.

(3) Fee exception: charitable. An applicant for registration as a pharmacy technician who serves only on a voluntary basis as a pharmacy technician with a pharmacy operated by a charitable provider as defined in KRS shall not be required to pay the application fee.

(4) Display of registration certificate for pharmacy technician.

(a) The registration certificate for a pharmacy technician shall be on display at his or her primary place of employment.

(b) The registration shall be exhibited upon request of a member, inspector, or agent of the board.

(5) Notification requirement. A pharmacy technician shall notify the board of a change of employer within fourteen (14) calendar days of the change.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Registration as a Pharmacy Technician", 08/2025; and

(b) "Application for Pharmacy Technician Renewal", 08/2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the Board's website at: https://pharmacy.ky.gov/statutesandregulations/Documents/Applications%20for%20Individuals%20-%20Incorporated%20By%20Reference.pdf.

History

RELATES TO: KRS 142.301, 315.010, 315.020, 315.136, 315.191(1)
STATUTORY AUTHORITY: KRS 315.010(21), 315.020(4)(b), 315.191(1)(a), (g), (l)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations governing pharmacy technicians. KRS 315.020(4)(b) authorizes the board to establish the scope of practice for pharmacy technicians. KRS 315.010(21) and 315.191(1)(l) authorize the board to promulgate administrative regulations establishing that a pharmacy technician may practice under the general, rather than immediate, supervision of a pharmacist. This administrative regulation establishes the qualifications required for a pharmacy technician to practice under the general supervision of a pharmacist and establishes the scope of practice for a pharmacy technician.
History: 201 KAR 002:045. 23 Ky.R. 3124; Am. 3806; 4108; eff. 6-16-97; 26 Ky.R. 1687; 2238; eff. 6-12-2000; 35 Ky.R. 2484; 36 Ky.R. 321; eff. 8-12-2009; 43 Ky.R. 606, 952; eff. 12-14-2016; 51 Ky.R. 1799, 52 Ky.R. 367; eff. 10-22-2025.

201 KAR 2:050 Licenses and permits; fees {#sec-201-kar-2-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:050}

Section 1. The following fees shall be paid in connection with pharmacist examinations and licenses, pharmacy permits, intern certificates, and the issuance and renewal of licenses and permits:

(1) Application for initial pharmacist license - $150;

(2) Application and initial license for a pharmacist license by license transfer - $250;

(3) Annual renewal of a pharmacist license - ninety-five (95) dollars;

(4) Delinquent renewal penalty for a pharmacist license - ninety-five (95) dollars;

(5) Annual renewal of an inactive pharmacist license - ten (10) dollars;

(6) Pharmacy intern certificate valid six (6) years - twenty-five (25) dollars;

(7) Duplicate of original pharmacist license wall certificate - seventy-five (75) dollars;

(8) Application for a permit to operate a pharmacy - $200;

(9) Renewal of a permit to operate a pharmacy - $175;

(10) Delinquent renewal penalty for a permit to operate a pharmacy - $175 dollars;

(11) Change of location, name or ownership of a pharmacy or manufacturer permit - $175;

(12) Application for a permit to operate as a manufacturer - $175;

(13) Renewal of a permit to operate as a manufacturer - $175;

(14) Delinquent renewal penalty for a permit to operate as a manufacturer - $175;

(15) Change of location, name or ownership of a wholesale distributor license - $175;

(16) Application for a license to operate as a wholesale distributor - $175;

(17) Renewal of a license to operate as a wholesale distributor - $175;

(18) Delinquent renewal penalty for a license to operate as a wholesale distributor - $175; and

(19) Query to the National Practitioner Data Bank of the United States Department of Health and Human Services - twenty-five (25) dollars.

Section 2. A pharmacy permit applicant shall submit:

(1) An initial or renewal application for a pharmacy permit on either the:

(a)

Application for Permit to Operate a Pharmacy in Kentucky; or
Application for Resident Pharmacy Permit Renewal; or

(b)

Application for Non-Resident Pharmacy Permit, as incorporated by reference into 201 KAR 2:465; or
Application for Non-Resident Pharmacy Permit Renewal, as incorporated by reference into 201 KAR 2:465; and

(2) As appropriate, the:

(a) Initial application fee established by Section 1(8) of this administrative regulation; or

(b) Renewal fee established by Section 1(9) of this administrative regulation.

Section 3. All fees shall be non-refundable.

Section 4. Applications shall expire one (1) year after the date the application is received by the board.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Permit to Operate a Pharmacy in Kentucky", Form 1, 3/2026; and

(b) "Application for Resident Pharmacy Permit Renewal", Form 2, 3/2026.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's website at https://pharmacy.ky.gov/statutesandregulations/Pages/default.aspx .

History

RELATES TO: KRS 218A.205(3)(g), 315.035(1), (2), (4), 315.0351(1), 315.036(1), 315.050(5), 315.060, 315.110, 315.120, 315.191, 315.402
STATUTORY AUTHORITY: KRS 218A.205(3)(g), 315.035(1), (2), (4), 315.036(1), 315.050(5), 315.060, 315.110(1), 315.120(4), 315.191(1)(i), 315.402(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(i) authorizes the board to assess reasonable fees for services rendered to perform its duties and responsibilities. This administrative regulation establishes reasonable fees for the board to perform all the functions for which it is responsible.
History: 201 KAR 002:050. Rx-1; 1 Ky.R. 10; eff. 9-11-1974; Am. 4 Ky.R. 122; eff. 11-2-1977; 8 Ky.R. 254; eff. 10-7-1981; 9 Ky.R. 12; eff. 8-11-1982; 1027; eff. 4-6-1983; 19 Ky.R. 444; eff. 11-9-1992; 25 Ky.R. 2188; 2834; eff. 6-16-1999; 32 Ky.R. 1465; 1890; eff. 5-5-2006; 35 Ky.R. 1833; eff. 6-5-2009; 39 Ky.R. 504; eff. 2-1-2013; 43 Ky.R. 607, 953; eff. 12-14-2016; 46 Ky.R. 2682; eff. 2-4-2021; 48 Ky.R. 877; eff. 12-15-2021; 48 Ky.R. 2819; eff. 8-25-2022; 50 Ky.R. 90, 825, 1054; eff. 12-13-2023; 50Ky.R. 2287; 51 Ky.R. 1259; eff. 2-5-2025; 52 Ky.R. 1166, 1680; eff. 6-16-2026.

201 KAR 2:061 Procedures followed by the Kentucky Board of Pharmacy in the investigation and hearing of complaints {#sec-201-kar-2-061 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:061}

Section 1. Definitions.

(1) "Adverse drug experience" means any adverse event associated with the use of a drug in humans, whether or not considered drug related, including the following:

(a) An adverse event occurring in the course of the use of a drug product in professional practice;

(b) An adverse event occurring from drug overdose, whether accidental or intentional;

(d) An adverse event occurring from drug withdrawal; and

(e) Any failure of expected pharmacological action.

(2) "Agreed order" means a formal written agreement between the board and the licensee, permit holder, or registrant that stipulates that a violation of pharmacy law may have occurred and specifies the disciplinary terms and conditions imposed on the licensee, permit holder, or registrant.

(3) "Board" is defined by KRS 315.010(4).

(4) "Charge" means a specific allegation alleging a violation of a specified provision of KRS Chapter 315, the provisions of KRS Chapters 217 and 218A pertaining to prescription drugs, or 201 KAR Chapter 2.

(5) "Complaint" means a formal administrative pleading that sets forth charges against a licensee, permit holder, or registrant and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B.

(6) "Diversion agreement" means an interim agreement between the board and the licensee, permit holder, or registrant that is utilized as a method of ensuring patient safety during a time mutually agreed upon.

(7) "Executive director" means the executive director of the Kentucky Board of Pharmacy.

(8) "FDA" is defined by KRS 315.400(10).

(9) "General counsel" means the general counsel of the Kentucky Board of Pharmacy or any attorney hired or contracted with the Kentucky Board of Pharmacy to provide legal services.

(10) "Grievance" means any allegation alleging misconduct by a licensee, permit holder, or registrant.

(11) "Inordinate amount of compounded human drug products" means when a pharmacy has distributed interstate during any calendar year more than fifty (50) percent of the sum of the number of prescription orders for compounded human drug products that the pharmacy sent out of the facility in which the drug products were compounded during that same calendar year plus the number of prescription orders for compounded human drug products that were dispensed at the facility in which they were compounded during that same calendar year.

(12) "Letter of concern" means an advisory letter to notify a licensee, permit holder, or registrant that, although there is insufficient evidence to support disciplinary action, the board believes the licensee, permit holder, or registrant needs to modify or eliminate certain practices and that the continuation of those practices may result in action against the license, permit, or registration.

(13) "Letter of reprimand" means a letter admonishing a licensee, permit holder, or registrant for violating pharmacy law, but notifying the licensee, permit holder, or registrant that in consideration of mitigating evidence, the board has determined that disciplinary action is not appropriate.

(14) "Pharmacy Law" means any law in KRS Chapter 315 and 201 KAR Chapter 2 or any law in KRS Chapter 217 or 218A relating to prescription drugs.

(15) "Product quality issue" means any incident that causes the drug product or its labeling to be mistaken for, or applied to, another article, any contamination, any significant chemical, physical, or other change or deterioration in the distributed drug product, or any failure of one (1) or more distributed batches of the drug product to meet the applicable specifications.

(16) "Serious adverse drug experience" means:

(a) Any adverse drug experience occurring at any dose that results in death, a life-threatening adverse drug experience, inpatient hospitalization or prolongation of existing hospitalization, a persistent or significant disability of incapacity, or a congenital anomaly or birth defect; or

(b) Important medical events that do not result in death, are not life-threatening, or do not require hospitalization that are considered as a serious adverse drug experience if, based upon appropriate medical judgment, these events may jeopardize the patient or subject and may require medical or surgical intervention to prevent results of a serious adverse drug experience.

(17) "Serious product quality issue" means any product quality issue that may have the potential to cause a serious adverse drug experience.

Section 2. Grievances.

(1) A grievance against a licensee may:

(a) Be submitted orally or in writing; and

(b) Originate from a consumer, competitor, health professional, government or provider agency, or other interested party.

(2) A grievance may be submitted anonymously, and if the grievance is accompanied by sufficient corroborating evidence that there is a reasonable probability of a violation of pharmacy law, the grievance shall be accepted by the executive director or the general counsel.

(3) A grievance shall not be required to be sworn to or notarized.

(4) A grievance that alleges an adverse drug experience or a product quality issue from human drug products compounded in Kentucky and distributed outside the state shall be reviewed, and if the grievance is accepted and involves an alleged serious adverse drug experience or serious product quality issue, the grievance shall be reported to the FDA within five (5) business days from receipt of the grievance.

(5) A grievance that alleges an adverse drug experience or a product quality issue from a compounded human drug product that was compounded in Kentucky by a physician and distributed outside the state shall be reported to the Kentucky Board of Medical Licensure and the FDA within five (5) business days from receipt of the grievance.

Section 3. Investigations.

(1) Except as established in subsection (2) of this section, upon acceptance of a grievance, the executive director shall instruct its staff or a special investigator to:

(a) Conduct an investigation;

(b) Except as established in paragraph (d) of this subsection, notify the licensee, permit holder, or registrant via written letter sent through the United States Postal Service that a grievance has been filed, and that the board is investigating the merits of the grievance. If during the investigation, it is alleged that another licensee, permit holder, or registrant may have violated pharmacy law, that licensee, permit holder, or registrant shall also be notified via written letter sent through the United States Postal Service that a grievance has been filed and the board is investigating the grievance. Any licensee, permit holder, or registrant under investigation shall be given the opportunity to provide a written statement to the executive director;

(c) Report the case to the case review panel within 120 days of the receipt of the grievance. If an extension of time is requested, the case shall be brought before the case review panel to approve or deny the extension of time. If an extension of time is approved, the licensee, permit holder, or registrant that is the subject of the investigation shall be notified via written letter sent through the United States Postal Service of the extension of time. An extension shall not be granted for a period exceeding 120 days. Multiple extensions shall be permitted; and

(d) The executive director may hold an investigation in abeyance for a reasonable period of time or approve of a delay in notice to the licensee, permit holder, or registrant in order to permit law enforcement or a government agency to perform or complete essential investigative tasks, following a request by law enforcement or a government agency.

(2) If the grievance pertains to the improper, inappropriate, or illegal dispensing of controlled substances, the board shall:

(a) File a report with the Attorney General's office, the Office of Inspector General's office, and the Department of the Kentucky State Police within three (3) business days;

(b) Commence an investigation within seven (7) days of the grievance; and

(c) Produce a charging decision within 120 days of the receipt of the grievance, unless an extension for a definite time period is requested in writing by a law enforcement agency due to an ongoing criminal investigation.

(3) If the grievance pertains to human drug products compounded in Kentucky and distributed outside of Kentucky, the investigation shall include assessing if there is a public health risk associated with the compounded drug product and if any public health risk associated with the product is adequately contained.

(4) A special investigator shall only be utilized if a conflict of interest exists that prevents any board inspector from being assigned to investigate the grievance.

Section 4. Case Review Panel

(1) A panel consisting of three (3) assigned board members, shall review the findings relating to an investigation.

(2) Board staff or a special investigator shall provide the written findings and evidence from each investigation to the case review panel, executive director, and general counsel at least seven (7) days prior to the meeting of the case review panel.

(3) The case review panel may request the attendance of any person, including the assigned inspector, at any meeting of the case review panel for the investigation of any grievance or consideration of any disciplinary matter.

(4) The executive director and general counsel shall attend case review panel meetings in a non-voting, ex-officio capacity.

(5) The panel shall determine if a preponderance of the evidence exists or does not exist that the licensee, permit holder, or registrant violated pharmacy law. If the panel determines that the preponderance of the evidence indicates that the licensee, permit holder, or registrant did not violate the law, the case review panel shall dismiss the case with or without prejudice or issue a letter of concern.

(6) After reviewing the evidence, if the case review panel determines that a preponderance of the evidence indicates that the licensee, permit holder, or registrant violated pharmacy law, the case review panel, shall adopt one (1) of the following dispositions:

(a) Non-adverse action against the licensee, permit holder, or registrant. Non-adverse action includes:

Issuance of a letter of reprimand; or
Entry into a diversion agreement;

(b) Attempting resolution of the case through an agreed order;

(d) Returning the case to the inspector or special investigator for further investigation.

(7) Documentation of a letter of reprimand, letter of concern, or diversion agreement shall be maintained in board records for three (3) years.

(8) Within thirty (30) days of the case review panel decision, the licensee, permit holder, or registrant shall be informed via letter sent through the United States Postal Service of the decision of the case review panel.

(9) In the case of recusal by a member of the case review panel, the executive director shall replace the recused board member as a voting member of the case review panel.

(10) If the case review panel determines by a preponderance of the evidence that a grievance involving human drug products compounded in Kentucky and distributed to another state did violate pharmacy law, the board shall take action to ensure that the relevant pharmacy investigates the root cause of the problem that is the subject of the grievance and undertakes sufficient corrective action to address any identified public health risk related to the problem, including the risk that future similar problems may occur. A sufficient corrective action plan may include tasks such as locating expired components, finding record-keeping errors, and ensuring proper temperature and sterility controls.

Section 5. Settlement.

(1) At any time after notice of a grievance or the filing of a complaint, a settlement conference may be requested by the licensee, permit holder, registrant, or their attorney to resolve a grievance or a complaint.

(2) If a settlement conference is requested, it shall be scheduled. The settlement conference shall include the general counsel, the licensee, permit holder, registrant, the attorney for the licensee, permit holder, or registrant, and anyone else at the request of the licensee, permit holder, or registrant.

(3) Except as established in subsection (4) of this section, if the parties to a settlement conference reach an agreement, general counsel, with the consent of the executive director, may resolve the case with a settlement agreement.

(4) If the case involves harm to any member of the public, diversion of controlled substances, proposed probation, suspension or revocation, the proposed settlement agreement shall be reviewed by the case review panel. If the settlement agreement is approved by the case review panel, the grievance or complaint shall be considered resolved.

Section 6. Hearings. All hearings shall be conducted in accordance with the provisions of KRS 315.131(1) and KRS Chapter 13B.

Section 7. Final Order.

(1) The board shall deliberate on issuance of a final order in closed session. Board members that voted on the disposition of the case for the case review panel shall recuse themselves. If board member recusal and the need for a tie-breaking vote, the executive director shall be available to deliberate and vote on issuance of the final order.

(2) Board counsel shall not attend, or be involved in any manner with, the closed session.

(3) The specific findings of the board shall be made in open session following the board's deliberation.

Section 8. Required Penalties for Violations of KRS Chapter 218A.

(1) Pursuant to KRS 218A.205(3)(f)1., a licensee convicted of a felony offense related to dispensing a controlled substance shall, at a minimum, be permanently banned from dispensing any controlled substance.

(2) Pursuant to KRS 218A.205(3)(f)2., the board shall impose restrictions short of a permanent ban from dispensing controlled substances on a licensee convicted of a misdemeanor offense relating to the dispensing of a controlled substance.

(3) Pursuant to KRS 218A.205(3)(f)3., a licensee disciplined by the licensing board of another state relating to the improper, inappropriate, or illegal dispensing of a controlled substance shall, at a minimum, have the same disciplinary action imposed in Kentucky as the disciplinary action imposed by the licensing board of the other state.

(4) Pursuant to KRS 218A.205(3)(g), the board shall submit all disciplinary actions to the National Practitioner Data Bank of the United States Department of Health and Human Services either directly or through a reporting agent.

Section 9. Required Reporting of Investigative Findings to the FDA.

(1) At the conclusion of an investigation of a grievance involving a serious adverse drug experience or a serious product quality issue relating to a drug product compounded at a pharmacy in Kentucky, but distributed outside the state, the board shall share, as permitted by state law, the findings of the investigation with the FDA.

(2) The board shall maintain records of grievances involving adverse drug experiences or product quality issues relating to human drug products compounded at a pharmacy, the investigations of the grievances, and any response to or action taken as a result of the grievance beginning when the board receives notice of the grievance. The board shall maintain these records for at least three (3) years. The three (3) year period begins on the date of final action on a grievance, or the date of a decision that the grievance requires no action.

Section 10. Information Sharing with the FDA.

(1) On an annual basis, the board shall identify pharmacies that distribute inordinate amounts of compounded human drug products interstate and within thirty (30) days of identifying the pharmacy, notify FDA of the pharmacy.

(2) For pharmacies that have been identified as distributing inordinate amounts of compounded human drug products interstate during any calendar year, the board shall identify during the same calendar year:

(a) The total number of prescription orders for sterile compounded human drugs distributed interstate;

(b) The names of states in which the pharmacy is licensed;

(d) If the state inspected for and found during its most recent inspection that the pharmacy distributed compounded human drug products without valid prescription orders for individually identified patients.

(3) If the board becomes aware of a physician who is distributing any amount of compounded human drug products interstate, the board shall notify the Kentucky Board of Medical Licensure and within thirty (30) business days of identifying the physician, notify the FDA.

History

RELATES TO: KRS 218A.205, 315.121, 315.131, 315.191, 21 C.F.R. 310.305(b)
STATUTORY AUTHORITY: KRS 218A.205(3)(e), (f), (5), 315.191(1), (2), (3), (4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations relating to the practice of pharmacy, including a process for complaints and hearings. KRS 315.191(2) authorizes the board to enforce pharmacy laws and administrative regulations. KRS 218A.205(3)(e), (f) and (5) require the board to promulgate administrative regulations relating to complaints, licensure standards, and disciplinary actions. The administrative regulation establishes board procedure for investigations, the administrative hearings process, and the penalties for violations.
History: 18 Ky.R. 2449; Am. 2773; eff. 3-4-92; 39 Ky.R. 506; 1374; eff. 2-1-2013; 47 Ky.R. 2421; 48 Ky.R. 310; eff. 8-26-2021.

201 KAR 2:070 Prescription intermediary services restricted {#sec-201-kar-2-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:070}

Section 1. No pharmacist shall fill and dispense prescriptions obtained from an establishment or place which offers to the public, in any manner, its services as a "pickup station" or "intermediary" for the purpose of having prescriptions filled or delivered unless such establishment or place has a registered pharmacist in full charge of such services.

History

RELATES TO: KRS Chapter 315
STATUTORY AUTHORITY: KRS 315.020(2), 315.121(1), 315.191(2), (8)
NECESSITY, FUNCTION, AND CONFORMITY: By the authority of KRS 315.191(2) the Board of Pharmacy is responsible to control all matters relating to pharmacies and pharmacists with respect to drugs sold by prescriptions only. This administrative regulation assures the public that a registered pharmacist is present and that prescription drugs distribution is curtailed.
History: Rx-7; 1 Ky.R. 10; eff. 9-11-1974; Crt eff. 4-17-2019; Crt to Am 1-27-2026.

201 KAR 2:074 Pharmacy services in hospitals {#sec-201-kar-2-074 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:074}

Section 1. Definitions.

(1) "Automated pharmacy system" means a mechanical system that performs operations or activities, other than compounding or administration, relative to the storage, packaging, counting, labeling, and dispensing of medications, and which collects, controls, and maintains all transaction information and shall be either:

(a) A decentralized automated pharmacy system that is located outside the pharmacy department, but within the same institution, and under the supervision of a pharmacist; or

(b) A centralized automated pharmacy system from which medications are prepared for final distribution that require the approval of a pharmacist.

(2) "Institutional pharmacy" means:

(a) A pharmacy in an acute care hospital licensed pursuant to 902 KAR 20:016; or

(b) An onsite pharmacy serving an infusion center where medication is administered.

(3) "Investigational drug" means a drug that has not been approved for use in the United States, but for which an investigational drug application has been approved by the FDA.

(4) "Unit dose distribution" means a system in which drug therapy profiles are maintained in the pharmacy and doses are scheduled, prepared, and delivered in a ready-to-administer form to the patient care area as the doses are needed.

(5) "Within the same institution" means a location that is not separated from the primary hospital facility by other commercial or residential property.

Section 2. Pharmacy Administration.

(1) General.

(a) The pharmacy, organized as a separate department or service, shall be directed by a pharmacist, who shall be thoroughly knowledgeable about institutional pharmacy practice and management.

(b) The director of pharmacy services shall be responsible for departmental management and the development and implementation of goals and objectives to meet the needs of the institution and shall be responsible to the chief executive officer of the institution or the chief executive officer's designee.

(c) If the director of pharmacy services is not employed full time, the institution shall establish an ongoing arrangement in writing with a pharmacist to provide services required by this administrative regulation and KRS 315.020(1).

(d) If a hospital pharmacy is decentralized, each decentralized section or separate organizational element shall be under the immediate supervision of a pharmacist responsible to the director of pharmacy services.

(2) Pharmacy personnel.

(a) The institutional pharmacy shall maintain additional pharmacists in cooperation with the institution's administration, either full time or part time, as required to operate safely and effectively to meet the needs of the patients.

(b) If nonpharmacist personnel are employed, nonpharmacist personnel shall perform all duties under the supervision of a pharmacist and shall not be assigned and shall not perform duties that are to be performed only by a pharmacist.

(3) Responsibilities.

(a)

Lines of authority and areas of responsibility within the pharmacy shall be clearly defined.
Written job descriptions for all categories of pharmacy personnel shall be prepared and revised as necessary.

(b)

There shall be policies and procedures to provide for selection of drugs as well as a distribution system to serve the needs of the patient.
Provision for procurement of drugs in an emergency situation shall be provided for.

(4) Supportive personnel.

(a) Sufficient supportive personnel (technical, clerical, and other) shall be available in order to optimize the participation of pharmacists in activities requiring professional judgment.

(b) The training and supervision of supportive personnel shall be the responsibility of the pharmacist.

(5) Availability.

(a) The services of a pharmacist shall be available continuously. If around-the-clock operation of the pharmacy is not feasible, the pharmacist shall be available on an on-call basis, and an adequate night drug cabinet shall be established. The pharmacy itself shall not be designated as the night drug cabinet.

(b) A hospital not having a full-time pharmacist, but in which drugs are prepackaged or relabeled or transferred from one (1) container to another, shall obtain a pharmacy permit and have at least a part-time pharmacist designated to perform those functions or to provide personal supervision of those functions.

Section 3. Physical Facility.

(1) The institutional pharmacy shall have adequate space, equipment, and supplies sufficient to provide for safe and efficient drug storage, preparation, and distribution, patient education and consultation, drug information services, and proper management of the department.

(2) Legal requirements. The physical facility shall meet state and federal regulations and shall be accessible by authorized pharmacy personnel only.

(3)

(a) A currently licensed hospital shall be exempt from the provisions of subsection (2) of this section if it:

Is authorized by the Department for Health and Human Services to provide pharmacy services; and
Does not currently possess a pharmacy permit.

(b) A currently licensed hospital exempt from the provisions of subsection (2) of this section shall permit access by authorized personnel only.

(4) Location. Locked storage or locked medication carts shall be provided for use in each nursing unit or service area.

(5) Reference materials. The pharmacy shall have current pharmaceutical reference materials in accordance with 201 KAR 2:090. References related to the following subjects shall also be available:

(a) Drug identification;

(b) Toxicology;

(d) Parenteral drug compatibility; and

(e) Microbiology.

Section 4. Drug Distribution and Control.

(1) General. The institutional pharmacy shall be responsible for the procurement, distribution, and control of all drugs and parenteral solutions used within the institution. Policies and procedures governing these functions shall be developed by the pharmacist with input from other involved hospital, or infusion center, staff (for example, nurses) and committees (for example, pharmacy and therapeutics committee and patient care committee).

(2) Dispensing. The pharmacist shall dispense medications only on the order of a licensed medical practitioner.

(3) Prescriber's order. The pharmacist shall review the medication order.

(4) Recordkeeping. The pharmacist shall maintain appropriate records of each medication order. The records shall be retained for the time and in the manner prescribed by state and federal law.

(5) Patient medication profile. A medication profile shall be maintained for all inpatients and for those ambulatory patients routinely receiving care at the institution. The pharmacist shall utilize this profile to properly review, schedule, prepare, and distribute medications except in an emergency situation.

(6) Labeling and packaging.

(a) Each licensee shall comply with U.S.P. Standards established pursuant to federal law and all state and federal laws and regulations regarding labeling and packaging.

(b) Labeling and packaging of medications used for outpatients shall meet the requirements of state and federal law.

(7) Dispensing. The pharmacist shall dispense medications by the unit dose distribution system if feasible. If the unit dose distribution system is not utilized, adequate safeguards shall be in place to protect patients.

(8) Stop orders. There shall be established written stop order policies or other methods of assuring that drug orders are not continued inappropriately in accordance with the status of the patient.

(9) Administration.

(a) Drugs shall be administered only upon order of a licensed medical practitioner.

(b) The institutional pharmacy shall participate in the establishment of policies and procedures regarding the administration of medications. Specific procedures shall be developed in cooperation with appropriate hospital, infusion center, or other health care facility personnel and shall include personnel authorized to schedule, prepare, and administer medications.

(10)

(a) Unused medication. The institutional pharmacy shall establish policies and procedures for the disposition of patients' unused medications.

(b) Medication in unit dose form may be reissued if package integrity has been maintained and the product has not expired.

(11) Hospital floor stocks.

(a) Floor stocks of drugs shall be kept as small as possible. The pharmacist in charge shall be responsible for authenticating the need for floor stock.

(b) A pharmacist shall review all orders distributed through floor stock.

(c) The pharmacist in charge shall be responsible for defining those areas of the hospital requiring floor stock (for example, emergency room, surgery, critical care, or medical or surgical wards).

(d) All drug storage areas within the hospital shall be routinely inspected by pharmacy personnel at least monthly, and documentation shall be maintained to ensure that:

Unusable items shall not be present; and
All stock items shall be properly labeled and stored.

(e) This subsection shall apply to infusion centers where medications are administered with an onsite pharmacy.

(12) Drug recall. There shall be a system for removing from use a drug that has been recalled.

(13) Sample medications. The institutional pharmacy shall establish policies and procedures regarding medical representatives and the obtaining, storage, and dispensing of complimentary packages of medications.

(14) Emergency drugs.

(a) The institutional pharmacy shall establish policies and procedures for supplying emergency drugs.

(b) For expediency and efficiency, emergency drugs shall be limited in number to include only those whose prompt use and immediate availability are generally regarded by physicians as essential in the proper treatment of sudden and unforeseen patient emergencies.

(c) Emergency stocks shall be routinely inspected by pharmacy personnel on a monthly basis and documentation maintained to determine if contents have become outdated and if the stocks are being maintained at adequate levels.

(15) Investigational drugs.

(a) Policies and procedures controlling the use of investigational drugs (if used in the institution) shall be developed and followed.

(b) The pharmacy shall be responsible for storing, packaging, labeling, distributing, maintaining inventory records (including lot numbers and expiration date), and providing information about investigational drugs (including proper disposal).

(16) Controlled substances. All permit holders shall comply with state and federal laws regarding controlled substances.

(17) Compounding. Compounding at a location that is not within the same institution shall require a separate pharmacy permit.

Section 5. Assuring Rational Drug Therapy.

(1) Appropriate clinical information about patients shall be available and accessible to the pharmacist for use in daily practice activities.

(2) The pharmacist shall be a member of the pharmacy and therapeutics committee and any other committees where input concerning the use of drugs is required.

(3) The pharmacist shall provide a means to ensure that patients receive adequate information about the drugs they receive. Patient education activities shall be in coordination with the nursing and medical staffs and patient education department, if any.

Section 6. Responsibility. The pharmacist-in-charge of a pharmacy utilizing an automated pharmacy system shall be responsible for:

(1) An initial validation of system accuracy prior to use for distribution to patients;

(2) Ensuring the system:

(a) Is properly maintained;

(b) Is in good working order;

(d) Complies with the recordkeeping, access, and security safeguards pursuant to all applicable state and federal laws;

(3) Assuring medications are reviewed prior to loading into an automated pharmacy system and distribution;

(4) Implementing an ongoing quality assurance program that monitors performance of the pharmacy compounding robotics, which is evidenced by written policies and procedures and requires a continued documented validation of doses distributed on a routine basis and annual review of the quality assurance program;

(5) Establishing policies and procedures if there is a system failure of an automated pharmacy system;

(6) Providing the board with prior written notice of installation or removal of an automated pharmacy system. This notification shall include the:

(a) Name and address of the pharmacy; and

(b) Initial location of the automated pharmacy system;

(7) Oversight for assigning, discontinuing, or changing personnel access to the system, including establishment of written policies and procedures for security and control;

(8) Reviewing personnel access on at least an annual basis;

(9) Assuring that the decentralized automated pharmacy system stock is checked at least monthly in accordance with established policies and procedures, including checking for:

(a) Accuracy;

(b) Integrity of packaging; and

(10) Maintaining in the pharmacy the following documentation relating to an automated pharmacy system:

(a) The name and address of the pharmacy or inpatient health care facility where the system is being used;

(b) The automated pharmacy system manufacturer's name, model, serial number, and software version;

(d) Written quality assurance procedures and accompanying documentation of use to determine continued appropriate use of the system as established in subsections (7) and (8) of this section; and

(e) Written policies and procedures for system operation, safety, security, accuracy, emergency medication access, access, and malfunction which includes clearly defined down time and procedures;

(11) Maintaining adequate security systems and procedures, evidenced by written policies and procedures to:

(a) Prevent unauthorized access;

(b) Maintain patient confidentiality;

(d) Comply with federal and state laws; and

(12) Maintaining in the pharmacy a current list of all locations where automated pharmacy systems are located and providing the list to the board upon request.

Section 7. Standards.

(1)

(a) All events involving the contents of the automated pharmacy system shall be recorded electronically.

(b) Records shall be maintained by the pharmacy and be available to the board and shall include the following:

The date, time, and location of the system accessed;
Identification of the individual accessing the system;
Type of transaction;
Name, strength, dosage form, and quantity of drug accessed; and
Name of the patient for whom the drug was ordered, if applicable.

(2)

(a) All medications to be stocked into the centralized automated pharmacy system shall:

Have been previously validated by a machine readable identifier that meets established industry standards as approved by the board to ensure quality, performance, and safety; and
Be utilized by a pharmacist, pharmacist intern, or certified pharmacy technician.

(b) Integrity and accuracy shall be validated by a pharmacist.

(3) The stocking of medications in a decentralized automated pharmacy system utilizing a machine readable identifier that meets established industry standards as approved by the board to ensure quality, performance, and safety shall be done by a pharmacist, pharmacist intern, or a certified pharmacy technician.

(4) The stocking of medications in a decentralized automated pharmacy system without a machine readable identifier that meets established industry standards as approved by the board to ensure quality, performance, and safety shall be done by a pharmacist, pharmacist intern, or a certified pharmacy technician. Integrity and accuracy shall be validated by a pharmacist.

(5) If a hospital licensed pursuant to 902 KAR 20:016 utilizes technology that validates appropriate drug, dose, dosage form, route of administration, time of administration, and patient at the exact time of medication administration, the stocking of the decentralized automated pharmacy system shall be done by a pharmacist, pharmacist intern, or certified pharmacy technician.

(6) A record of medications stocked in an automated pharmacy system shall be maintained for at least five (5) years and shall include:

(a) The name of the person repacking the medications; and

(b) Documentation of the pharmacist checking the medications.

(7) All containers of medications stored in the automated pharmacy system shall be packaged and labeled in accordance with federal and state laws.

(8) The automated pharmacy system shall provide a mechanism for securing and accounting for medications removed from and subsequently returned to the automated pharmacy system, in accordance with federal and state laws.

(9) All medications initially received in the pharmacy for use in an automated pharmacy system shall be quarantined until validation by a machine readable identifier that meets established industry standards as approved by the board to ensure quality, performance, safety, accuracy, and existence of the item in the database powering automated pharmacy system by a certified pharmacy technician, pharmacist intern, or pharmacist.

(10) If a medication needs to be repackaged:

(a) A pharmacist, pharmacist intern, or certified pharmacy technician shall:

Perform the repackaging and validate the presence of an accurate machine readable identifier that meets established industry standards as approved by the board to ensure quality, performance, and safety on the unit dose packaging; and
Document the repackaging process including:

a. Manufacturer;

b. Date and time of repackaging;

c. The person repackaging;

d. The lot number or batch number;

e. The expiration date; and

f. The quantity repackaged; and

(b) A pharmacist shall:

Validate for accuracy and integrity prior to the addition to the automated pharmacy system; and
Document the validation including:

a. The date and time of the validation;

b. The name of the pharmacist validating;

c. The lot number or batch number;

d. The expiration date; and

e. The quantity validated.

(11) A medication returned to the pharmacy from a patient care area shall follow the processes established pursuant to Section 4(10) of this administrative regulation.

(12) A medication distributed by the centralized automated pharmacy system shall be distributed in the delivery device utilized by that system.

(13) A medication distributed by an automated pharmacy system shall be accessed and administered by a professional licensed to administer medications.

(14) A medication distributed by an automated pharmacy system shall not be dispensed.

(15) Board inspectors may inspect and investigate complaints regarding an automated pharmacy system on all premises owned by the hospital where an automated pharmacy system is located and supplied with medications purchased under the hospital's pharmacy permit.

(16) All transfers of medications to automated pharmacy systems shall be in accordance with federal and state laws.

History

RELATES TO: KRS 315.010, 315.020, 315.030, 315.121
STATUTORY AUTHORITY: 315.002, 315.005, KRS 315.191(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the Kentucky Board of Pharmacy to establish requirements to regulate and control pharmacies. KRS 315.002 and 315.005 require standards of practice in all settings where drugs are handled and requires the board to ensure the safety of all drug products provided to the citizens of Kentucky. This administrative regulation establishes requirements for pharmacy services in hospitals.
History: 16 Ky.R. 1713; Am. 2150; 17 Ky.R. 2175; eff. 12-13-1990; 30 Ky.R. 75; 577; eff. 8-20-2003; 39 Ky.R. 1753; 2175; 2312; eff. 6-19-2013; 44 Ky.R. 15, 447; eff. 7-17-2017; 48 Ky.R. 1237, 2026; eff. 1-13-2022.

201 KAR 2:076 Compounding {#sec-201-kar-2-076 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:076}

Section 1. Definitions.

(1) "API" means active pharmaceutical ingredient.

(2) "Designated person" means one (1) or more individuals assigned to be responsible and accountable for the performance and operation of the facility and personnel as related to the preparation of compounded non-sterile or sterile preparations or the preparation, compounding, dispensing, and repackaging of radiopharmaceuticals.

(3) "Essential copy of a commercially available drug product" is a compounded preparation in which:

(a) The compounded preparation has the same API as the commercially available drug product;

(b) The APIs have the same, similar, or an easily substitutable dosage strength; and

(c) The commercially available drug product can be used by the same route of administration as prescribed for the compounded preparations, unless a prescriber determines that there is a change, made for an identified individual patient, which produces, for that patient, a significant difference from the commercially available drug product.

(4) "Hazardous Drug" means any drug identified by the National Institute for Occupational Safety and Health with at least one (1) of the following criteria:

(a) Carcinogenicity, teratogenicity, or developmental toxicity;

(b) Reproductive toxicity in humans;

(d) Genotoxicity; or

(e) New drugs that mimic existing hazardous drugs in structure or toxicity.

(5) "USP" means United States Pharmacopeia.

Section 2. Policies and Procedures.

(1) A policy and procedure manual for non-sterile and sterile compounding shall be readily available at a pharmacy for inspection purposes.

(2) The policy and procedure manual shall be made available to the board upon request.

(3) The manual shall be reviewed and revised on an annual basis.

Section 3. Standards.

(1) All non-sterile compounded preparations shall be compounded pursuant to USP 795.

(2) All sterile compounded preparations shall be compounded pursuant to USP 797.

(3) All preparation, compounding, dispensing, and repackaging of radiopharmaceuticals shall be pursuant to USP 825.

(4) All non-sterile or sterile compounded preparations containing hazardous drugs shall be compounded pursuant to USP 800, unless specified portions submitted by a pharmacy have been waived by the board.

(5) Non-sterile and sterile preparations compounded for human use shall:[

(a)

Comply with the standards of an applicable USP or National Formulary monograph;
Be compounded from a component of a human drug approved by the United States Food and Drug Administration (FDA); or
Be compounded from a component that appears on the FDA's list of bulk drug substances established in 21 C.F.R. 216.23 that can be used in compounding; and

(b) Not be essential copies of a commercially available drug product unless authorized by 21 U.S.C. 353(a).

Section 4. Designated Person.

(1) The designated person of a facility that compounds non-sterile or sterile preparations or prepares, compounds, dispenses, or repackages radiopharmaceuticals shall be knowledgeable in the specialized requirements of preparing and dispensing compounded preparations.

(2) The PIC shall serve or appoint any designated person.

(3) The PIC shall ensure any compounded preparation leaving the premises is shipped or delivered in a manner that maintains the integrity and stability of the preparation.

Section 5. Dispensing and Labeling.

(1) The pharmacist shall receive a written, electronic, facsimile, or verbal prescription, or medical order from a prescriber before dispensing any compounded, non-sterile or sterile preparation. These prescriptions or medical orders shall contain the following:

(a) Patient's name and species, if not human;

(b) Patient's address on controlled substances prescriptions or location (room number);

(d) Directions for use;

(e) Date;

(f) Authorized prescriber's name;

(g) Prescriber's address and DEA number, if applicable;

(h) Refill or end date instructions, if applicable; and

(i) Dispensing quantity, if applicable.

(2) A pharmacist dispensing compounded preparations for veterinary use shall follow the order requirements of 201 KAR 2:311.

(3) Each compounded preparation dispensed to patients shall be labeled with the following information:

(a) Name, address, and telephone number of the licensed pharmacy, if preparation will leave the premises;

(b) Date;

(d) Patient's full name;

(e) Name of each drug, strength, and amount;

(f) Directions for use, including infusion rate;

(g) Required controlled substances transfer warning, if applicable;

(h) Beyond use date;

(i) Identity of dispensing pharmacist;

(j) Storage requirements, if applicable; and

(k) Auxiliary labels, if applicable.

(4) Verification of a compounded preparation shall be completed by a pharmacist after the preparation is compounded and prior to dispensing to the patient. Documentation of the verification shall include notation of each pharmacist who performs verification.

Section 6. Recordkeeping.

(1) The PIC shall maintain access to and provide records and reports to the board or its agents upon request. Records shall be maintained and readily available for no less than five (5) years.

(2) Records. Records shall include the following:

(a) Prescriptions, medical orders, or requests for compounded preparations;

(b) Purchase records;

(d) Other records and reports as required by USP 795, 797, 800, and 825.

Section 7. Violations. Violation of any provision of this administrative regulation shall constitute unethical or unprofessional conduct in accordance with KRS 315.121.

Section 8. Waivers.

(1) All written waiver requests submitted by a pharmacy shall be considered by the board at its next regularly scheduled meeting.

(2) The board, upon a showing of good cause and in balancing the best interest of the public health, safety and welfare, may waive the requirement of any specified portion of USP 795, 797, 800 or 825 or any provision of this administrative regulation. Any waiver issued shall identify with specificity the pharmacy to which is applies and the provisions of law for which the waiver is applied.

Section 9. Enforcement Discretion.

(1) Effective January 1, 2026, the board shall enforce the 2022 revisions to USP Chapters USP 795, 797, and 800. Until January 1, 2026, the board shall enforce the 2014 revision of USP 795 and the 2008 revision of USP 797, and the board shall not enforce USP 800. Until January 1, 2026, at the request of a permit holder, the board may inspect pursuant to the 2022 revision of the USP Chapters 795, 797, and 800.

(2) The board shall not enforce the USP 795 standard that the addition of flavoring to a commercially available drug is compounding, if the additive:

(a) Is non-expired, inert, nonallergenic, and produces no effect other than the instillation or modification of flavor; and

(b) Is not greater than five (5) percent of the drug product's total volume.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "USP 795, Revision Bulletin, Official", November 1, 2022;

(b) "USP 795, Revision Bulletin, Official", January 1, 2014;

(d) "USP 797, Revision Bulletin Official", June 1, 2008;

(e) "USP 825, Revision Bulletin, Official, Official", December 1, 2020; and

(f) "USP 800, Revision Bulletin", December 1, 2020.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, 125 Holmes Street, Suite 300, State Office Building Annex, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. through 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/statutesandregulations/Pages/default.aspx.

History

RELATES TO: KRS 217.055(1), 217.065(7), 315.020(1), 315.035(6), 315.0351, 315.121, 315.191(1)(a), (g), 21 U.S.C. 353A, 21 C.F.R. 216.23
STATUTORY AUTHORITY: KRS 315.020(1), 315.035(6), 315.0351, 315.191(1)(a), (g)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.020(1) requires the owner of a pharmacy who is not a pharmacist to place a pharmacist in charge of the owner's pharmacy. KRS 315.035(6) authorizes the board to promulgate administrative regulations to assure that proper equipment and reference material is on hand considering the nature of the pharmacy practice conducted at the particular pharmacy and to assure reasonable health and safety standards for areas within the pharmacies, which are not subject to these standards under CHFS. KRS 315.191(1) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters relating to pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers. This administrative regulation establishes the requirements for compounding non-sterile and sterile preparations, and the preparation, compounding, dispensing, and repackaging of radiopharmaceuticals in accordance with 21 U.S.C. 353A.
History: 16 Ky.R. 1716; Am. 2152; 2652; eff. 6-10-1990; 43 Ky.R. 2184; 44 Ky.R. 510; eff. 9-20-2017; 48 Ky.R. 879, 1726; eff. 12-15-2021; 50 Ky.R. 91, 802; eff. 10-25-2023.

201 KAR 2:090 Reference material and prescription equipment {#sec-201-kar-2-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:090}

Section 1. The pharmacy shall have appropriate reference material and equipment as dictated by experience to meet the needs of the particular pharmacy, and necessary to practice pharmacy in a safe manner.Appropriate reference material includes references such as those from the following categories:

(1) Category I – Pharmacology;

(2) Category II – Drug Interactions;

(3) Category III – Drug Product Composition; and

(4) Category IV – State and Federal Laws and Regulations.

History

RELATES TO: KRS Chapter 315
STATUTORY AUTHORITY: KRS 315.035(6), 315.191
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.035(6) authorizes the Board of Pharmacy to promulgate administrative regulations regarding reference material and equipment suitable for pharmaceutical practice. This administrative regulation establishes the reference material and equipment required for pharmaceutical practice.
History: 201 KAR 002:090. Rx-10; 1 Ky.R. 147; eff. 12-11-1974; 10 Ky.R. 890; eff. 4-13-1984; 1444; 1792; eff. 2-7-2002; 45 Ky.R. 3449; 46 Ky.R. 410; eff. 8-19-2019; 52 Ky.R. 1168; eff. 6-16-2026.

201 KAR 2:095 Pharmacist interns {#sec-201-kar-2-095 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:095}

Section 1. A pharmacist intern, under the supervision and direction of a licensed pharmacist, shall practice pharmacy pursuant to KRS 315.010(22) with the exception that prior to dispensing, a pharmacist shall verify the accuracy and appropriateness to include drug utilization review (DUR) and final product verification of the prescription or product dispensed.

Section 2. A pharmacist shall be responsible for all the actions of a pharmacist intern.

History

RELATES TO: KRS 315.010(12), (18), (27), 315.020, 315.050
STATUTORY AUTHORITY: KRS 315.020(4), 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters set forth in KRS Chapter 315 relating to the practice of pharmacists and pharmacist interns. This administrative regulation establishes the professional responsibilities of a pharmacist and a pharmacist intern under supervision.
History: Rx-12; 1 Ky.R. 718; 2 Ky.R. 172; eff. 9-10-1975; 11 Ky.R. 1615; eff. 6-4-1985; 26 Ky.R. 1118; eff. 12-15-1999; Ky.R.2881; eff. 7-3-2020.

201 KAR 2:100 Security and control of drugs and prescriptions {#sec-201-kar-2-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:100}

Section 1.

(1) A pharmacy shall:

(a) Provide adequate security and control of its controlled substances and prescription legend drugs; and

(b) Be closed in the absence of a pharmacist.

(2) If a pharmacy is located within a larger establishment, which is open to the public for business at times when a pharmacist is not present, then the pharmacy shall be fully enclosed by partitions which shall be either solid, solid transparent, or chain linked secured by lock from other departments of the store. In the absence of a pharmacist pharmacies shall be locked and secured. A person shall not enter the closed pharmacy during those hours when a pharmacist is not present.

Section 2. All prescription files, all legend drugs, and other items which are restricted to sale either by or under the supervision of a pharmacist shall be kept in the pharmacy area.

Section 3. Written prescription orders and refill requests may be delivered to a pharmacy at any time. But if no pharmacist is present, then the prescription orders shall be deposited, by the patient or the patient's agent delivering the prescription order or refill request to the establishment, into a "mail slot" or "drug box" such that the prescription order is stored in the pharmacy area.

Section 4. Prepared prescription medications shall be stored in the pharmacy and shall not be removed from the pharmacy unless the pharmacist is present and the removal is for the immediate delivery to the patient, person picking up the prescription for the patient, or person delivering the prescription to the patient at the patient's residence or similar place.

History

RELATES TO: KRS Chapter 315
STATUTORY AUTHORITY: KRS 315.035, 315.191(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the Kentucky Board of Pharmacy to promulgate administrative regulations necessary to regulate and control pharmacists and pharmacies. This administrative regulation establishes requirements for adequate security and control of drugs and prescriptions.
History: Rx-13; 1 Ky.R. 718; 2 Ky.R. 173; eff. 9-10-1975; 11 Ky.R. 1615; eff. 6-4-1985; 45 Ky.R. 3451; 46 Ky.R. 411; eff. 8-19-2019; Crt to Am 1-27-2026.

201 KAR 2:105 Requirements for wholesalers, medical gas wholesalers, wholesale distributors, and virtual wholesale distributors {#sec-201-kar-2-105 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:105}

Section 1. Definitions.

(1) "Component" means any raw material, ingredient, or article intended for use in the manufacture of a drug and drug-related device.

(2) "Distribution" or "distribute" is defined by KRS 315.400(5).

(3) "Drug sample" means a unit of a prescription drug that is not intended to be sold and is intended to promote the sale of the drug.

(4) "Illegitimate Product" is defined by KRS 315.400(11).

(5) "Medical gas wholesaler" is defined by KRS 315.400(13).

(6) "Product" means a prescription drug in a finished dosage form for administration to a patient without substantial further manufacturing, such as capsules, tablets, and lyophilized products before reconstitution.

(7) "Suspect product" means a component, prescription drug, or drug-related device for which there is reason to believe that the component, prescription drug, or drug-related device:

(a) Is potentially counterfeit, diverted, or stolen;

(b) Is potentially intentionally adulterated so that the component, prescription drug, or drug-related device may result in serious adverse health consequences or death to humans or animals;

(d) Appears otherwise unfit for distribution so that the component, prescription drug, or drug-related device may result in serious adverse health consequences or death to humans or animals.

(8) "Wholesale distribution" is defined by KRS 315.400(20).

(9) "Wholesale distributor" is defined by KRS 315.400(21).

(10) "Wholesaler" is defined by KRS 315.010(28), and includes medical gas wholesalers, wholesale distributors, and virtual wholesale distributors.

(11) "Virtual wholesale distributor" has the same meaning given in KRS 315.400(21).

Section 2. Requirements.

(1) A wholesaler engaged in wholesale distribution in the Commonwealth shall apply for a license from the Board of Pharmacy in accordance with KRS 315.350, 315.402, 315.406, and this administrative regulation.

(2) A surety bond is required of not less than $25,000, or other equivalent means of security acceptable to the Board of Pharmacy or a third party recognized by the Board of Pharmacy such as insurance, an irrevocable letter of credit, or funds deposited in a trust account or financial institution. This shall be used to secure payment of any administrative penalties imposed by the Board of Pharmacy and any fees or costs incurred by the Board of Pharmacy regarding that licensee if those penalties, fees, or costs are authorized under state law, and the licensee fails to pay thirty (30) days after the penalty, fee, or costs becomes final. A separate surety bond or other equivalent means of security is not required for each company's separate locations or for affiliated companies or groups if separate locations or affiliated companies or groups are required to apply for or renew their wholesaler license with the Board of Pharmacy. The Board of Pharmacy may make a claim against the bond or other equivalent means of security until one (1) year after the wholesaler's license closes, lapses or expires, or until sixty (60) days after any administrative or legal proceeding before or on behalf of the Board of Pharmacy that involves the wholesaler is concluded, including any appeal, whichever occurs later. The Board of Pharmacy may waive the bond requirement, if the wholesaler:

(a) Has previously obtained a comparable surety bond or other equivalent means of security for the purpose of licensure in another state, where the wholesaler possesses a valid license in good standing;

(b) Is a publicly held company;

(d) Has a license for the sole purpose of distribution within a health care entity under common ownership.

(3) A separate license shall be required for each wholesaler's facility that engages in wholesale distribution within the Commonwealth regardless of whether joint ownership or control exists.

(4) An agent or employee of a licensee shall not be required to obtain a license under this section if the agent or employee is acting in the usual course of business or employment.

(5) A license shall not be issued or renewed unless the applicant demonstrates or continues to demonstrate acceptable operational procedures, including:

(a) Adequate operational, maintenance, and storage conditions to ensure proper lighting, ventilation, temperature and humidity control, sanitation, space, and security as per label requirements or official United States Pharmacopoeia (USP) compendium requirements, USP Chapter 659, Packaging and Storage Requirements. Appropriate manual, electromechanical or electronic temperature and humidity recording equipment, devices, or logs shall be utilized to document proper storage of prescription drugs and drug-related devices;

(b) Separation and quarantine of deteriorated, damaged, outdated, misbranded, adulterated or otherwise recalled prescription drugs and drug-related devices until they are destroyed or returned;

(c) Providing accurate and precise records of all prescription drugs and drug-related devices sold, purchased, traded, delivered, handled, stored, or received and any other information pertinent to the distribution or disposition; and

(d) Providing proof of registration with the U.S. Drug Enforcement Administration (DEA) and shall comply with all DEA regulations, if applicable.

(6) Wholesale distributors and virtual wholesale distributors shall comply with all requirements outlined in the Drug Supply Chain Security Act (DSCSA), 21 U.S.C. 360eee-360eee-4.

(7) Wholesalers shall establish a system to:

(a) Quarantine and investigate suspect product to determine if it is illegitimate; and

(b) Notify U.S. Food and Drug Administration (FDA), if applicable, the Board of Pharmacy and the recipient or recipients of illegitimate product, if illegitimate product is found.

(8) A virtual wholesale distributer shall be exempt from the following, subsection(5)(a) and (b) of this section, and Section 5(1)(a) and (b), and (2)(a) and (b) of this administrative regulation.

Section 3. Qualifications for License.

(1) The Board of Pharmacy shall consider, at a minimum, the following factors in reviewing the qualifications of persons who engage in wholesale distribution of prescription drugs and drug-related devices within the Commonwealth:

(a) Any convictions of the applicant under any federal, state, or local laws relating to drugs, including drug samples and controlled substances;

(b) Any felony convictions of the applicant under federal, state, or local laws;

(c) The applicant's past experience in the distribution of prescription drugs and drug-related devices, including drug samples and controlled substances;

(d) The furnishing by the applicant of false or fraudulent material in any application made in connection with the distribution of prescription drugs and drug-related devices;

(e) Suspension or revocation by federal, state, or local government of any license or permit currently or previously held by the applicant for distribution of any prescription drugs and drug-related devices, including drug samples and controlled substances;

(f) Compliance with the requirements under any previously granted license or permit, if any; and

(g) Compliance with requirements to maintain or make available to the Board of Pharmacy or to federal, state, or local law enforcement officials those records required under this administrative regulation.

(2) The Board of Pharmacy may deny a license to an applicant if it determines that the granting of that license would not be in the public interest based on health and safety considerations.

(3) A license shall not be issued pursuant to this administrative regulation unless the applicant has furnished proof satisfactory to the Board of Pharmacy:

(a) That the applicant is in compliance with all applicable federal, state, and local laws and regulations relating to drugs; and

(b) That the applicant is equipped as to land, buildings, and security to properly carry on the business described in the application.

(4) A license issued pursuant to this administrative regulation failing to comply with the provisions of KRS 315.350, 315.400, 315.402, 315.404, 315.406, 315.408, 315.410, 315.412, or this administrative regulation may result in action under KRS 315.121.

Section 4. Application, Fees, Renewals.

(1) An application for a license shall be submitted to the Board of Pharmacy on the Application for a License to Operate as a Wholesaler.

(2) An application shall be accompanied by the annual fee set forth in 201 KAR 2:050.

(3) An application shall include:

(a) The name, full business address, and telephone number of the licensee;

(b) All trade or business names used by the licensee;

(c) Addresses, telephone numbers, and the names of contact persons for all facilities used by the licensee for the storage, handling, and distribution of prescription drugs and drug-related devices;

(d) The type of ownership or operation (i.e. partnership, corporation, or sole proprietorship);

(e) The name or names of the owner and operator of the licensee, including;

If a person, the name and Social Security number of the person;
If a partnership, the name and Social Security number of each partner, and the name of the partnership;
If a corporation, the name, Social Security number and title of each corporate officer and director, the corporate names, and the name of the state of incorporation; and
If a sole proprietorship, the full name and Social Security number of the sole proprietor and the name of the business entity;

(f) A list of all licenses and permits issued to the applicant by any other state that authorizes the applicant to purchase or possess prescription drugs and drug-related devices; and

(g) Proof of surety bond or equivalent.

(4) All licenses shall:

(a) Expire on September 30 following date of issuance; and

(b) Be renewable annually thereafter upon submission of the Renewal Application to Operate as a Wholesaler accompanied by the renewal fee set forth in 201 KAR 2:050 and shall be nontransferable.

Section 5. Standards.

(1) Facilities.

(a) All facilities in which prescription drugs and drug-related devices are held for wholesale distribution, stored, sold, offered for sale, exposed for sale, or kept for sale shall be of suitable size, construction, and location to facilitate cleaning, maintenance, and proper operations.

(b) All facilities shall meet all applicable federal, state, and local standards. The facility shall quarantine prescription drugs and drug-related devices that are outdated, damaged, deteriorated, misbranded, recalled, or adulterated, or that are in immediate or sealed secondary containers that have been opened.

(d) A facility shall be located apart and separate from a pharmacy permitted by the Board of Pharmacy, with the exception of a medical gas wholesaler.

(2) Security.

(a) A wholesaler shall be equipped with an alarm system to detect entry after hours.

(b) A wholesaler shall ensure that access from outside wholesaler's premises is well controlled and reduced to a minimum. This includes the installation of adequate lighting at the outside perimeter of the premises.

(c) Internal security policies shall be developed to provide reasonable protection against theft and diversion by limiting access to areas where prescription drugs and drug-related devices are held to authorized personnel. These policies shall provide protection against tampering with computers or electronic records.

(d) A licensee shall employ adequate personnel with the education and experience necessary to safely and lawfully engage in the wholesale distribution of prescription drugs and drug-related devices.

(3) Recordkeeping requirements for companies handling prescription drugs and drug-related devices exempt from the DSCSA.

(a) Inventories and other records regarding the receipt and distribution or disposition of prescription drugs and drug-related devices shall be maintained and readily available for inspection or photocopying by the Board of Pharmacy and authorized law enforcement officials for a period of six (6) years. These records shall include:

The proprietary and established name of the prescription drug and related device, if applicable;
The dosage, if applicable;
The size of the container, if applicable;
The number of containers;
The lot number or control number of the prescription drug and related device, if applicable;
The business name and address of all parties involved in each receipt and distribution or disposition of the prescription drug and related device, starting with the manufacturer; and
The date of each receipt and distribution or disposition of the prescription drug and related device.

(b) Records described in this section that are kept at the inspection site or that can be readily retrievable within forty-eight (48) hours by computer or other electronic means shall be readily available for authorized inspection during the retention period. Records kept at a central location apart from the inspection site and not electronically retrievable shall be made available for inspection within two (2) working days of a request by the Board of Pharmacy or an authorized official of a federal, state, or local law enforcement agency.

(d) A wholesaler may sell or distribute prescription drugs and drug-related devices only to the following, except as provided in KRS 315.0351(2) and 315.404:

A currently licensed wholesaler;
A currently licensed third party logistics provider;
A currently permitted pharmacy;
A currently licensed outsourcing facility;
A currently licensed practitioner;
A currently permitted repackager;
A currently licensed hospital, but only for use by or in that hospital pursuant to KRS 217.182(1);
A person in charge of a laboratory, but only for use in that laboratory for scientific and medical research purposes pursuant to KRS 217.182(1); or
Any other appropriately licensed or permitted facility in the jurisdiction in which it is located.

(e) A wholesaler may acquire prescription drugs and drug-related devices only from the following, except as provided in KRS 315.404:

A currently permitted manufacturer;
A currently permitted repackager;
A currently licensed wholesaler; or
A currently licensed third-party logistics provider.

(f) Wholesalers shall maintain a system for the mandatory reporting of any theft, suspected theft, diversion, or other significant loss of any prescription drug and related device to the Board of Pharmacy, and if applicable, the FDA and DEA.

(4) Written policies and procedures, requirements for companies handling prescription drugs and drug-related devices exempt from the DSCSA.

(a) A wholesaler shall establish, maintain, and adhere to written policies and procedures, which shall be followed for the receipt, security, storage, inventory, distribution, and disposition of prescription drugs and drug-related devices

(b) There shall be written policies and procedures for identifying, recording, and reporting losses or thefts.

(c) There shall be written policies and procedures to assure that the wholesaler prepares for, protects against, and handles crisis situations that affect the security or operation of the facility. These crises shall include fires, floods, or other natural disasters, and situations of local, state, or national emergency.

(d) There shall be written policies and procedures for managing and correcting all errors or inaccuracies in inventories.

(e) There shall be written policies and procedures to assure that any outdated stock or any stock with an expiration date that, in the wholesaler's view, does not allow sufficient time for repacking or resale shall be segregated from other stock and shall be prepared for return to the manufacturer or otherwise destroyed, and this shall be documented.

(f) There shall be written policies and procedures by which the wholesaler exercises control over the shipping and receiving of all stock within the operation.

(g) There shall be written policies and procedures for investigating suspect product and reporting illegitimate product to the Board of Pharmacy and the FDA pursuant to the DSCSA, if applicable.

(5) Returned, damaged, and outdated prescription drugs and drug-related devices. A wholesaler shall maintain and follow a written policy and procedure to assure the proper handling and disposal of returned goods. If conditions under which a prescription drug or related device has been returned cast doubt on the drug's safety, identity, strength, quality, or purity, then the drug or related device shall be destroyed, or returned, unless examination, testing, or other investigation proves that the drug or drug-related device meets appropriate standards of safety, identity, strength, quality, and purity. In determining whether the conditions under which a prescription drug or related device has been returned cast doubt on the drug's or related device's safety, identity, strength, quality, or purity, the wholesaler shall consider, among other things, the conditions under which the drug or related device has been held, stored, or shipped before or during its return and the condition of the drug or related device and its container, carton, or labeling, as a result of storage or shipping.

(6) Handling recalls. A wholesaler shall establish, maintain, and adhere to a written policy and procedure for handling recalls and withdrawals of prescription drugs and drug-related devices. The policy and procedure shall cover all recalls and withdrawals of drugs and drug-related devices due to:

(a) Any voluntary action on the part of the manufacturer;

(b) The direction of the FDA, or any other federal, state, or local government agency; and

(7) Procedures

(a) A visual examination of all materials received or shipped shall be made to guarantee product identity and to reasonably guard against acceptance or delivery of damaged, contaminated, tampered, or otherwise unfit stock.

(b) Procedures for distribution of approved stock shall provide for a rotation whereby the expiration date is taken into consideration when distributing inventory.

(c) A wholesaler shall be subject to the provisions of any applicable federal, state, or local laws or regulations that relate to prescription drug and related device salvaging or reprocessing.

Section 6. Violations.

(1) A wholesaler shall not distribute prescription drugs and drug-related devices directly to a consumer or a patient, except as provided in KRS 315.0351(2).

(2) A wholesaler shall not operate in a manner that endangers the public health.

(3) Violations of any of these provisions shall be grounds for action under KRS 315.121.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for a License to Operate as a Wholesaler", June 2023;

(b) "Renewal Application to Operate as a Wholesaler", June 2023; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601-8024. Monday through Friday, 8 a.m. to 4:30 p.m. or on the Board's Web site at https://pharmacy.ky.gov/Businesses/Pages/Wholesale-Distributors.aspx.

History

RELATES TO: KRS 217.182, 315.010, 315.0351, 315.121, 315.350, 315.400, 315.402, 315.404, 315.406, 315.408, 315.410, 315.412, 21 U.S.C. 360eee-eee-4
STATUTORY AUTHORITY: KRS 315.010, 315.191(1)(a), 315.350, 315.402, 315.406
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations to regulate and control all matters set forth in KRS Chapter 315. KRS 315.350, 315.402 and 315.406 require the board to promulgate administrative regulations to regulate wholesalers, medical gas wholesalers, wholesale distributors, and virtual wholesale distributors of prescription drugs and drug-related devices. This administrative regulation establishes the requirements for the regulation of wholesalers, medical gas wholesalers, wholesale distributors, and virtual wholesale distributors.
History: 9 Ky.R. 77; eff. 8-11-1982; 11 Ky.R. 1616; eff. 6-4-1985; 16 Ky.R. 1597; eff. 4-12-1990; 18 Ky.R. 2348; 2832; 2917; eff. 3-25-1992; 19 Ky.R. 445; eff. 10-8-1992; 28 Ky.R. 2406; 29 Ky.R. 98; eff. 7-15-2002; 35 Ky.R. 982; 1826; 1740; eff. 2-18-2009; 47 Ky.R. 119, 985, 1361; eff. 2-4-2021; 50 Ky.R. 95, 1054; eff. 12-13-2023.

201 KAR 2:106 Licensed or permitted facility closures {#sec-201-kar-2-106 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:106}

Section 1. Definitions.

(1) "Involuntary closure" means an interruption of formal business activity resulting from:

(a) Acute illness or incapacitation;

(b) Death;

(d) Bankruptcy proceedings; or

(e) Court, government, or Board of Pharmacy action.

(2) "Non-use" means a failure to engage in formal business activity within one (1) year of initial licensing or permitting, or renewal of license or permit.

(3) "Permanent voluntary closure" means a licensee or permit holder:

(a) Ceases to do business and permanently closes; and

(b) Does not file application for a license or permit for the same location.

(4) "Temporary closure" means a pharmacy whose hours of operation have deviated over a period of two (2) consecutive days, five (5) aggregate working days within a fourteen (14) day period or nine (9) aggregate working days within a thirty (30) day period from those of record at the Board of Pharmacy office for a reason other than a federal holiday, permanent voluntary closure or involuntary closure.

Section 2. Procedures for Closure Applicable to All Licensees and Permit Holders.

(1) Permanent voluntary closure.

(a) A licensee or permit holder shall inform the Board of Pharmacy, and if applicable, the Drug Enforcement Administration (DEA), and the Cabinet for Health and Family Services by written notice fifteen (15) days prior to the anticipated closure and include the following information:

Date of business termination;
Name, address, and DEA number of registrant to whom the prescription drugs and drug-related devices including controlled substances are to be transferred; and
Name, address, and DEA number of registrant to whom the records including inventories, acquisition records, purchase records, and disposition records are to be transferred.

(b) In the absence of directives to the contrary from the DEA, the Board of Pharmacy, or the Cabinet for Health and Family Services, the transfer shall be effected on the assigned date.

(c) The transferor and the transferee shall each maintain copies of the following records relating to transferred controlled substances for at least two (2) years following closure:

U.S. Official Order Forms, DEA-222 Schedule II;
Schedules III, IV, and V Invoices; and
Controlled substances inventory.

(d) The transferee shall maintain copies of the following records relating to prescription drugs and drug-related devices for at least two (2) years following closure:

Inventories;
Acquisition records;
Purchase records; and
Disposition records.

(e) The records in paragraph (d) of this subsection may be stored on a computer or by other electronic means and shall be readily retrievable.

(f) Upon termination, a licensee or permit holder shall:

Remove all signs pertinent to pharmacy or drugs from the building and premises; and
Return the voided permits, the DEA registration, and unused Schedule II Order Forms to their respective office of issue.

(2) Involuntary closure.

(a) Within five (5) days of involuntary closure, a licensee or permit holder, or person authorized to act on behalf of the licensee or permit holder, shall:

Notify the Board of Pharmacy in writing; and
Guarantee the security and control of the licensed or permitted premises in a manner that will allow continued storage of prescription drugs and drug-related devices, including controlled substances, and records, including patient records, if applicable, for sixty (60) days after the effective date of the involuntary closure.

(b) Within sixty (60) days after the effective date of the involuntary closure, a licensee or permit holder shall make arrangements for the lawful transfer or other disposition of prescription drugs and drug-related devices, including controlled substances, and records.

(c) The Board of Pharmacy may assume control and responsibility of prescription drugs and drug-related devices, including controlled substances, and records, including patient records, if applicable, it deems necessary for disposition, if after the expiration of the sixty (60) day period following the effective date of involuntary closure:

A lawful transfer or other disposition has not been made; or
An agreement between the Board of Pharmacy and the licensee or permit holder or person authorized to act on behalf of the licensee or permit holder, has not been reached.

(3) Permanent voluntary closure of licensees and permit holders with patient records.

(a) A licensee or permit holder shall conspicuously place a sign notifying the public thirty (30) days in advance of the:

Termination date of business; and
Name and address of the licensee or permit holder to which prescription files or other patient records will be transferred.

(b) Except when prevented by the exercise of another party's legal rights:

The sign shall remain in place for a period of thirty (30) days after the closure; and
All efforts shall be undertaken to assure a smooth transition of uninterrupted service to those affected by the closure.

An application for a pharmacy permit or outsourcing facility license for the same location is filed; or
During a sale of a pharmacy or outsourcing facility, prescription records are transferred to another permitted pharmacy or licensed outsourcing facility that is within five (5) miles of the location of the pharmacy or outsourcing facility that is sold and owned by the purchasing entity.

(4) Deviation of Hours for Non-Pharmacy Licensees and Permit Holders.

(a) Licensees and permit holders whose hours of operations have deviated over a period of five (5) consecutive days from those of record at the Board of Pharmacy office for a reason other than permanent voluntary closure or involuntary closure shall immediately notify the Board of Pharmacy in writing of the deviation, reason for the deviation, and the anticipated period of continuance.

(b) The licensee or permit holder shall notify the Board of Pharmacy in writing of the arrangements necessary to provide adequate and continued security and control of all prescription drugs and drug-related devices and records maintained by the licensee or permit holder.

(c) If formal business activity cannot resume within sixty (60) days, or the security and control cannot be maintained, the:

License or permit shall be closed; and
Procedures for involuntary closure shall be followed.

(5) Temporary Closure of a Pharmacy.

(a) A pharmacy permit holder that is temporarily closed shall immediately notify the Board of Pharmacy in writing of the temporary closure, reason for the closure, the anticipated date of reopening, and the plan to provide emergency patient assistance and access to medication throughout the period of closure.

(b) The pharmacy permit holder shall notify the Board of Pharmacy in writing of the arrangements necessary to provide adequate and continued security and control of all prescription drugs and drug-related devices and records maintained by the licensee or permit holder.

(c) If formal business activity cannot resume within sixty (60) days, or the security and control cannot be maintained, the:

Pharmacy shall be closed; and
Procedures for involuntary closure shall be followed.

(d) At the time the pharmacy permit holder notifies the Board of Pharmacy of the temporary closure, the pharmacy shall place patient-facing signage on all pharmacy entrances and drive through windows providing up to date notification of the closure. The signage shall include notification of the closest, open pharmacy, regardless of ownership, that can assist patients immediately as well as anticipated date and time of reopening.

(e) The pharmacy permit holder shall update their phone message to include notice of the closure, and if the pharmacy has a Web site, the website shall also indicate the closure. The phone message and the website shall include a method to speak with an on-call pharmacist during regular operating hours on file with the Board of Pharmacy.

(f) The pharmacy permit holder shall have a pharmacist onsite or remotely if a common database is utilized and readily available during the posted pharmacy hours for the purpose of transferring prescription record(s) or reversing adjudicated claim(s) to a third party payer during the time of the temporary closure.

(g) The pharmacy permit holder shall make a reasonable effort to notify prescribers of the temporary closure and time and date of anticipated reopening.

Section 3. Closure of License or Permit Due to Non-use.

(1) The Board of Pharmacy shall close a license or permit due to non-use if:

(a) The licensee or permit holder fails to notify the Board of Pharmacy of initiation of formal business activity within the first year of issuance;

(b) Inspection reveals a failure to engage in formal business activity within the first year of issuance; or

(2) A licensee or permit holder may request an extension from closure due to non-use. The request shall:

(a) Be in writing;

(b) Include a legitimate reason for the lack of formal business activity; and

(3) Upon closure of a license or permit due to non-use, the Board of Pharmacy shall follow procedures for involuntary closure to secure and dispose of any prescription drugs and drug-related devices and records.

Section 4. Duties and Responsibilities of Licensee and Permit Holder. A licensee, permit holder or person authorized to act on behalf of the licensee or permit holder shall:

(1) Fully cooperate with the Board of Pharmacy to promote the efficient administration of action required by the provisions of this administrative regulation; and

(2) Be financially liable to the Board of Pharmacy for expenses incurred by the Board of Pharmacy in its implementation of the provisions of this administrative regulation.

Section 5. Violation. Violations of any of these provisions shall be grounds for the discipline of the license or permit pursuant to KRS 315.121.

History

RELATES TO: KRS 315.035, 315.0351, 315.036, 315.121, 315.340, 315.342, 315.350, 315.402, 315.4102
STATUTORY AUTHORITY: KRS 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations relating to subject matters governed by KRS Chapter 315. This administrative regulation establishes requirements relating to closure of business by licensees and permit holders.
History: 16 Ky.R. 1718; 2123; eff. 4-12-1990; 23 Ky.R. 3866; 24 Ky.R. 61; eff. 6-18-1997; 47 Ky.R. 123, 1364; eff. 2-4-2021; 48 Ky.R. 2116; eff. 6-2-2022.

201 KAR 2:116 Substitution of drugs, biologics, and biosimilar products {#sec-201-kar-2-116 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:116}

Section 1. The following have been determined by the board to be interchangeable:

(1) Drugs, drug products, or dosage formulations considered by the United States Food and Drug Administration to be therapeutically equivalent as published in the Approved Drug Products with Therapeutic Equivalence Evaluations (Orange Book);

(2) Biologics drugs, biologics drug products, or biologics dosage formulations considered by the United States Food and Drug Administration to be therapeutically equivalent as published in the Database of Licensed Biological Products with Reference Product Exclusivity and Biosimilarity or Interchangeability Evaluations (Purple Book) available at https://purplebooksearch.fda.gov/; and

(3) Animal drug products considered by the United States Food and Drug Administration to be therapeutically equivalent as published in the Approved Animal Drug Products (Green Book) updated monthly, and available at https://animaldrugsatfda.fda.gov/adafda/views/#/search.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Approved Drug Products with Therapeutic Equivalence Evaluations," (Orange Book), U.S. Food and Drug Administration, 46th Edition, 2026;

(b) "Database of Licensed Biological Products with Reference Product Exclusivity and Biosimilarity or Interchangeability Evaluations" (Purple Book), United States Food and Drug Administration, 2026; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, 125 Holmes Street, Suite 300, Frankfort, Kentucky 40601-8204, Monday through Friday, 8 a.m. to 4:30 p.m. and is available online at http://www.fda.gov.

History

RELATES TO: KRS 217.819, 217.822
STATUTORY AUTHORITY: KRS 217.814(5), (6), (7), (8), 217.819(1), 315.191
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 217.819(1) requires the Kentucky Board of Pharmacy to prepare by administrative regulation a nonequivalent drug product formulary of drugs which should not be interchanged by pharmacists. KRS 217.822 authorizes pharmacists to dispense interchangeable drug products and biological products. This administrative regulation references drug products with active ingredients or dosage forms that are interchangeable, and all other products not referenced as interchangeable are non-interchangeable.
History: 201 KAR 002:116. 16 Ky.R. 1720; 2154; eff. 5-13-1990; 17 Ky.R. 2212; 2725; eff. 4-5-1991; 45 Ky.R. 3453, 46 Ky.R. 412; eff. 8-19-2019; 52 Ky.R. 1169, 1681; eff. 6-16-2026.

201 KAR 2:160 Licensees; inactive status {#sec-201-kar-2-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:160}

Section 1. A pharmacist may apply for inactive status by:

(1) Completing the annual renewal application, as incorporated by reference in 201 KAR 2:020; and

(2) Paying the annual fee for inactive status established by 201 KAR 2:050, Section 1(5).

Section 2. Pharmacists maintaining an active license to practice in another state or jurisdiction shall not be eligible for inactive status in Kentucky.

Section 3. Pharmacists seeking relicensure from inactive to active status shall fulfill the following requirements:

(1) If the pharmacist has been inactive for no more than five (5) consecutive years, the pharmacist shall:

(a) Provide written notice to the board requesting their consideration to active status. The board shall act upon the request within sixty (60) days;

(b) Satisfy the board's continuing education requirements for each year of inactive status;

(d) Pay all cumulative annual renewal fees required for active licensees established by 201 KAR 2:050, Section 1(3).

(2) If a pharmacist has had inactive status for more than five (5) consecutive years, the pharmacist shall:

(a) Provide written notice to the board requesting their consideration to active status. The board shall act upon the request within sixty (60) days;

(b) Successfully complete any satisfactory examinations; and

History

RELATES TO: KRS Chapter 315
STATUTORY AUTHORITY: KRS 315.065, 315.110, 315.120, 315.191(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the board to promulgate administrative regulations to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists. KRS 315.120(4) authorizes an inactive pharmacist to apply for inactive license upon application provided for by the board in administrative regulations. This administrative regulation establishes requirements for licensees to be issued inactive status and for those who desire to apply for renewal of a license to return to active practice.
History: 201 KAR 002: 160. 9 Ky.R. 633; 778; eff. 12-1-1982; Crt eff. 4-17-2019; 52 Ky.R. 1171, 1681; eff. 6-16-2026.

201 KAR 2:165 Transfer of prescription information {#sec-201-kar-2-165 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:165}

Section 1.

(1) The transfer of prescription information for any noncontrolled substance prescription for the purpose of new or refill dispensing may occur if:

(a) It is orally communicated directly between two (2) pharmacists or pharmacist interns in the Commonwealth or between a pharmacist and an individual located in a state or U.S. Territory or District outside the Commonwealth and similarly credentialed as a pharmacist by that state or U.S. Territory or District;

(b) It is made through an online real-time computer system that provides documentation of the presence of a pharmacist or an individual located in a state or U.S. Territory or District outside the Commonwealth and similarly credentialed as a pharmacist by that state or U.S. Territory or District when the information is transferred;

(c) It is made through the use of a facsimile machine and all the information required by this administrative regulation is provided to the sending and receiving pharmacist or an individual located in a state or U.S. Territory or District outside the Commonwealth and similarly credentialed as a pharmacist by that state or U.S. Territory or District; or

(d) It is made through the use of voice recording technology and all information required by this administrative regulation is provided to the sending and receiving pharmacist or an individual located in a state or U.S. Territory or District outside the Commonwealth and similarly credentialed as a pharmacist by that state or U.S. Territory or District.

(2) If in the Commonwealth the transferring pharmacist shall record the following information:

(a) That the prescription is void;

(b) The name and address of the pharmacy or the establishment located in a state or U.S. Territory or District outside the Commonwealth that is similarly credentialed as a pharmacy by that state or U.S. Territory or District to which it was transferred and the name of the pharmacist or the individual located in a state or U.S. Territory or District outside the Commonwealth that is similarly credentialed as a pharmacist by that state or U.S. Territory or District receiving the prescription information; and

(3) If in the Commonwealth, the pharmacist receiving the transferred prescription shall record the following information:

(a) That the prescription is a transfer;

(b) The date of issuance of the original prescription;

(d) The date of original dispensing, if applicable;

(e) The refill authorization remaining and the date of the last refill if applicable;

(f) The name and address of the pharmacy or the establishment located in a state or U.S. Territory or District outside the Commonwealth that is similarly credentialed as a pharmacy by that state or U.S. Territory or District and the original prescription number from which the prescription was transferred; and

(g) The name of the transferor pharmacist or the individual located in a state or U.S. Territory or District outside the Commonwealth that is similarly credentialed as a pharmacist by that state or U.S. Territory or District.

(4) Both the original prescription and the transferred prescription shall be maintained for a period of five (5) years from the date of the last refill.

(5) Pharmacies electronically accessing the same prescription record shall satisfy all information of a manual mode for a prescription transfer.

(6) A pharmacist may delegate the transferring and the documentation of a transfer of a previously dispensed noncontrolled substance prescription to a certified pharmacy technician.

(7) For verbal prescriptions, the certified pharmacy technician shall document that he or she read back and verified the prescription information if transferring or receiving a prescription transfer.

Section 2.

(1) The transfer for an initial or new dispensing of an electronic prescription for schedules II-V may occur if the transfer complies with the requirements of 21 C.F.R. 1306.08.

(2) The transfer of prescription information for a controlled substance prescription for schedule III, IV, and V for the purposes of refill dispensing may occur if the transfer complies with the requirements of 21 C.F.R. 1306.25.

(3) The transfer of prescription information shall comply with the recordkeeping requirements in 201 KAR 2:171, Section 1.

Section 3. Pharmacies shall maintain documentation, as required by 201 KAR 2:171, of transferred prescriptions for a period of five (5) years.

Section 4. Violation of a provision of this administrative regulation may constitute unethical or unprofessional conduct in accordance with KRS 315.121(2)(d), (f), and (g).

History

RELATES TO: KRS 217.215, 315.121, 315.191, 21 C.F.R. 1306.08, 1306.25
STATUTORY AUTHORITY: KRS 217.215(2), 315.191(1)(a), (f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(f) authorizes the Board of Pharmacy to promulgate administrative regulations to control the transfer of prescription drug orders between pharmacy personnel and pharmacies. This administrative regulation establishes the procedures by which a prescription may be transferred between pharmacies in the Commonwealth or between a pharmacy and an establishment located in a state or United States Territory or District outside the Commonwealth and similarly credentialed as a pharmacy by that state or U.S. Territory or District for the purpose of dispensing.
History: 201 KAR 002:165. 9 Ky.R. 1264; eff. 6-1-1983; 16 Ky.R. 797; eff. 1-12-1990; 25 Ky.R. 1944; 2545; eff. 5-19-1999; 1445; 1793; eff. 2-7-2002; 37 Ky.R. 1328; eff. 2-4-2011; 45 Ky.R. 3454; eff. 11-1-2019; 50 Ky.R. 1178; eff. 2-16-2024; 51 Ky.R. 1801, 52 Ky.R. 368; eff. 10-22-2025.

201 KAR 2:171 Computerized recordkeeping {#sec-201-kar-2-171 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:171}

Section 1. The following information shall be entered into the system:

(1) All information pertinent to a prescription shall be entered into the system, including items such as each of the following:

(a) The prescription number;

(b) The patient's name and address;

(d) The prescriber's Federal Drug Enforcement Administration number, if appropriate;

(e) Refill authorization;

(f) Any prescriber's instructions or patient's preference permitted by KRS Chapters 217, 218A, and 315, or 201 KAR Chapter 2;

(g) The name, strength, dosage form, and quantity of the drug dispensed originally and upon each refill; and

(h) The date of dispensing of the prescription and the identifying designation of the dispensing pharmacist for the original filling and each refill.

(2) The entries shall be made into the system when the prescription is first filled and upon each refill, except that the format of the record may be organized so that the data already entered may appear for the prescription or refill without reentering that data. Records that are received or sent electronically may be kept electronically. The dispensing pharmacist shall ensure the completeness and accuracy of the entries.

(3)

(a) The original prescription and a record of each refill, if received written or oral, shall be preserved as a hard copy for a period of three (3) years and thereafter be preserved as a hard copy or electronically for no less than an additional two (2) years.

(b) The original prescription and a record of each refill, if received by facsimile, shall be preserved as a hard copy, the original electronic image, or electronically for a period of three (3) years and thereafter be preserved as a hard copy, the original electronic image, or electronically for no less than an additional two (2) years.

(c) The original and electronic prescription shall be subject to inspection by authorized agents. An original and electronic prescription shall not be obstructed in any manner.

(4) The original prescription and a record of each refill, if received as an e-prescription, shall be preserved electronically for a period of no less than five (5) years. The electronic prescription shall be subject to inspection by authorized agents. An original and electronic prescription shall not be obstructed in any manner.

(5) The required information shall be entered into the system for all prescriptions filled at the pharmacy.

(6) The system shall provide adequate safeguards against improper manipulation or alteration of the data.

(7) The system shall have the capability of producing a hard-copy printout of all original and refilled prescription data as required in this section. A hard-copy printout of the required data shall be made available to an authorized agent within forty-eight (48) hours of the receipt of a written request.

(8) The system shall maintain a record of each day's prescription data as follows:

(a) This record shall be verified, dated, and signed by the pharmacist or pharmacists who filled those prescription orders either:

Electronically;
Manually; or
In a log.

(b) This record shall be maintained for no less than five (5) years; and

(9) An auxiliary recordkeeping system shall be established for the documentation of refills if the automated data processing system is inoperative for any reason. The auxiliary system shall ensure that all refills are authorized by the original prescription order and that the maximum number of refills is not exceeded. If the automated data processing system is restored to operation, the information regarding prescriptions filled and refilled during the inoperative period shall be entered into the automated data processing system within seventy-two (72) hours.

(10) Controlled substance data shall be identifiable apart from other items appearing in the record.

(11) The pharmacist shall assure continuity in the maintenance of records throughout any transition in computerized record systems utilized.

Section 2. A computer malfunction or data processing service provider's negligence shall not be a defense against charges of improper recordkeeping.

Section 3. This administrative regulation is not applicable to the recordkeeping for drugs prescribed for and administered to patients confined as inpatients in an acute care facility.

History

RELATES TO: KRS 217.215, 217.216, 315.191
STATUTORY AUTHORITY: KRS 217.215(2), 315.191(1), (a), (f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 217.215(2) authorizes the board to establish administrative regulations relating to the storage and retrieval of prescription records in licensed pharmacies, including administrative regulations regarding computerized recordkeeping. This administrative regulation provides standards for licensed pharmacies using computerized recordkeeping.
History: 47 Ky.R.2179, 48 Ky.R. 23; eff. 7-21-2021.

201 KAR 2:175 Emergency prescription refills of up to a seventy-two (72) hour supply or greater than a seventy-two (72) hour supply {#sec-201-kar-2-175 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:175}

(1) Dispense a one (1) time emergency refill of up to a seventy-two (72) hour supply of the maintenance medication when:

(a) The prescription refill is not for a controlled substance;

(b) The medication is essential to the maintenance of life or to the continuation of therapy in chronic conditions;

(c) In the pharmacist's professional judgment, the interruption of therapy may reasonably produce undesirable health consequences or may be detrimental to the patient's welfare and cause physical or mental discomfort;

(d) The pharmacist notes on the prescription record the date, the quantity dispensed, and the pharmacist's name or initials; and

(e) In all situations an emergency refill shall be followed by authorization from the prescriber for continued therapy.

(2) Dispense greater than a seventy-two (72) hour supply of maintenance medication if in addition to the requirements in subsection (1) of this section:

(a) The standard unit of dispensing for the drug exceeds a seventy-two (72) hour supply;

(b) The pharmacist dispenses a supply of the drug that is equal to the standard unit of dispensing for the drug; and

Section 2. Violation of any provision of this administrative regulation constitutes unethical or unprofessional conduct in accordance with KRS 315.121.

History

RELATES TO: KRS Chapters 217, 315
STATUTORY AUTHORITY: KRS 217.215(3), 315.191
NECESSITY, FUNCTION, AND CONFORMITY: KRS 217.215(3) requires the Board of Pharmacy to promulgate administrative regulations to carry out the provisions for emergency refills by a pharmacist in emergency situations when authorization may not be readily or easily obtained from the prescribing practitioner. KRS 315.191 authorizes the board to promulgate administrative regulations necessary to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists. This administrative regulation establishes the conditions for when a prescription may be refilled in an emergency situation and the prescriber is unavailable.
History: 9 Ky.R. 1265; 10 Ky.R. 5; eff. 6-1-1983; 16 Ky.R. 798; eff. 1-12-1990; 46 Ky.R. 2683; 47 Ky.R. 41; eff. 7-29-2020.

201 KAR 2:180 Pharmacy sanitation {#sec-201-kar-2-180 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:180}

Section 1. The designated pharmacy area or areas shall be used exclusively for the compounding and dispensing of drugs and other usual procedures incidental to compounding and dispensing of drugs. This area shall be maintained in a clean and sanitary condition, adequately lighted and ventilated.

Section 2. Compounding or dispensing of drugs shall not occur in any room used as a dwelling or for usual household purposes.

Section 3. Hot and cold water shall be readily accessible. Adequate facilities, separate and distinct from toilets and washrooms, shall be provided for maintaining clean and sanitary conditions.

Section 4. All equipment used in the storage, compounding, and dispensing of drugs or medicines shall be kept in a clean and sanitary manner.

Section 5. Maintaining Proper Temperature.

(1) Proper temperatures and humidity shall be maintained for compounding and dispensing of drugs and medicines.

(2) Controlled room temperatures shall be fifteen (15) to thirty (30) degrees Centigrade, fifty-nine (59) to eighty-six (86) degrees Fahrenheit. Refrigeration temperatures shall be two (2) to eight (8) degrees Centigrade, thirty-six (36) to forty-six (46) degrees Fahrenheit. Freezer temperatures shall be minus twenty (-20) to minus ten (-10) degrees Centigrade, minus four (-4) to fourteen (14) degrees Fahrenheit.

(3) Absent a United States Pharmacopeia (USP) standard or package insert information for a specific prescription medication, the proper storage conditions shall include protection from moisture, freezing, and excessive heat.

Section 6. Violation of any provision of this administrative regulation constitutes unethical or unprofessional conduct in accordance with KRS 315.121.

History

RELATES TO: KRS Chapter 315
STATUTORY AUTHORITY: KRS 315.035(6), 315.191(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.035(6) authorizes the Kentucky Board of Pharmacy to promulgate administrative regulations to assure reasonable health and sanitation standards for areas within pharmacies that are not subject to the standards established by the Kentucky Cabinet for Health and Family Services or a local health department. KRS 315.191(1) authorizes the board to promulgate administrative regulations to regulate and control all matters relating to the practice of pharmacy, including the establishment of minimum standards for pharmacy sanitation and equipment. This administrative regulation establishes the minimum sanitation standards for pharmacies in Kentucky.
History: 201 KAR 002:180. 10 Ky.R. 951; eff. 2-1-1984; Crt eff. 4-17-2019; 52 Ky.R. 1173, 1682; eff. 6-16-2026.

201 KAR 2:185 Noncontrolled substance prescription drug refills {#sec-201-kar-2-185 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:185}

Section 1. A pharmacist shall not refill a prescription for a noncontrolled substance prescription drug unless authorized by the prescribing practitioner or permitted under the emergency pharmacy powers granted pursuant to KRS 315.500.

Section 2.

(1) The use of the terms "prn" and "ad lib" in relation to authorization for refilling prescriptions shall mean the prescription may be refilled for a maximum period of one (1) year from the date prescribed.

(2) After one (1) year from the date prescribed, a prescribing practitioner shall issue a new prescription.

Section 3. If the authorized refills are expressed solely as a number, the prescription shall be refilled for the authorized limit of refills within one (1) year of the date prescribed.

Section 4. Violation of a provision of this administrative regulation shall constitute unethical or unprofessional conduct in accordance with KRS 315.121(2)(d), (f), (g).

History

RELATES TO: KRS 315.191(1)(f)
STATUTORY AUTHORITY: KRS 217.215, 315.191(1)(f)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.010, 315.191 and 217.215(2) require the Board of Pharmacy to promulgate administrative regulations necessary to regulate the practice of pharmacists and the recordkeeping systems associated with prescriptions. This administrative regulation establishes the responsibilities of pharmacists and practitioners relating to prescription drug refills.
History: 201 KAR 002:185. 10 Ky.R. 951; eff. 2-1-1984; 25 Ky.R. 11945; 2546; eff. 5-19-1999; Crt eff. 4-17-2019; 52 Ky.R. 1174, eff. 6-16-2026.

201 KAR 2:190 Return of prescription drugs {#sec-201-kar-2-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:190}

Section 1. A pharmacy, pharmacist, or agent thereof shall not accept a prescription drug for reuse or resale. This administrative regulation shall not apply to sealed or unopened prescription drugs in the original standard unit of dispensing.

Section 2. Drug Integrity Shall Be Verified Before Accepting Return.

(1) A pharmacist shall not accept the return of a prescription drug unless:

(a) The drug is in a sealed container by which it may be readily determined by a pharmacist employed by the dispensing pharmacy that entry or attempted entry by any means has not been made;

(b) The drug container meets the standards of the United States Pharmacopeia for storage conditions including temperature, light sensitivity, moisture, chemical, and physical stability;

(c) The drug labeling and packaging has not been altered or defaced and the identity of the drug, its potency, lot number, and expiration date are legible;

(d) The drug does not require refrigeration; and

(e) The drug is returned to a pharmacist employed by the dispensing pharmacy within fourteen (14) days.

(2) Subsection (1)(d) and (e) of this section shall be waived if all other conditions are met and if:

(a) The drug was dispensed for a patient in a health care facility licensed by the Cabinet for Health and Family Services;

(b) The drug has not come into the physical possession of the person for whom it was prescribed;

(c) The drug has been under the continuous control of personnel in the health care facility who are trained and knowledgeable in the storage and administration of drugs;

(d) The drug has been properly stored in an area which is regularly inspected by a pharmacist; and

(e) The drug is not expired.

(3) Drugs dispensed within an acute care facility shall be exempt from the provisions of subsection 1(a), (d), and (e) of this section.

(4) Nothing in this administrative regulation shall be construed to require a pharmacist to accept the return of a prescription drug.

Section 3. Violation of any provision of this administrative regulation constitutes unethical or unprofessional conduct in accordance with KRS 315.121.

History

RELATES TO: KRS Chapters 217 and 315
STATUTORY AUTHORITY: KRS 217.055, 217.215, 315.191(1), 315.404(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the board to promulgate administrative regulations to control all matters set forth in KRS Chapter 315 relating to pharmacies and pharmacists. KRS 315.191(1)(f) authorizes the board to promulgate administrative regulations for the retrieval of prescription drugs. KRS 315.404(4) authorizes pharmacies to accept returns of prescription drugs. This administrative regulation establishes procedures for pharmacists accepting returned prescription drugs and prohibits pharmacists from accepting returned prescription drugs for sale or reuse except for in specific circumstances .
History: 201 KAR 002:190. 10 Ky.R. 952; eff. 2-1-1984; 11 Ky.R. 1126; eff. 3-12-1985; 16 Ky.R. 799; eff. 1-12-1990; Crt eff. 4-17-2019; 52 Ky.R 1176, 1682; eff. 6-16-2026.

201 KAR 2:205 Pharmacist-in-charge {#sec-201-kar-2-205 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:205}

Section 1. Definition. "Pharmacist-in-charge" means a pharmacist licensed in the Commonwealth of Kentucky, who accepts responsibility for the operation of a pharmacy in conformance with all laws and administrative regulations pertinent to the practice of pharmacy and the distribution of prescription drugs and who is personally in full and actual charge of the pharmacy.

Section 2. Duties and Responsibilities.

(1) The pharmacist-in-charge shall be so designated in the Application for Permit to Operate a Pharmacy in Kentucky and in the Application for Non-Resident Pharmacy Permit, and in each Application for Resident Pharmacy Renewal and Application for Non-Resident Pharmacy Permit Renewal, as incorporated by reference in 201 KAR 2:050 and 201 KAR 2:465, and submitted for the renewal of that permit thereafter.

(2) A pharmacist shall not serve as a pharmacist-in-charge:

(a) For more than one (1) pharmacy at a time, except upon written approval from the Kentucky Board of Pharmacy; and

(b) Unless he or she is physically present in that pharmacy for a minimum of ten (10) hours per week or the amount of time appropriate to provide supervision and control.

(3) The pharmacist-in-charge shall be responsible for:

(a) Quality assurance programs for pharmacy services designed to objectively and systematically monitor care, including:

Pursuing opportunities for improvement;
Resolving identified problems as those may exist; and
Detecting and preventing drug diversion;

(b) The procurement, storage, security, and disposition of drugs and the provision of pharmacy services;

(d) Providing notification in writing to the Board of Pharmacy within fourteen (14) calendar days of any change in the:

Employment of the pharmacist-in-charge;
Employment of staff pharmacists; or
Schedule of hours for the pharmacy;

(e) Making or filing of any reports required by state or federal laws and regulations;

(f) Responding to the Kentucky Board of Pharmacy regarding identified violations or deficiencies;

(g) Filing of any report of a theft or loss to:

The U. S. Department of Justice Drug Enforcement Administration as required by 21 C.F.R. 1301.76(b);
The Department of the Kentucky State Police as required by KRS 315.335;
The board by providing a copy to the board of each report submitted; and
The Cabinet for Health and Family Services;

(h) Ensuring appropriate equipment is available and in working order and allowing within the pharmacy area equipment such as the following:

A prescription balance with sensitivity not less than that of a Class 3 balance;
Weights-metric or apothecary-complete set;
Graduates capable of accurately measuring from one (1) ml to 250 ml;
Mortars and pestles-glass, porcelain, or Wedgewood;
Spatulas-steel and nonmetallic;
A heating unit;
Suitable refrigeration unit for proper storage of drugs; and
Ointment slab or ointment papers; and

(i) Ensuring proper reference material as required by 201 KAR 2:090 is made available to pharmacy employees.

History

RELATES TO: KRS 315.020, 315.035, 315.0351, 315.191, 315.300, 315.335, 21 C.F.R. 1301.76(b)
STATUTORY AUTHORITY: KRS 315.020(1), 315.0351, 315.191(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the board to promulgate administrative regulations pursuant to KRS Chapter 13A necessary to regulate and control all matters relating to pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers. KRS 315.020(1) and 315.0351(1)(g) require applicants for pharmacy permits to place a pharmacist in charge as a prerequisite to compounding and dispensing privileges granted by the Kentucky Board of Pharmacy. This administrative regulation establishes the requirements relating to a pharmacist-in-charge.
History: 201 KAR 002:205. 19 Ky.R. 1018; Am. 1340; eff. 11-30-92; 27 Ky.R. 194; 738; eff. 9-11-2000; 39 Ky.R. 508; eff. 2-1-2013; 47 Ky.R. 2031; 48 Ky.R. 23; eff. 7-21-2021; 50 Ky.R. 99, 1057; eff. 12-13-2023; 52 Ky.R. 1178, 1683; eff. 6-16-2026.

201 KAR 2:210 Patient records, drug regimen review, patient counseling, and final product verification {#sec-201-kar-2-210 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:210}

Section 1. Definitions.

(1) "Automated filling system":

(a) Means an automated system used by a pharmacy to assist in filling a prescription drug order or medical order by selecting, labeling, filling, or sealing medication for dispensing; and

(b) Does not include an automated device used solely to count medication, vacuum tube drug delivery systems, automated pharmacy systems as defined in KRS 218A.185, or automated dispensing systems as defined in 201 KAR 2:370.

(2) "Dispense" or "dispensing" is defined by KRS 217.015(9), 218A.010(11), and 315.010(9).

(3) "Electronic verification" means the non-physical visual verification a pharmacist utilizes to verify the accuracy of the final contents of the prepared prescription product and affixed label prior to dispensing.

(4) "Electronic verification system" means an electronic verification, bar code verification, weight verification, radio frequency identification, or similar electronic process or system that accurately verifies medication has been properly prepared and labeled by, or loaded into, an automated filling system.

(5) "Final product verification" means the process a pharmacist utilizes to verify the accuracy of the final contents of any prepared prescription product and affixed label prior to dispensing.

(6) "Manufacturer unit of use package" means a drug dispensed in the manufacturer's original and sealed packaging, or in the original and sealed packaging of a re-packager, without additional manipulation or preparation by the pharmacy, except for application of the pharmacy label.

(7) "Medical Order" is defined by KRS 315.010(14).

(8) "Prepared prescription product" means a prescription drug or medical order prepared for dispensing by a pharmacist.

(9) "Prescription drug order" is defined by KRS 315.010(25).

(10) "Re-packager" means a re-packager registered with the United States Food and Drug Administration.

(11) "Repacked" means any drug that has been removed from the original packaging of the manufacturer or a re-packager's packaging and is placed in a container for use in an automated filling system.

Section 2. Patient Records.

(1) A patient record system shall, with the exercise of professional judgment, be maintained by a pharmacy for patients for whom prescription drug or medical orders are dispensed at that pharmacy location.

(2) A pharmacist, with the exercise of professional judgment, shall establish a procedure for obtaining, recording, and maintaining information required for a patient record.

(3) A pharmacist, or a pharmacy technician or a pharmacist intern, shall obtain, record, and maintain the information for a patient record.

(4) A patient record shall:

(a) Be readily retrievable by manual or electronic means;

(b) Enable the pharmacist to identify previously dispensed drugs and known disease conditions;

(c) Enable the pharmacist to determine the impact of previously dispensed drugs and known disease conditions upon the newly submitted prescription drug or medical order; and

(d) Be maintained for not less than 180 days from the date of the last entry.

(5) A patient record shall include:

(a) Full name of patient or animal for whom the drug is intended;

(b) Address and telephone number of the patient;

(d) Patient's gender;

(e) A list of all prescriptions received by the pharmacy or dispensed to the patient at that pharmacy location for the past twelve (12) months by:

Prescription number;
Name and strength of medication;
Quantity;
Date received;
Identity of prescriber; and
Comments or other information as may be relevant to the specific patient or drug; and

(f) Individual medical history if significant, including known disease states, known allergies, idiosyncrasies, reactions or conditions relating to prospective drug use and drug regimen reviews.

Section 3. Prospective Drug Regimen Review.

(1) A pharmacist shall conduct a prospective drug regimen review prior to dispensing.

(2) It shall include an assessment of a patient's drug therapy and the prescription order.

(3) A prospective drug regimen review shall include a review by the pharmacist of the following:

(a) Known allergies;

(b) Rationale for use;

(d) Synergism with currently employed modalities;

(e) Interaction or adverse reaction with applicable:

Drugs;
Foods; or
Known disease states;

(f) Proper utilization for optimum therapeutic outcomes; and

(g) Clinical misuse or abuse.

Section 4. Automated Filling Systems.

(1) Automated filling systems shall be stocked or loaded by a pharmacist, or by a pharmacist intern or certified pharmacy technician under the supervision of a pharmacist. A registered pharmacy technician may stock or load an automated filling system under the immediate supervision of a pharmacist.

(2) A licensed pharmacist shall inspect and verify the accuracy of the final contents of any prepared prescription product filled or packaged by an automated filling system and the affixed label prior to dispensing. A pharmacist shall be found to have verified the prepared prescription product and the affixed label if:

(a) The filling process is fully automated from the time the filling process is initiated until a completed, labeled, and sealed prepared prescription product is produced by the automated filling system that is ready for dispensing to the patient. Manual intervention with the medication or prepared prescription product shall not occur after the medication is loaded into the automated filling system. Manual intervention shall not include preparing a finished prepared prescription product for mailing, delivery, or storage;

(b) A pharmacist verifies the accuracy of the prescription information used by or entered into the automated filling system for a specific patient prior to initiation of the automatic fill process. The name, initials, or identification code of the verifying pharmacist shall be recorded in the pharmacy's records and maintained for five (5) years after dispensing;

(c) The pharmacy establishes and follows a policy and procedure manual that complies with this administrative regulation;

(d) A pharmacist verifies the correct medication, repackaged container, or manufacturer unit of use package was properly stocked, filled, and loaded in the automated filling system prior to initiating the fill process. Alternatively, an electronic verification system may be used for verification of manufacturer unit of use packages or repacked medication previously verified by a pharmacist. The name, initials, or identification code of the verifying pharmacist shall be recorded in the pharmacy's records and maintained for five (5) years after dispensing;

(e) The medication to be dispensed is filled, labeled, and sealed in the prescription container by the automated filling system or dispensed by the system in a manufacturer's unit of use package or a repacked pharmacy container;

(f) An electronic verification system is used to verify the proper prescription label has been affixed to the correct medication, repackaged container, or manufacturer unit of use package for the correct patient; and

(g) Daily random quality testing is conducted by a pharmacist on a sample size of prescriptions filled by an automated filling system. The required sample size shall be at least two (2) percent of the prescriptions filled by the automated system on the date tested or two (2) percent of the prescriptions filled by the automated system on the last day of system operation, as designated in writing by the pharmacist in charge. Proof of compliance, including date and results, of daily random quality testing shall be maintained and documented in the pharmacy's records.

(3) Pharmacies verifying prescriptions utilizing the method in subsection (2) of this section shall establish and follow written policies and procedures to ensure the proper, safe, and secure functioning of the system. Policies and procedures shall be reviewed annually by the pharmacist in charge and shall be maintained in the pharmacy's records for a minimum of five (5) years. The required annual review shall be documented in the pharmacy's records and made available upon request.

(4) At a minimum, the pharmacy shall establish and follow policies and procedures for:

(a) Maintaining the automated filling system and any accompanying electronic verification system in good working order;

(b) Ensuring accurate filling, loading, and stocking of the system;

(c) Ensuring sanitary operations of the system and preventing cross-contamination of cells, cartridges, containers, cassettes, or packages;

(d) Reporting, investigating, and addressing filling errors and system malfunctions;

(e) Testing the accuracy of the automated filling system and any accompanying electronic verification system. At a minimum, the automated filling system and electronic verification system shall be tested before the first use of the system or restarting the system and upon any modification to the automated filling system or electronic verification system that changes or alters the filling or electronic verification process;

(f) Training persons authorized to access, stock, restock, or load the automated filling system in equipment use and operations;

(g) Tracking and documenting prescription errors related to the automated filling system that are not corrected prior to dispensing to the patient. Documentation shall be maintained for five (5) years and produced to the board upon request;

(h) Conducting routine and preventative maintenance, and, if applicable, calibration;

(i) Removing expired, adulterated, misbranded, or recalled drugs;

(j) Preventing unauthorized access to the system, including assigning, discontinuing, or changing security access;

(k) Identifying and recording persons responsible for stocking, loading, and filling the system;

(l) Ensuring compliance with state and federal law, including, all applicable labeling, storage and security requirements; and

(m) Maintaining an ongoing quality assurance program that monitors performance of the automatic fill system and any electronic verification system to ensure proper and accurate functioning.

(5) Records required by this administrative regulation shall be maintained by the pharmacy's records electronically or in writing for a minimum of five (5) years. When the verification requirements of subsection (2) of this section are completed by a pharmacist, the name, initials or identification code of the verifying pharmacist shall be recorded in the pharmacy's records and maintained for five (5) years after dispensing. Records shall be made available for inspection and produced to the board upon request.

Section 5. Final Product Verification.

(1) A pharmacist shall conduct final product verification of a prepared prescription product prior to delivery of the prepared prescription product to the patient.

(2) Further manipulation of a prepared prescription product shall not occur after the pharmacist's verification is complete other than applying the required container lid or seal and preparing the prepared prescription product for mailing, delivery, or storage.

(3) The identity of the pharmacist responsible for verifying the prepared prescription product shall be documented in the pharmacy's records.

(4) A mechanism shall be in place to record and communicate the pharmacist's verification.

(5) A licensed pharmacist may use an electronic verification system to verify the accuracy of a final prepared prescription product if:

(a) The electronic verification system allows the pharmacist to see an exact, clear, and unobstructed visual image or images of the prepared prescription product contents and the label affixed to the container. If multiple units are being dispensed, the pharmacist shall be able to see and verify an image or images of each unit and each individual affixed label;

(b) Pharmacy technicians and pharmacist interns preparing a prescription to be verified with electronic verification shall be trained and competent to perform the duties assigned and have a documented initial and annual assessment of competency using the pharmacy's approved electronic verification system;

(c) The pharmacy maintains an ongoing quality assurance program that monitors performance of the electronic verification system to ensure proper and accurate functioning and includes procedures for system outages; and

(d) The pharmacy maintains records required by this administrative regulation electronically or in writing for a minimum of five (5) years. Records shall be made available for inspection and produced to the board upon request.

(6) Compounded preparations shall not be verified electronically. Compounded preparations shall be physically verified by a pharmacist.

(7) Final product verification of a prescription shall only occur on the premises of the originating pharmacy notwithstanding any final product verification occurring under 201 KAR 2:230 unless a permit holder has received prior board approval. A single request may be made for commonly owned permit holders, and approval or denial may be issued in the aggregate based on common ownership.

(8) The board may, upon a petition by a permit holder and upon the balancing the best interest of the public health, safety, and welfare, waive a specific portion of this section.

Section 6. Patient Counseling.

(1) The pharmacist shall offer to counsel a patient on matters which the pharmacist believes will optimize drug therapy with each patient or caregiver:

(a) Upon the presentation of an original prescription order; and

(b) On refill prescriptions, as professional discretion dictates.

(2) The offer shall be made by the pharmacist in a face-to-face communication with the patient or caregiver, unless, in the professional judgment of the pharmacist, it is found impractical or inappropriate.

(3) If found impractical or inappropriate, the offer to counsel may be made:

(a) By the pharmacy technician or pharmacist intern;

(b) In written communication;

(d) In another manner determined by the pharmacist to be appropriate.

(4) Patient counseling shall be:

(a) In person if practical; or

(b) With reasonable effort, by telephone or real-time video.

(5) The pharmacist shall include the following elements of patient counseling that the pharmacist has determined are appropriate:

(a) The name and description of the drug;

(b) The dosage form, dose, route of administration, and duration of therapy;

(d) Common and clinically significant adverse effects, interactions, or contraindications that may be encountered, including the avoidance and the action required if these occur;

(e) Techniques for self-monitoring of drug therapy;

(f) Proper storage;

(g) Refill information;

(h) Action to be taken if a missed dose;

(i) The pharmacist's comments relevant to the individual's therapy; and

(j) Any other information peculiar to the specific patient or drug.

(6) If a pharmacist determines that it is appropriate, the pharmacist may supplement patient counseling with additional forms of patient information, such as:

(a) Written, electronic, or printed information leaflets;

(b) Pictogram labels; and

(7) Mail-order pharmacies shall be subject to the same counseling requirements as any other pharmacy.

Section 7. Documentation of Counseling.

(1) A record that the patient refused the pharmacist's offer to counsel shall be maintained for one (1) year.

(2) If there is no record that the patient refused the pharmacist's offer to counsel, there shall be a presumption that:

(a) The offer to counsel, as required in Section 6 of this administrative regulation, was made and accepted; and

(b) The counseling was provided.

Section 8. Confidentiality.

(1) A patient record shall be held in confidence.

(2) It shall be communicated or released:

(a) To the patient;

(b) As the patient directs; or

Section 9. The provisions of this administrative regulation shall not apply:

(1) To a hospital or institution if other licensed health-care professionals may administer the drugs; and

(2) Compliance with 902 KAR 20:016, 201 KAR 2:074 and 201 KAR 2:076 is maintained.

History

RELATES TO: KRS 217.015(9), 218A.010(11), 218A.185, 315.010(7), (9), (14), (24), (25), 315.020(5)(e), 315.191(1), 42 C.F.R. Part 456
STATUTORY AUTHORITY: KRS 217.215(2), 315.191(1), 42 C.F.R. Part 456
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations to regulate and control all matters prescribed in KRS Chapter 315. 42 C.F.R. Part 456 requires pharmacists to implement drug regimen reviews and provide patient counseling to those recipients of health-care benefits for which federal funds are allocated. This administrative regulation establishes rules for the dispensing of a prescription drug or medical order by a pharmacist and ensures comprehensive patient records are maintained and remain confidential.
History: 19 Ky.R. 1694; eff. 2-17-1993; Crt eff. 4-17-2019; 51 Ky.R. 83, 941, 1259; eff. 2-5-2025.

201 KAR 2:215 Nuclear pharmacy services {#sec-201-kar-2-215 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:215}

Section 1. Definitions.

(1) "Nuclear pharmacy" means a pharmacy providing radiopharmaceutical services.

(2) "Radiopharmaceutical services" means those acts, services, operations and transactions necessary in the conduct, operation, management and control of a nuclear pharmacy, including, for example:

(a) The compounding, dispensing, labeling and delivery of radiopharmaceuticals;

(b) The participation in radiopharmaceutical utilization reviews; and

(3) "Radiopharmaceutical" means any substance defined as a drug in Section 201(g)(1) of the Federal Food, Drug and Cosmetic Act which exhibits spontaneous disintegration of unstable nuclei with the emission of nuclear particles or photons and includes any of those drugs intended to be made radioactive. This includes nonradioactive reagent kits and nuclide generators which are intended to be used in the preparation of any such substance, but does not include drugs which are carbon-containing compounds or potassium-containing compounds or potassium-containing salts which contain trace quantities of naturally occurring radionuclides.

(4) "Radiopharmaceutical quality assurance" means the performance of appropriate chemical, biological and physical tests on radiopharmaceuticals and the interpretation of the resulting data to determine their suitability for use in humans and animals, and it shall include, for example, internal test assessment, authentication of product history and the keeping of proper records.

(5) "Internal test assessment" means conducting those tests necessary to insure the integrity of the test.

(6) "Authentication of product history" means identifying the purchase source, the ultimate use or disposition and any intermediate handling of any components of a radiopharmaceutical.

(7) "Authorized practitioner" means a practitioner duly authorized by applicable federal and state law to possess, use and administer radiopharmaceuticals. This person shall be named on a radioactive materials license issued by the Radiation Control Branch of the Cabinet for Human Resources.

(8) "Designated agent" means an individual who shall be under the direct supervision of an authorized practitioner and who shall be authorized to communicate that practitioner's instructions to a nuclear pharmacy.

(9) "Nuclear pharmacist" means a pharmacist licensed to practice in the Commonwealth of Kentucky and who meets minimal standards of training and experience in the handling of radioactive materials in accordance with the requirements of the Radiation Control Branch of the Cabinet for Human Resources.

(10) "Direct supervision" means that the supervising nuclear pharmacist shall be physically present in the general area or location where the supportive personnel are performing supportive duties and shall conduct in-process and final checks.

Section 2. General Requirements for Pharmacies Providing Radiopharmaceutical Services.

(1) A license to operate a pharmacy providing radiopharmaceutical services shall only be issued to a pharmacy operating under the direct supervision of a nuclear pharmacist. All personnel performing tasks in the preparation and distribution of radioactive drugs shall be under the direct supervision of a nuclear pharmacist. A nuclear pharmacist shall be responsible for all operations of the licensed area and in personal attendance at all times that the pharmacy is open for business.

(2) Nuclear pharmacies may be exempted from the general space requirements for pharmacies, but shall:

(a) Have adequate space, commensurate with the scope of services required and meeting Radiation Control Branch, Cabinet for Human Resources, requirements established for all radioactive material licensees in the Commonwealth;

(b) Be separate from the pharmacy areas for nonradioactive drugs;

(d) Have a radioactive storage and decay area.

(3) The process used for handling radioactive materials by any license holder shall involve appropriate procedures for the purchase, receipt, storage, manipulation, compounding, distribution and disposal of radioactive materials as approved in a Kentucky radioactive materials license. In order to ensure the public health and safety in this respect, a nuclear pharmacy shall first meet the following general environmental requirements where the handling of radiopharmaceutical materials takes place:

(a) Proper ventilation so that radioactive materials cannot be airborne from that environment to other nonoccupationally unrestricted areas;

(b) Proper location so that the receipt and dispersal of radioactive materials do not result in inadvertent and undesired contamination of other nonoccupationally labeled areas; and

(c) Proper design to allow radioactive materials to be contained in given areas to ensure adequate safety and protection to personnel working in or near them and to ensure proper operation of the corresponding assay equipment.

(4) Nuclear pharmacies shall maintain records of acquisition and disposition of all radioactive drugs in accordance with administrative regulations of the Radiation Control Branch of the Cabinet for Human Resources.

(5) A nuclear pharmacy, upon receiving an oral prescription for a radiopharmaceutical, shall immediately have the prescription reduced to writing or recorded in a data processing system, which writing or record shall contain at least the following:

(a) The name of the authorized user or his agent;

(b) The date of distribution and the time of administration of the radiopharmaceutical;

(d) The name of the radiopharmaceutical;

(e) The dose or quantity of the radiopharmaceutical;

(f) The serial number assigned to the order for the radiopharmaceutical;

(g) Any specific instructions; and

(h) The patient's name, whenever an order is for a therapeutic or blood-product radiopharmaceutical.

(6) The immediate outer container (shield) of a radioactive drug to be dispensed shall be labeled with the:

(a) Standard radiation symbol;

(b) Words, "Caution-Radioactive Material";

(d) Chemical form;

(e) Amount of radioactive material contained in millicuries or microcuries;

(f) Volume in cubic centimeters, if a liquid;

(g) Requested calibration time for the radioactivity contained;

(h) Name, address, and telephone number of the nuclear pharmacy;

(i) Prescription number;

(j) Date; and

(k) Space for patient's name.

(7) The immediate container shall be labeled with the:

(a) Standard radiation symbol;

(b) Words, "Caution-Radioactive Material";

(d) Name of the radiopharmaceutical.

(8) Nuclear pharmacies shall only dispense radiopharmaceuticals which comply with acceptable professional standards of radiopharmaceutical quality assurance.

(9) A nuclear pharmacist may transfer to authorized persons, in accordance with the provisions of a Kentucky radioactive materials license, radioactive materials not intended for drug use and radiopharmaceuticals intended for individual patient use.

(10) Nuclear pharmacies shall comply with all applicable laws and regulations of federal and state agencies including those laws and regulations governing nonradioactive drugs. For nuclear pharmacies handling radiopharmaceuticals exclusively, the Kentucky Board of Pharmacy may waive regulations pertaining to pharmacy licenses for nonradiopharmaceuticals which requirements do not pertain to the practice of nuclear pharmacy.

(11) Radioactive drugs are to be dispensed only upon a nonrefillable prescription order from a Radiation Control Branch, Cabinet for Human Resources, licensed medical practitioner (or the designated agent) authorized to possess, use and administer radiopharmaceuticals.

(12) Prescription orders for delivery of radioactive drugs for use in the medical practice of a Radiation Control Branch, Cabinet for Human Resources, licensed medical practitioner may be placed on a telephone answering and recording device, only if the practitioner (or the designated agent) is identified in such a manner that is clearly recognized by the nuclear pharmacist dispensing the radioactive drug.

(13)

(a) A nuclear pharmacist in charge of a nuclear pharmacy shall have the authority to delegate to any qualified and properly trained person or persons, acting under his direct supervision, any nuclear pharmacy act which a reasonable and prudent nuclear pharmacist would find is within the scope of sound pharmaceutical judgment to delegate.

(b) The delegation shall only occur if, in the professional opinion of the delegating nuclear pharmacist-in-charge, the act may be properly and safely performed by the person to whom the act is delegated.

(d) Persons to whom nuclear pharmacy acts are delegated shall not hold themselves out to the public as being authorized to practice pharmacy.

Section 3. Minimum Requirements for Space, Equipment, Supplies, and Library.

(1) Each nuclear pharmacy must meet the following requirements for space:

(a) The area for the storage, compounding, and dispensing of radioactive drugs shall be completely separate from pharmacy areas for nonradioactive drugs;

(b) Hot lab and storage area shall be a minimum of 120 square feet; and

(2) Each nuclear pharmacy shall be equipped with at least the following items of equipment:

(a) Dose calibrator;

(b) Refrigerator;

(d) Well scintillation counter;

(e) Microscope;

(f) Chromatagraphic apparatus or comparable means of effectively assuring tagging efficiency;

(g) Portable radiation survey meter; and

(h) Other equipment deemed necessary for radiopharmaceutical quality assurance for products compounded or dispensed as shall be determined by the Radiation Control Branch, Cabinet for Human Resources, and the Kentucky Board of Pharmacy.

(3) Each nuclear pharmacy shall have on the premises current editions or revisions of the following reference materials:

(a) United States Pharmacopedia-National Formulary with supplements;

(b) State statutes and administrative regulations relating to pharmacy;

(d) Text relating to the practice of nuclear pharmacy and radiation safety.

Section 4. Radiopharmaceutical Quality Assurance. The holder of a nuclear pharmacy license shall be responsible for the radiopharmaceutical quality assurance of all radiopharmaceuticals, including biologicals, dispensed or manufactured.

History

RELATES TO: KRS Chapter 315
STATUTORY AUTHORITY: KRS 315.191(1)
NECESSITY, FUNCTION, AND CONFORMITY: The Kentucky Board of Pharmacy shall be responsible for imposing minimum standards in all settings where drug products are dispensed and to ensure the safety of all drug products provided to the citizens of the Commonwealth. This administrative regulation applies to pharmacies as defined in KRS 315.010. The requirement of these administrative regulations are in addition to, and not in substitution of, other applicable administrative regulations promulgated by the Cabinet for Human Resources for radioactive materials and applicable administrative regulations promulgated by the Kentucky Board of Pharmacy.
History: 201 KAR 002:215. 19 Ky.R. 1462; 1742; eff. 1-27-1993; Crt eff. 4-17-2019; Crt eff. 12-5-2025.

201 KAR 2:220 Collaborative care agreements {#sec-201-kar-2-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:220}

Section 1. A collaborative care agreement shall:

(1) Be in writing;

(2) Be signed and dated by:

(a) Each practitioner; and

(b) Each pharmacist who is a party to the agreement;

(3) Provide the method for referral of patients to be managed under the agreement; and

(4) State the method for termination of the agreement.

Section 2. The following information relating to a patient managed under the collaborative care agreement shall be maintained by the pharmacist:

(1) Name;

(2) Address and phone number;

(3) Emergency notification contact;

(4) Date of birth, weight, height, and sex;

(5) Medical history, including:

(a) Known diseases;

(b) Known allergies;

Prescription medications; and
Nonprescription medications;

(d) Current prescription regimen; and

(e) Current nonprescription regimen;

(6) Lab tests ordered, including results of lab tests;

(7) Assessment of patient outcomes;

(8) Notes relating to the care and course of therapy of the patient; and

(9) Documentation of patient consent to receive care under the collaborative care agreement.

Section 3. Documentation relating to the care and course of therapy of the patient pursuant to the agreement shall be documented in the patient's record maintained by the pharmacist, provided to the collaborating practitioner, and be readily available to other healthcare professionals providing care to the patient.

Section 4. A collaborative care agreement shall comply with KRS 315.010(5) and contain the following information:

(1) Protocol, criteria, standing orders, or other method by which services are authorized;

(2) The method established for the assessment of patient outcomes, if appropriate; and

(3) Lab tests that may be ordered.

Section 5. A collaborative care agreement and information and records required by the provisions of this administrative regulation shall be maintained:

(1) At the pharmacist's practice site; and

(2) For at least five (5) years after the termination of the agreement.

History

RELATES TO: KRS 315.010(5), 315.121, 315.040(3), 315.191(1)(a)
STATUTORY AUTHORITY: KRS 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the Board of Pharmacy to promulgate administrative regulations to regulate and control matters relating to pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers. This administrative regulation establishes minimum requirements for the development and maintenance of collaborative care agreements between pharmacist and practitioner.
History: 23 Ky.R. 3125; Am. 3807; 4109; eff. 6-16-1997; 34 Ky.R. 2421; eff. 8-1-2008; 42 Ky.R.458; 1548; 1710; eff. 12-16-2015; 50 Ky.R. 2091; eff. 10-23-2024.

201 KAR 2:225 Special limited pharmacy permit – Medical gas {#sec-201-kar-2-225 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:225}

Section 1. Definitions.

(1) "Medical gases" means gases (including liquefied gases) classified by FDA as drugs or devices that are used for medical applications and which may be stored and administered through the use of Medical Gas Related Equipment, which may or may not be required under Federal or State law for the immediate container to bear the label, "Rx only" or "Caution: Federal or State law prohibits dispensing without a prescription."

(2) "Special limited pharmacy permit" means a permit issued to a pharmacy that provides miscellaneous specialized pharmacy service and functions.

Section 2. General Requirements.

(1)

(a) An applicant for a special limited pharmacy permit for medical gases shall comply with the requirements of 201 KAR 2:180, except Section 5 and 201 KAR 2:205, except that the pharmacist-in-charge designated on the special permit shall be exempt from the requirements of 201 KAR 2:205, Section 2(2).

(b) The pharmacist-in-charge shall review the records and do an onsite visit of the special limited pharmacy permit for medical gases not less than once each quarter.

(2) An applicant for a special limited pharmacy permit for medical gases shall prepare and adopt a policy and procedures manual that sets forth a detailed description of how the:

(a) Operation will comply with applicable federal, state, or local laws or administrative regulations; and

(b) Licensee will maintain the premises so that the medical gas remains secure and complies with applicable compendial monographs of official pharmacopoeias.

(3) An applicant for a special limited pharmacy permit for medical gases shall be inspected by the board prior to the issuance of the license.

Section 3. Qualifications for License.

(1) The board shall consider the following in reviewing the qualifications of an applicant for a special limited pharmacy permit for medical gases:

(a) The applicant's experience in the sale or distribution of prescription drugs, including controlled substances;

(b) A felony conviction of the applicant under federal, state, or local laws;

A special limited pharmacy permit for medical gases; or
A federal or state medical assistance program;

(d) Suspension or revocation of an applicant's license or permit by federal, state, or local government; and

(e) Compliance with requirements under a previously granted license or permit.

(2) The board shall deny an application for a special limited pharmacy permit for medical gases, if an applicant has:

(a) Been convicted for a violation of federal, state, or local laws relating to:

The practice of pharmacy;
Drugs; or
Federal or state medical assistance programs.

(b) Furnished false or fraudulent material in the application for a special limited pharmacy permit for medical gases;

Board; or
Federal, state, or local law enforcement officials;

(d) Failed to comply with applicable federal, state, and local laws and regulations relating to medical gas; or

(e) Failed to provide appropriate land, buildings, and security necessary to properly carry on the business described in his or her application.

Section 4. License Fees; Renewals. An applicant shall submit:

(1) An initial or renewal application for a special limited pharmacy permit for medical gases on either the:

(a)

Application for Special Limited Pharmacy Permit – Medical Gas; or
Application for Special Limited Pharmacy Permit – Medical Gas Renewal; or

(b)

Application for Nonresident Special Limited Pharmacy Permit – Medical Gas; or
Application for Nonresident Special Limited Pharmacy Permit – Medical Gas Renewal; and

(2) As appropriate, the:

(a) Initial application fee established by 201 KAR 2:050, Section 1(8); or

(b) Renewal fee established by 201 KAR 2:050, Section 1(9).

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Special Limited Pharmacy Permit – Medical Gas", June 2023; and

(b) "Application for Special Limited Pharmacy Permit – Medical Gas Renewal", June 2023;

(d) "Application for Nonresident Special Limited Pharmacy Permit – Medical Gas Renewal", September 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, 125 Holmes Street, Suite 300, Frankfort, Kentucky 40601-8204, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/Businesses/Pages/Pharmacy.aspx.

History

RELATES TO: KRS 217.015(11), 315.010(9), 315.020, 315.035, 315.191(1)(a)
STATUTORY AUTHORITY: KRS 315.020, 315.035, 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists and pharmacies. This administrative regulation establishes, consistent with the requirements of KRS 315.191(1)(a), minimum requirements for the permitting of those entities that distribute medical gases.
History: 23 Ky.R. 4021; 24 Ky.R. 329; eff. 7-16-1997; 45 Ky.R. 3456, 46 Ky.R. 412; eff. 8-19-2019; 47 Ky.R. 362, 1366; eff. 2-4-2021; 48 Ky.R. 2820; 49 Ky.R. 321; eff. 8-25-2022; 50 Ky.R. 101, 1058; eff. 12-13-2023.

201 KAR 2:230 Special limited pharmacy permit – Central Fill {#sec-201-kar-2-230 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:230}

Section 1. Definition. "Central fill pharmacy" means a pharmacy that provides packaging, labeling, and delivery of a prescription product to another pharmacy for the purpose of the dispensing of a valid prescription.

Section 2. The central fill pharmacy shall:

(1) Either:

(a) Have a written contract with the pharmacy which has custody of the original prescription authorization for dispensing; or

(b) Be under common ownership with that pharmacy;

(2) Prepare the label for the prescription product which clearly identifies the name and address of the pharmacy preparing the product for dispensing and the name and address of the pharmacy that will receive the prepared product for dispensing to the patient;

(3) In addition to its obligation to maintain complete and accurate records of drug products received and otherwise disposed of, maintain complete and accurate records of the preparation of the prescription product, including the name of the:

(a) Pharmacist who verified the accuracy of the prescription product;

(b) Pharmacy preparing the prescription product; and

(4) Provide the originating pharmacy with written information that describes how a patient may contact the central fill pharmacy if the patient has any questions about the preparation of the prescription; and

(5) Be responsible for ensuring that the order has been properly prepared and verified by a pharmacist.

Section 3. The pharmacy to which a prepared centrally filled prescription product is delivered shall:

(1) In addition to its obligation to maintain complete and accurate records of drug products received and otherwise disposed of, maintain complete and accurate records of the receipt and dispensing of the centrally filled prescription product, including the name of the:

(a) Pharmacist who verified the accuracy of the prescription product prior to its dispensing; and

(b) Pharmacy preparing the prescription product;

(2) Be responsible for ensuring that the centrally filled prescription product has been properly prepared, packaged, and labeled;

(3) Provide the patient with written information that described how a patient may contact either:

(a) The central fill pharmacy if the patient has any questions about the preparation of the prescription; or

(b) The dispensing pharmacy if the patient has any questions about the use of the medication; and

(4) Be responsible for adherence to the requirements of 201 KAR 2:210.

Section 4. Effective January 1, 2020, a pharmacist who provides a pharmacy service on a prescription dispensed in Kentucky shall be licensed in Kentucky.

History

RELATES TO: KRS 315.010(9), 315.020, 315.035, 315.191(1)(a)
STATUTORY AUTHORITY: KRS 315.020, 315.035, 315.0351, 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists and pharmacies. KRS 315.020 requires that prescription drugs, medicines, and pharmaceuticals be dispensed or manufactured by a licensed pharmacist. KRS 315.035 and 315.0351 require that all pharmacies hold a permit issued by the board. This administrative regulation establishes, consistent with the requirements of KRS 315.191(1)(a), minimum requirements for the permitting of those pharmacies that package, label, and distribute central fill prescriptions to pharmacies in the Commonwealth.
History: 26 Ky.R. 1735; 2238; eff. 6-12-2000; 35 Ky.R. 1851; eff. 3-11-2009; 46 Ky.R. 2292; 47 Ky.R. 41; eff. 7-29-2020.

201 KAR 2:240 Special limited pharmacy permit – Charitable {#sec-201-kar-2-240 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:240}

Section 1. Definitions.

(1) "Charitable organization" means an organization qualified as a charitable organization pursuant to Section 501(c)(3) of the Internal Revenue Code, 26 U.S.C. 501(c)(3).

(2) "Legend drug sample" means an unopened package of a manufacturer's legend drug product that has been distributed to either a practitioner or the charitable pharmacy in accordance with the provisions of the Prescription Drug Marketing Act of 1987, 21 C.F.R. Part 203.

(3) "Qualified indigent patient" means a patient of the charitable pharmacy that has been screened and approved by the charitable organization as meeting the organization's mission of providing pharmaceutical care to those who are without sufficient funds to obtain needed legend drugs.

(4) "Special limited pharmacy permit" means a permit issued to a pharmacy that provides specialized pharmacy services, such as dispensing legend drugs, and counseling patients.

Section 2.

(1) A charitable pharmacy:

(a) Shall comply with all pharmacy permit requirements except those specifically exempted by the board pursuant to paragraph (b) of this subsection; and

(b) May petition the board in writing to be exempted from those pharmacy permit requirements that do not pertain to the operation of that charitable pharmacy.

(2) The charitable pharmacy only shall dispense prescription legend drug samples or prescription legend drugs to qualified indigent patients of the pharmacy.

(3) The charitable pharmacy shall not charge any fee for the dispensing of prescription legend drug samples or prescription legend drugs to qualified indigent patients of the pharmacy.

(4) A charitable pharmacy may accept prescription legend drugs in their unbroken original packaging from pharmacies, wholesalers, or manufacturers, provided appropriate records of receipt and dispensing are maintained.

(5) A charitable pharmacy shall not:

(a) Accept controlled substances from pharmacies, wholesalers, or manufacturers; or

(b) Dispense controlled substances.

(6) A pharmacy that requests a special limited pharmacy permit - charitable shall submit to the board for prior approval, a plan describing the method by which the charitable pharmacy and the pharmacy shall maintain a separate and distinct prescription drug stock. The failure of either pharmacy to follow the plan shall result in revocation of the special limited pharmacy permit - charitable and the pharmacy permit.

Section 3. License Fees; Renewals. An applicant shall submit:

(1) An initial or renewal application for a special limited pharmacy permit - charitable pharmacy on either the:

(a)

Application for Resident Special Limited Pharmacy Permit – Charitable Pharmacy; or
Application for Resident Special Limited Pharmacy Permit – Charitable Pharmacy Renewal; or

(b)

Application for Non-Resident Special Limited Pharmacy Permit – Charitable Pharmacy; or
Application for Non-Resident Special Limited Pharmacy Permit – Charitable Pharmacy Renewal; and

(2) As appropriate, the:

(a) Initial application fee established by 201 KAR 2:050, Section 1(8); or

(b) Renewal fee established by 201 KAR 2:050, Section 1(9) and (10).

Section 4. Incorporation By Reference.

(1) The following material is incorporated by reference:

(a) "Application for Resident Special Limited Pharmacy Permit – Charitable Pharmacy", June 2023;

(b) "Application for Resident Special Limited Pharmacy Permit – Charitable Pharmacy Renewal", June 2023.

(d) "Application for Non-Resident Special Limited Pharmacy Permit—Charitable Pharmacy Renewal", September 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, 125 Holmes Street, Suite 300, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/Businesses/Pages/Pharmacy.aspx.

History

RELATES TO: KRS 315.035
STATUTORY AUTHORITY: KRS 315.020, 315.030, 315.035, 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations to prescribe the criteria for obtaining a pharmacy permit to dispense legend drugs and the procedures for the safe dispensing of legend drugs to citizens of the Commonwealth. This administrative regulation identifies the manner and procedure by which a charitable organization may obtain a pharmacy permit and dispense legend drugs in the Commonwealth.
History: 27 Ky.R. 254; 739; eff. 9-11-2000; 45 Ky.R. 3458; 46 Ky.R. 413; eff. 8-19-2019; 47 Ky.R. 125, 1367; eff. 2-4-2021; 50 Ky.R.103, 1059; eff. 12-13-2023.

201 KAR 2:250 Pharmacist Recovery Network Committee {#sec-201-kar-2-250 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:250}

Section 1. The Board of Pharmacy's Pharmacist Recovery Network Committee (PRNC) consultant shall be a pharmacist licensee of the board. The consultant shall assist the Case Review Panel (CRP) and the PRNC in carrying out their respective responsibilities. This shall include working with the board's inspectors and investigators to determine if a pharmacist or pharmacist intern is in fact impaired.

Section 2. If a pharmacist or pharmacist intern self-reports impairment as a result of the misuse or abuse of alcohol or drugs, or both; or if the board receives a legally sufficient complaint alleging that a pharmacist or pharmacist intern is impaired as a result of the misuse or abuse of alcohol or drugs, or both, and if there is no other alleged violation of state pharmacy law against the pharmacist or pharmacist intern other than impairment exists, the reporting of any impairment information to the board shall be forwarded to the consultant and shall not constitute grounds for discipline, if the PRNC finds the pharmacist or pharmacist intern has:

(1) Acknowledged the impairment problem;

(2) Voluntarily enrolled in an appropriate, approved treatment program;

(3) Voluntarily withdrawn from practice or limited the scope of practice as required by the consultant, in each case, until the PRNC is satisfied the licensee has successfully completed an approved treatment program; and

(4) Executed releases for medical records, authorizing the release of all records of evaluations, diagnoses, and treatment of the licensee, including records of treatment for emotional or mental conditions, to the consultant. The consultant shall not make copies or reports of records that do not regard the issue of the licensee's impairment and his or her participation in a treatment program.

Section 3.

(1) A treatment provider shall disclose to the consultant or board if applicable all information in its possession regarding the issue of a pharmacist's or pharmacist intern's impairment and participation in the treatment program. Failure of the treatment provider to provide information to the consultant shall be a basis for the withdrawal of the use of the program or provider.

(2) If in the opinion of the consultant or PRNC, an impaired pharmacist or pharmacist intern has not progressed satisfactorily in a treatment or recovery program, all information regarding the issue of a pharmacist's or pharmacist intern's impairment and participation in a treatment or recovery program in the consultant's possession shall be disclosed to the board. That disclosure shall constitute a complaint.

Section 4. All information concerning a pharmacist or pharmacist intern held by the consultant, PRNC, CRP, or board shall remain confidential.

Section 5.

(1) The PRNC shall be comprised of eleven (11) members. The members shall include:

(a) The President of the Board of Pharmacy;

(b) The Chair, who shall be the consultant of the PRNC;

(d) Eight (8) other members, of which seven (7) shall be pharmacists and one (1) shall be a citizen member.

(2)

(a) All members shall have the same rights, which include voting privileges.

(b) A member of the PRNC shall not be on the board, except the President of the Board.

(c) Any criminal conviction or disciplinary action by a licensure board against a proposed member shall be reported to the board prior to consideration for appointment.

(d) There may be no more than four (4) members in successful recovery on the PRNC.

(e) A pharmacist under a Pharmacist Recovery Network Agreement shall not serve on the PRNC.

(3)

(a) A board-approved PRNC member may be appointed a maximum of three (3), four (4) year terms or a total of twelve (12) years.

(b) A PRNC member shall not serve more than (2) terms consecutively.

(d) The President of the Board, the PRNC Consultant, and the Executive Director of the Board shall be permanent members of the PRNC.

(e) Membership of the PRNC shall be selected by the board from a list of qualified candidates submitted by an interested individual or entity.

(4) A member of the PRNC who becomes impaired, relapses, has any criminal conviction, or has any disciplinary action by a licensure board shall immediately resign from the PRNC.

(5) The board by majority vote, with the recusal of the President of the Board, may remove a member of the PRNC for any of the following reasons:

(a) Refusal or inability of a committee member to perform duties as a member of the committee in an efficient, responsible, and professional manner;

(b) Misuse of the committee by a member to obtain personal, pecuniary, or material gain or advantage for the member or others; and

Section 6.

(1) PRNC meetings are confidential. All PRNC information, interviews, reports, statements, memoranda, or other documents furnished to or produced by the PRNC, all communications to or from the committee, and all proceedings, findings, and conclusions of the committee, including those relating to intervention, treatment, or rehabilitation, that in any way pertain or refer to a pharmacist or pharmacist intern who is or may be impaired shall be privileged and confidential pursuant to KRS 315.126. In accordance with KRS 61.810(k), any meeting which is required by state (or federal) law to be conducted in private is an exception to the open meetings requirements. The PRNC shall publish its meeting schedule and a redacted meeting agenda, but the meetings shall remain confidential and shall not be open to the public.

(2) Meeting records are confidential. Pursuant to KRS 315.126(7), all PRNC records and proceedings that pertain or refer to a pharmacist or pharmacist intern who is or may be impaired shall be privileged and confidential, used by the committee and its members only in the exercise of the proper function of the PRNC, shall not be considered public records and shall not be subject to court subpoena, discovery, or introduction as evidence in any civil, criminal, or administrative hearing, except as required by the KRS 315.126(8).

History

RELATES TO: KRS 315.121(1)(d)
STATUTORY AUTHORITY: KRS 61.810(k), 315.126(3), (6) ,(7), 315.191(1)(a)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.126(1) requires the Board of Pharmacy to establish a pharmacy recovery network committee (PRNC). KRS 315.126(3) authorizes the board to promulgate administrative regulations to implement KRS 315.126. This administrative regulation establishes minimum requirements for the establishment and operation of the PRNC and specifies how the board's PRNC consultant works with the board in intervention, evaluating, and treating a pharmacist or pharmacist intern, and providing for continuing care and monitoring by the consultant through a treatment provider.
History: 201 KAR 002:250. 28 Ky.R. 1517; 1793; eff. 2-7-2002; 33 Ky.R. 4201; 34 Ky.R. 229; eff. 8-16-2007; Crt eff. 4-17-2019; 52 Ky.R. 1180, 1683; eff. 6-16-2026.

201 KAR 2:260 Automated Pharmacy System in residential hospice facilities {#sec-201-kar-2-260 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:260}

Section 1. Definitions.

(1) "Automated Pharmacy System" is defined by KRS 315.295(1)(a).

(2) "Residential Hospice Facility" is defined by KRS 315.295(1)(b).

Section 2. Responsibility. The pharmacist-in-charge of a pharmacy utilizing an automated pharmacy system shall be responsible for:

(1) Ensuring that the automated pharmacy system is in good working order and accurately dispenses the correct strength, dosage form, and quantity of drug prescribed and complying with the recordkeeping and security safeguards pursuant to Section 3 of this administrative regulation;

(2) Ensuring medications are reviewed by a pharmacist prior to access;

(3) Implementing an ongoing quality assurance program that monitors performance of the automated system, which is evidenced by written policies and procedures;

(4) Notifying the board with prior written notice of the installation or removal of an automated pharmacy system. This notification shall include the:

(a) Name and address of pharmacy;

(b) Initial location of the automated pharmacy system. The automated pharmacy system may thereafter be relocated within the pharmacy or health care facility without providing subsequent notification to the board; and

(5) Assigning, discontinuing, or changing personnel access to the system;

(6) Ensuring that access to the medications comply with state and federal laws; and

(7) Ensuring that the automated pharmacy system is stocked accurately and that the automated pharmacy system stock is checked monthly in accordance with established written policies and procedures, including the:

(a) Accuracy;

(b) Integrity; and

Section 3. Standards. An automated pharmacy system shall comply with the following provisions:

(1) A pharmacy shall maintain on-site the following documentation relating to an automated pharmacy system:

(a) Name and address of the pharmacy or inpatient health care facility where the system is being used;

(b) The automated pharmacy system manufacturer's name, model, and serial number;

(d) Written quality assurance procedures to determine continued appropriate use of the system; and

(e) Written policies and procedures for system operation, safety, security, accuracy, access, and malfunction.

(2) All written policies and procedures shall be maintained in the pharmacy responsible for the automated pharmacy system.

(3) An automated pharmacy system shall maintain adequate security systems and procedures, evidenced by written policies and procedures to prevent unauthorized access to maintain patient confidentiality and to comply with federal and state laws.

(4) Records and data kept by the automated pharmacy system shall meet the following requirements:

(a) All events involving the contents of the automated pharmacy system shall be recorded electronically; and

(b) Records shall be maintained by the pharmacy and be available to the board and shall include the:

The time and location of the system accessed;
Identification of the individual accessing the system;
Type of transaction;
Name, strength, dosage form, and quantity of drug accessed;
Name of the patient for whom the drug was ordered;
The prescription number;
The name of the prescriber; and
All events involving user database modifications shall be recorded electronically and maintained.

(5) The stocking of all medications in the automated pharmacy system shall be done by a pharmacist, pharmacist intern, or pharmacy technician pursuant to 201 KAR 2:045.

(6) A record of medications stocked into an automated pharmacy system shall be maintained for five (5) years and shall include identification of the person stocking and pharmacist checking for accuracy.

(7) All containers of medications stored in the automated pharmacy system shall be packaged and labeled in accordance with federal and state laws.

(9) The automated pharmacy system shall provide a mechanism for securing and accounting for medications returned to the system and accounting for wasted medications in accordance with federal and state laws.

History

RELATES TO: KRS 216B.195, 315.010(9), 315.020, 315.035, 315.295, 315.300
STATUTORY AUTHORITY: KRS 315.035, 315.191(1)(a), 315.295(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.020(1) requires that prescription drugs, medicines, and pharmaceuticals be dispensed or manufactured by a licensed pharmacist. KRS 315.295(4) requires the board to promulgate administrative regulations to implement requirements relating to an automated pharmacy system in a residential hospice facility. This administrative regulation establishes the standards for the operation of this type of system.
History: 201 KAR 002:260. 33 Ky.R. 3305; 3602; eff. 6-20-2007; Crt eff. 4-17-2019; 52 Ky.R. 1182, 1684; eff. 6-16-2026.

201 KAR 2:270 Expungement {#sec-201-kar-2-270 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:270}

Section 1. Definition. "Expungement" means:

(1) The affected records shall be sealed;

(2) The proceedings to which they refer shall be deemed not to have occurred; and

(3) The affected party may properly represent that no record exists regarding the matter expunged.

Section 2. Minor Violations and Expungement Procedure.

(1) The following violations shall be considered minor in nature:

(a) Any unlicensed or unpermitted practice occurring no more than seven (7) days after the expiration of the license or permit due to failure to timely renew a license or permit;

(b) Failure to timely obtain required continuing education; and

(d) At the discretion of the board, any other offense:

Not involving the diversion of controlled substances;
Not demonstrating a serious inability to practice the profession or to assist in the practice of pharmacy;
Not adversely affecting public health, safety, or welfare;
Not resulting in economic or physical harm to a person; and
Not creating a significant threat of economic or physical harm.

(2) In accordance with KRS 315.121(6), a licensee, registrant, or permit holder seeking expungement of a record of a disciplinary action resulting from a violation designated in subsection (1) of this section shall:

(a) Not have been the subject of a subsequent violation of the same nature for a period of three (3) years after the date of completion of disciplinary sanctions imposed for the violation sought to be expunged; and

(b) Submit a written request to the board.

(3) The board shall consider each request and shall, if the conditions of subsection (2) of this section are satisfied, expunge every record under its custody relating to the subject disciplinary order.

(4) The expungement of a record under this administrative regulation is limited to the removal of records in the board's custody and shall not guarantee expungement of a record previously reported to the National Practitioner's Data Bank.

History

RELATES TO: KRS 315.121(6), 315.191(1)(a)
STATUTORY AUTHORITY: KRS 315.121(6), 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations relating to subject matters governed by KRS Chapter 315. KRS 315.121(6) requires the board to promulgate administrative regulations to establish violations that are considered minor and subject to expungement. This administrative regulation establishes the violations considered minor and the criteria and procedure for expungement.
History: 29 Ky.R. 2196; 2447; eff. 4-11-2003; 45 Ky.R. 3460, 46 Ky.R. 414; eff. 8-19-2019; 48 Ky.R. 100, 1112; eff. 10-20-2021.

201 KAR 2:280 Prescription dispensing for formulary Compliance {#sec-201-kar-2-280 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:280}

Section 1. Dispensing.

(1) A pharmacist may dispense a therapeutic equivalent drug product under the following conditions:

(a) The ordering practitioner has indicated "formulary compliance approval" on the prescription, in one of the following ways:

In the practitioner's own handwriting or an equivalent designation within an electronic system; or
By checking a "formulary compliance approval" box on a preprinted form; or
By indicating a "formulary compliance approval" through a note, prescriber comment or other designation within an electronic prescription system.

(b) The pharmacist receives a formulary change as a consequence of the patient's third-party plan; and

(c) The product designated as "preferred" by the third-party formulary is in the same therapeutic class as the prescribed drug.

(2) The pharmacist, within twenty-four (24) hours of the formulary compliance substitution, shall notify the ordering practitioner, in an original writing or by facsimile:

(a) That the pharmacist engaged in formulary compliance; and

(b) The therapeutic equivalent drug product that was dispensed.

Section 2. The pharmacist may make adjustments in the quantity and directions to provide for an equivalent dose of the preferred formulary therapeutic alternative.

History

RELATES TO: KRS 217.822, 315.191
STATUTORY AUTHORITY: KRS 315.191(1)(a), (f)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists. KRS 315.191(1)(f) authorizes the board to promulgate administrative regulations to control the storage, retrieval, dispensing, refilling, and transfer of prescription drug orders within and between qualifying pharmacists and pharmacies. This administrative regulation establishes procedural and substantive requirements for dispensing an equivalent drug product pursuant to a practitioner declaration of formulary compliance approval.
History: 201 KAR 002:280. 29 Ky.R. 2197; 2447; eff. 4-11-2003; Crt eff. 4-17-2019; 52 Ky.R. 1184; eff. 6-16-2026.

201 KAR 2:300 Common database {#sec-201-kar-2-300 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:300}

Section 1. Definition. "Common Database" means information shared among pharmacists and pharmacies for the purpose of dispensing medications or providing other forms of pharmacist care to a patient.

Section 2. The use of a common database shall not constitute a transfer as established in 201 KAR 2:165, provided that the following conditions are met:

(1) All pharmacies involved in the transactions pursuant to which the prescription is dispensed shall be under common ownership and utilize a common database;

(2) All pharmacies involved in the transactions pursuant to which the prescription is dispensed and all pharmacies engaging in dispensing functions shall be properly permitted in Kentucky pursuant to KRS 315.035 or 315.0351;

(3) The common database shall maintain a record of all pharmacists, pharmacist interns, and pharmacy technicians involved in the process of dispensing a prescription;

(4) The owner of the common database shall maintain a policy and procedure manual that governs its participating pharmacies, pharmacists, and pharmacy employees and that is available to the board or its agents upon request within five (5) business days and which shall include:

(a) A procedure detailing how each pharmacy and each pharmacist accessing the common database shall comply with applicable federal and state laws, rules, and regulations;

(b) The procedure for maintaining appropriate records for regulatory oversight for tracking a prescription during each stage of the filling and dispensing process, identifying the pharmacists involved in filling and dispensing the prescription and counseling the patient, and responding to any requests for information made by the board;

(c) The policy and procedure for providing adequate security to protect the confidentiality and integrity of patient information; and

(d) A quality assurance program designed to objectively and systemically monitor, evaluate, and improve the quality and appropriateness of patient care through the use of a common database; and

(5) A pharmacist dispensing a prescription shall at all times exercise independent professional judgment and shall be responsible for his or her actions and the professional actions of those individuals the pharmacist is required to supervise.

History

RELATES TO: KRS 315.020, 315.035, 315.0351
STATUTORY AUTHORITY: KRS 315.035, 315.191(1)(a), (f)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.035 and 315.0351 require that prescription drugs, medicines, and pharmaceuticals be dispensed or manufactured by a licensed pharmacist. KRS 315.191(1)(a) and (f) authorize the Kentucky Board of Pharmacy to promulgate administrative regulations pertaining to pharmacies; pharmacists; and the storage, retrieval, dispensing, refilling, and transfer of prescription drug orders. This administrative regulation establishes minimum requirements for prescription drug orders within and between pharmacists and pharmacies.
History: 201 KAR 002:300. 34 Ky.R. 2252; 2390; eff. 6-6-2008; Crt eff. 4-17-2019; 52 Ky.R. 1186; eff. 6-16-2026.

201 KAR 2:311 Compounding drugs for veterinary use {#sec-201-kar-2-311 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:311}

Section 1. The pharmacist shall receive a written, verbal, facsimile, or electronic request for a compounded drug from a practitioner, indicating the formulation, strength, and quantity ordered.

Section 2. A compounded drug containing a controlled substance shall only be compounded for patient specific dispensation from the pharmacy to the ultimate user.

Section 3.

(1) A pharmacist, pharmacist intern, or pharmacy technician may prepare a non-controlled compounded drug to be dispensed for veterinary use or administration that is either institutional or ambulatory, and which does not designate a specific patient for the purpose of direct administration to patients for:

(a) Emergency treatment;

(b) Situations when a time delay would negatively affect a patient outcome; or

(2) The compounded drug shall have a beyond use date.

(3) The veterinary institution or ambulatory unit shall maintain only an emergency stock supply.

(4) A veterinarian or licensed veterinary technician, as defined in KRS 321.441, may administer a compounded drug for veterinary use.

Section 4. Label Requirements. Except as provided for in Section 5, a label shall be generated for the compounded drug and shall include:

(1) The name of the requesting veterinarian;

(2) The designated name and strength of the compounded drug;

(3) The quantity dispensed;

(4) If for a specific patient and the patient is a food producing animal, the withdrawal time;

(5) A lot or batch number of the compounded drug;

(6) The beyond use date for the compounded drug;

(7) The date the compounded drug is dispensed;

(8) The pharmacy's name, address, and telephone number;

(9) Any special storage requirements;

(10) A notation stating "For veterinary use"; and

(11) Any auxiliary label required for the compounded drug.

Section 5.

(1) A non-controlled substance compounded drug shall be dispensed by a veterinarian for emergency take home use when in his or her professional judgment, failure to provide the drug would result in potential harm to the patient.

(2) If dispensed from the veterinary institution or ambulatory unit, a compounded drug prescription for a veterinary patient shall be for up to a 14-day supply in accordance with the veterinarian prescription and dispensation labeling requirements as established in 201 KAR 16:600.

Section 6. The prescription for the compounded drug shall be kept pursuant to 201 KAR 2:170.

History

RELATES TO: KRS 315.191(1)(a), 321.441
STATUTORY AUTHORITY: KRS 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters relating to pharmacists, pharmacist interns, pharmacy technicians, and pharmacies. This administrative regulation establishes requirements for compounding for veterinary use.
History: 46 Ky.R. 3063; 47 Ky.R. 941; eff. 11-19-2020

201 KAR 2:320 Requirements for manufacturers and virtual manufacturers {#sec-201-kar-2-320 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:320}

Section 1. Definitions.

(1) "Component" means any raw material, ingredient, or article intended for use in the manufacture of a drug and drug-related device.

(2) "Drug sample" means a unit of a prescription drug that is not intended to be sold and is intended to promote the sale of the drug.

(3) "Illegitimate Product" is defined by KRS 315.400(11).

(4) "Manufacturer or virtual manufacturer" is defined by KRS 315.010(13).

(5) "Product" means a prescription drug in a finished dosage form for administration to a patient without substantial further manufacturing, such as capsules, tablets, and lyophilized products before reconstitution.

(6) "Relabeler" means:

(a) Any person who owns or operates an establishment that changes the content of the labeling from that supplied from the original manufacturer for distribution under the establishment's own name; and

(b) Does not include establishments that do not change the original labeling, but merely add their own name.

(7) "Repackager" is defined by KRS 315.400(16).

(8) "Suspect product" means a component, prescription drug, or drug-related device for which there is reason to believe that the component, prescription drug, or drug-related device:

(a) Is potentially counterfeit, diverted, or stolen;

(b) Is potentially intentionally adulterated so that the component, prescription drug, or drug-related device may result in serious adverse health consequences or death to humans or animals;

(d) Appears otherwise unfit for distribution so that the component, prescription drug, or drug-related device may result in serious adverse health consequences or death to humans or animals.

Section 2. Requirements.

(1) A manufacturer or virtual manufacturer engaging in manufacturing in the Commonwealth shall apply for a permit from the Board of Pharmacy in accordance with KRS 315.036 and this administrative regulation.

(2) A separate permit shall be required for each facility within the Commonwealth regardless of whether joint ownership or control exists.

(3) An agent or employee of a permit holder shall not be required to obtain a permit under this section if the agent or employee is acting in the usual course of business or employment.

(4) A permit shall not be issued or renewed unless the applicant demonstrates or continues to demonstrate acceptable operational procedures, including:

(a) Adequate operation, maintenance, and storage conditions to ensure proper lighting, ventilation, temperature and humidity control, sanitation, space, and security as per label requirements or official United States Pharmacopoeia (USP) compendium requirements, USP Chapter 659, Packaging and Storage Requirements as incorporated by reference in 201 KAR 2:105. Appropriate manual, electromechanical, or electronic temperature and humidity recording equipment, devices, or logs shall be utilized to document proper storage of components and drugs and drug-related devices;

(b) Separation and quarantine of deteriorated, damaged, outdated, misbranded, adulterated, or otherwise recalled components and drugs and drug-related devices until they are destroyed or returned;

(c) Providing accurate and precise records of all components and drugs and drug-related devices shipped or received including source and recipient, date, quantity, itemized description, and any other information pertinent to the receipt and distribution or disposition; and

(d) Providing proof of registration with the U.S. Food and Drug Administration (FDA), the U.S. Drug Enforcement Administration (DEA), and compliance with all federal, state, and local laws and regulations.

(5) Manufacturers and virtual manufacturers shall comply with all requirements as outlined in the Drug Supply Chain Security Act (DSCSA), 21 U.S.C. 360eee-360eee-4., if applicable.

(6) Manufacturers and virtual manufacturers shall establish a system to:

(a) Quarantine and investigate suspect product to determine if it is illegitimate; and

(b) Notify FDA, the Board of Pharmacy, and the recipient or recipients of illegitimate product, if illegitimate product is found.

(7) All virtual manufacturers shall be exempt from the requirements of subsection(4)(a) and (b) of this Section, and Section 5(1)(a) and (b) and (2)(a) and (b) of this administrative regulation.

Section 3. Qualifications for Permit.

(1) The Board of Pharmacy shall consider, at a minimum, the following factors in reviewing the qualifications of persons who engage in manufacture or virtual manufacture of drugs and drug-related devices within the Commonwealth:

(a) Any convictions of the officers of the applicant under any federal, state, or local laws relating to drugs, including drug samples and controlled substances;

(b) Any felony convictions of the applicant or its officers under federal, state, or local laws;

(c) The applicant's and its officers' past experience in the manufacture or virtual manufacture of drugs and drug-related devices, including drug samples and controlled substances;

(d) The furnishing by the applicant of false or fraudulent material in any application made in connection with drug manufacturing or virtual drug manufacturing;

(e) Suspension or revocation by federal, state, or local government of any license or permit currently or previously held by the applicant or its officers for the manufacture or virtual manufacture of any drugs and drug-related devices, including drug samples and controlled substances;

(f) Compliance with the requirements under any previously granted license or permit, if any; and

(2) The Board of Pharmacy may deny a permit to an applicant if it determines that the granting of that permit would not be in the public interest based on health and safety considerations.

(3) A permit shall not be issued pursuant to this administrative regulation unless the applicant has furnished proof satisfactory to the Board of Pharmacy:

(a) That the applicant is in compliance with all applicable federal, state, and local laws and regulations relating to drugs and drug-related devices; and

(b) That the applicant is equipped as to land, buildings, and security to properly carry on the business described in the application.

(4) A permit issued pursuant to this administrative regulation may be disciplined, suspended, or revoked for failure to comply with the provisions of KRS 315.020, 315.036, 315.400, or this administrative regulation.

(5) No permit shall fail to designate a pharmacist-in-charge.

Section 4. Application, Fees, Renewals.

(1) An application for a permit shall be submitted to the Board of Pharmacy on the Application for a Permit to Operate as a Manufacturer or Virtual Manufacturer.

(2) An application shall be accompanied by the annual fee set forth in 201 KAR 2:050.

(3) An application shall include:

(a) The name, full business address, and telephone number of the applicant;

(b) All trade or business names used by the applicant;

(c) Addresses, telephone numbers, and the names of the persons for the facility used by the permit holder for the storage, handling, and manufacturing or virtual manufacturing of drugs and drug-related devices;

(d) The type of ownership or operation (i.e. partnership, corporation, or sole proprietorship);

(e) The name or names of the owner and operator of the permit holder, including;

If a person, the name and Social Security number of the person;
If a partnership, the name and Social Security number of each partner, and the name of the partnership;
If a corporation, the name, Social Security number and title of each corporate officer and director, the corporate names, and the name of the state of incorporation; and
If a sole proprietorship, the full name and social security number of the sole proprietor and the name of the business entity; and

(f) A list of all licenses and permits issued to the applicant by any other state that authorizes the applicant to manufacture, virtual manufacture or possess drugs and drug-related devices.

(4) All permits shall:

(a) Expire on September 30 following the date of issuance; and

(b) Be:

Renewable annually thereafter upon completion of the Renewal Application to Operate as a Manufacturer or Virtual Manufacturer that is accompanied by the renewal fee set forth in 201 KAR 2:050; and
Nontransferable.

Section 5. Standards.

(1) Facilities.

(a) All facilities in which components and drugs and drug-related devices are labeled, relabeled, packaged, repackaged, stored, held, sold, offered for sale, exposed for sale, or kept for sale shall be of suitable size, construction, and location to facilitate cleaning, maintenance, and proper operations.

(b) All facilities shall meet all applicable federal, state, and local standards. The facility shall quarantine components and drugs and drug-related devices that are outdated, damaged, deteriorated, misbranded, recalled, or adulterated,

(2) Security.

(a) A manufacturer shall be equipped with an alarm system to detect entry after hours.

(b) A manufacturer shall ensure that access from outside the manufacturer's premises is well-controlled and reduced to a minimum. This includes the installation of adequate lighting at the outside perimeter of the premises.

(c) Internal security policies shall be developed to provide reasonable protection against theft and diversion by limiting access to areas where components and drugs and drug-related devices are held to authorized personnel. These policies shall provide protection against tampering with computers or electronic records.

(d) A permit holder shall employ adequate personnel with the education and experience necessary to safely and lawfully engage in the manufacture or virtual manufacture of drugs and drug-related devices.

(e) Lists of officers, directors, managers and other persons in charge of manufacture or virtual manufacture, distribution or disposition, storage, and handling of components and drugs and drug-related devices, including a description of their duties and summary of their qualifications, shall be maintained for purpose of review.

(3) Recordkeeping requirements for companies handling prescription drugs and drug-related devices exempt from the DSCSA.

(a) Inventories and other records regarding the receipt and distribution or disposition of components and drugs and drug-related devices shall be maintained and readily available for inspection or photocopying by the Board of Pharmacy and authorized law enforcement officials for a period six (6) years. These records shall include:

The business name and address of the source of the components and drugs and drug-related devices including the seller or transferor and the address of the location from which the components and drugs and drug-related devices were shipped;
The business name and address to whom components and drugs and drug-related devices were shipped including the purchaser and the address of the location where the components and drugs and drug-related devices were shipped;
The identity and quantity of the components and drugs and drug-related devices received and distributed or disposed of; and
The dates of receipt and distribution or disposition of the components and drugs and drug-related devices.

(b) The manufacturer or virtual manufacturer shall keep production and process control records for a period of six (6) years following completion of manufacturing.

(c) Records described in this section that are kept at the inspection site or that can be readily retrievable within forty-eight (48) hours by computer or other electronic means shall be readily available for authorized inspection during the retention period. Records kept at a central location apart from the inspection site and not electronically retrievable shall be made available for inspection within two (2) working days of a request by the Board of Pharmacy or an authorized official of a federal, state, or local law enforcement agency.

(d) Manufacturers and virtual manufacturers shall maintain an ongoing list of verified persons and businesses with whom they do business.

(e) A permitted manufacturer and virtual manufacturer may sell or distribute drugs and drug-related devices only to the following:

A currently permitted manufacturer or virtual manufacturer;
A currently licensed third-party logistics provider;
A currently licensed wholesaler;
A currently permitted pharmacy;
A currently licensed outsourcing facility;
A currently licensed practitioner;
A currently permitted repackager or relabeler;
A currently licensed hospital, but only for use by or in that hospital pursuant to KRS 217.182(1);
A person in charge of a laboratory, but only for use in that laboratory for scientific and medical research purposes pursuant to KRS 217.182(1); or
Any other appropriately licensed or permitted facility in the jurisdiction in which it is located.

(f) Manufacturers and virtual manufacturers shall maintain a system for the mandatory reporting of any theft, suspected theft, diversion, or other significant loss of any component or drug or drug-related device to the Board of Pharmacy and if applicable the FDA and DEA.

(4) Written policies and procedures, requirements for companies handling prescription drugs and drug-related devices exempt from the DSCSA.

(a) A manufacturer or virtual manufacturer shall establish, maintain, and adhere to written policies and procedures for all operations including production, process controls, receipt, security, storage, inventory, and distribution or disposition of components and drugs and drug-related devices.

(b) There shall be written policies and procedures for identifying, recording, and reporting losses or thefts.

(c) There shall be written policies and procedures to assure that the manufacturer and virtual manufacturer prepares for, protects against, and handles crisis situations that affect the security, operation, and records of the permit holder. These crises shall include fires, floods, or other natural disasters, and situations of local, state, or national emergency.

(d) There shall be written policies and procedures for managing and correcting all errors or inaccuracies in inventories.

(e) There shall be written policies and procedures to assure that any outdated components or drugs or drug-related devices or any components or drugs or drug-related devices with an expiration date that, in the manufacturer's or virtual manufacturer's view, does not allow sufficient time for repacking or resale shall be segregated and shall be prepared for return or otherwise destroyed, and this shall be documented.

(f) There shall be written policies and procedures by which the manufacturer or virtual manufacturer exercises control over the shipping and receiving of all components and drugs and drug-related devices within the operation.

(g) There shall be written policies and procedures for investigating suspect product and reporting illegitimate product to the Board of Pharmacy, FDA, and recipient or recipients of illegitimate product.

(5) Returned, damaged, and outdated drugs and drug-related devices. A manufacturer or virtual manufacturer shall maintain and follow a written procedure to assure the proper handling and disposal of returned components or drugs or drug-related devices. If conditions under which a drug or drug-related device has been returned cast doubt on the drug or drug-related device's safety, identity, strength, quality, or purity, then the drug or drug-related device shall be destroyed, or returned to the supplier, unless examination, testing, or other investigation proves that the drug or drug-related device meets appropriate standards of safety, identity, strength, quality, and purity. In determining whether the conditions under which a drug or drug-related device has been returned cast doubt on the drug or drug-related device's safety, identity, strength, quality, or purity, the manufacturer or virtual manufacturer shall consider, among other things, the conditions under which the drug or drug-related device has been held, stored, or shipped before or during its return and the condition of the drug or drug-related device and its container, carton, or labeling, as a result of storage or shipping.

(6) Handling recalls. A manufacturer or virtual manufacturer shall adopt, maintain, and follow a written policy and procedure for handling recalls and withdrawals of components or drugs or drug-related devices. The policy shall cover all recalls and withdrawals due to:

(a) Any voluntary action on the part of the manufacturer or virtual manufacturer;

(b) The direction of the FDA, or any other federal, state, or local government agency; and

(7) Procedures.

(b) A manufacturer or virtual manufacturer shall be subject to the provisions of any applicable federal, state, or local laws or regulations that relate to drug product and drug-related devices salvaging or reprocessing.

Section 6. Pharmacist-in-charge. A manufacturer or virtual manufacturer shall designate a pharmacist-in-charge of the facility. The pharmacist-in-charge shall review security and records by conducting and documenting an on-site inspection not less than quarterly.

Section 7. Violations.

(1) A drug manufacturer or virtual manufacturer shall not distribute prescription drugs and drug-related devices directly to a consumer or a patient.

(2) A manufacturer or virtual manufacturer shall not operate in a manner that endangers the public health.

(3) Violation of any of these provisions shall be grounds for the discipline, suspension, or revocation of the permit.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for a Permit to Operate as a Manufacturer or Virtual Manufacturer", June 2023; and

(b) "Renewal Application to Operate as a Manufacturer or Virtual Manufacturer", June 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601-8024, Monday through Friday, 8 a.m. through 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/Businesses/Pages/Manufacturers.aspx.

History

RELATES TO: KRS 217.182, 315.010, 315.020(2), 315.036, 315.191(1)(a), 315.400, 315.404, 21 U.S.C. 360eee-eee-4
STATUTORY AUTHORITY: KRS 315.020(2), 315.036, 315.191(1), 315.400
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.020, 315.036 and 315.191(1)(a) authorize the board to promulgate administrative regulations to regulate the manufacturers and virtual manufacturers of drugs and drug-related devices. This administrative regulation establishes the requirements for the regulation of manufacturers and virtual manufacturers.
History: 36 Ky.R. 618; 778; eff. 10-21-2009; 47 Ky.R. 127, 1367; eff. 2-4-2021; 50 Ky.R. 104, 1059; eff. 12-13-2023.

201 KAR 2:330 Emergency pharmacy powers {#sec-201-kar-2-330 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:330}

Section 1. If a pharmacist receives a request for a prescription refill with no refill authorized and the pharmacist is unable to readily obtain refill authorization from the prescriber, the pharmacist may dispense an emergency refill of up to a thirty (30) day supply of the medication pursuant to KRS 217.215 if:

(1) The Governor has issued an executive order as authorized by KRS 315.500 for the county where the pharmacy is located;

(2) The pharmacist obtains prescription information from:

(a) A prescription label;

(b) A prescription record within the pharmacy;

(d) A common database;

(e) The patient; or

(f) Any other healthcare record;

(3) The prescription refill is not for a controlled substance;

(4) The prescription is for a maintenance medication;

(5) In the pharmacist's professional judgment, the interruption of therapy may produce undesirable consequences or may be detrimental to the patient's welfare and cause physical or mental discomfort; and

(6) The pharmacist notes on the prescription record the date, the quantity dispensed, and the pharmacist's name or initials.

Section 2.

(1) A pharmacy may temporarily relocate to and operate at a new location if:

(a) It is not safe or practicable to operate a pharmacy at the address listed on the permit; and

(b) The Governor has issued an executive order as authorized by KRS 315.500 for the county where the pharmacy is located.

(2) The pharmacy owner shall:

(a) Maintain confidentiality of patient records;

(b) Secure all drugs; and

(3) The following regulatory requirements shall not apply for this temporary location:

(a) The requirement to maintain references as listed in 201 KAR 2:090, Section 1;

(b) The requirement to maintain equipment as listed in 201 KAR 2:205, Section 2; and

(c) The requirement that the pharmacy be enclosed by a floor to ceiling partition if it is located within a larger establishment which is open to the public for business when a pharmacist is not present.

History

RELATES TO: KRS 39A.100, 315.500
STATUTORY AUTHORITY: KRS 217.215, 315.191, 315.500, 315.505
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.500 establishes the conditions under which a pharmacy may operate temporarily in an area not designated on the pharmacy permit and for pharmacists dispensing emergency supplies of medication pursuant to an executive order issued by the Governor under KRS 39A.100. KRS 315.505 authorizes the Board of Pharmacy to promulgate administrative regulations to allow pharmacists to effectuate the authority granted in KRS 315.500(1). KRS 217.215(3) authorizes pharmacists to dispense prescription refills of medication without prior authorization from the provider during emergency situations as authorized by KRS 315.500 and requires the board to promulgate administrative regulations for implementation. KRS 315.191(1) authorizes the board to promulgate administrative regulations governing pharmacists and pharmacies. This administrative regulation establishes the conditions that authorize a prescription refill when the prescriber is unavailable and for a pharmacy to operate temporarily in an area not designated on the pharmacy permit pursuant to an executive order issued by the Governor under KRS 315.500.
History: 201 KAR 002:330. 37 Ky.R. 951; eff. 10-20-2010; Crt eff. 4-17-2019; 52 Ky.R. 1187, 1685; eff. 6-16-2026.

201 KAR 2:340 Special limited pharmacy permit - clinical practice {#sec-201-kar-2-340 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:340}

Section 1. Definitions.

(1) "Special limited pharmacy permit" means a permit issued to a pharmacy that provides miscellaneous specialized pharmacy service and functions.

(2) "Special limited pharmacy permit - clinical practice" means a permit issued to a pharmacy that maintains patient records and other information for the purpose of engaging in the practice of pharmacy and does not dispense prescription drug orders.

Section 2. General Requirements.

(1) An applicant for a special limited pharmacy permit - clinical practice shall:

(a) Prepare and adopt a policy and procedure manual that is updated annually;

(b) Maintain pharmacy references as outlined in 201 KAR 2:090;

(d) Designate a Pharmacist-in-Charge (PIC) without a required minimum number of hours of physical presence;

(e)

Maintain patient records for five (5) years in a manner that shall provide adequate safeguards against improper manipulation or alteration of the records; and
Abide by the standard that a computer malfunction or data processing services' negligence is not a defense against the charges of improper recordkeeping; and

(f) Maintain patient records by establishing:

A patient record system to be maintained for patients for whom non-dispensing pharmacy services and functions are being performed;
A procedure for obtaining, recording, and maintaining information required for a patient record by a pharmacist, pharmacist intern, or pharmacy technician; and
A procedure for a patient record to be readily retrievable by manual or electronic means.

(2) An applicant for a special limited pharmacy permit - clinical practice shall be exempt from the following:

(a) Prescription equipment requirements of 201 KAR 2:090, Section 1;

(b) Pharmacy sanitation requirements of 201 KAR 2:180; and

Section 3. Pharmacy Closure. The permit holder shall provide notification to the board fifteen (15) days prior to permanent pharmacy closure.

Section 4. License Fees; Renewals. An applicant shall submit:

(1) An initial or renewal application for a special limited pharmacy permit - clinical practice on either the:

(a)

Application for Special Limited Pharmacy Permit - Clinical Practice; or
Application for Special Limited Pharmacy Permit - Clinical Practice Renewal; or

(b)

Non-Resident Application for Special Limited Pharmacy Permit – Clinical Practice; or
Non-Resident Application for Special Limited Pharmacy Permit – Clinical Practice Renewal; and

(2) As appropriate, the:

(a) Initial application fee established by 201 KAR 2:050, Section 1(9); or

(b) Renewal application fee established by 201 KAR 2:050, Section 1(10).

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Special Limited Pharmacy Permit - Clinical Practice", June 2023;

(b) "Application for Special Limited Pharmacy Permit - Clinical Practice Renewal", June 2023;

(d) "Non-Resident Application for Special Limited Pharmacy Permit – Clinical Practice Renewal", September 2023.

History

RELATES TO: KRS 315.010(9), 315.020, 315.035, 315.191(1)(a)
STATUTORY AUTHORITY: KRS 315.035, 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.035 authorizes the Board of Pharmacy issue a permit to a pharmacy. KRS 315.191(1)(a) authorizes the Board of Pharmacy to promulgate administrative regulations with minimum requirements for the permitting of those entities that provide non-dispensing pharmacy services. This administrative regulation establishes the requirements for the Special limited pharmacy permit - Clinical practice.
History: 39 Ky.R. 172; 458; eff. 9-19-2012; 45 Ky.R. 3462, 46 Ky.R. 414; eff. 8-19-2019; 50 Ky.R. 108, 1062; eff. 12-13-2023.

201 KAR 2:360 Opioid antagonist dispensing {#sec-201-kar-2-360 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:360}

Section 1. Certification.

(1) A pharmacist desiring to achieve certification to initiate the dispensing of an opioid antagonist shall complete and submit an Application for Pharmacist Certification for Opioid Antagonist Dispensing, Form 1, with the board and provide the following:

(a) Name;

(b) Address;

(d) Pharmacist license number.

(2) The board shall issue the certification to a pharmacist within thirty (30) days of the receipt of the application.

Section 2. Procedures for Dispensing of an Opioid Antagonist. A pharmacist may initiate the dispensing of an opioid antagonist under the following conditions:

(1) The pharmacist has met the requirements of Section 1 of this administrative regulation;

(2) The pharmacist has received his or her certification;

(3) The pharmacist has a physician-approved protocol that meets the minimum requirements of Section 3 of this administrative regulation; and

(4) The pharmacist documents the dispensing event in the pharmacy management system including:

(a) Documentation as required in 201 KAR 2:171 for the dispensing of prescription medication; and

(b) Documentation that the individual receiving an opioid antagonist was provided with the required training and education pursuant to Section 4 of this administrative regulation, unless the recipient of the opioid antagonist is a person or agency operating a harm reduction program.

(5) A pharmacist may dispense an opioid antagonist to any person or agency who provides training on the mechanism and circumstances for the administration of an opioid antagonist to the public as part of a harm reduction program, regardless of whom the ultimate user of the opioid antagonist may be. The documentation of the dispensing of an opioid antagonist to any person or agency operating a harm reduction program shall satisfy any general documentation or recording requirements.

Section 3. Protocol Minimum Requirements. A physician-approved protocol authorizing a pharmacist to initiate the dispensing of an opioid antagonist shall contain:

(1) Criteria for identifying persons or agencies eligible to receive an opioid antagonist under the protocol;

(2) Opioid antagonist products authorized to be dispensed, including:

(a) Name of product;

(b) Dose; and

(3) Specific education to be provided to the person whom the opioid antagonist is dispensed;

(4) Procedures for documentation of opioid antagonist dispensation, including procedures for notification of the physician authorizing the protocol, if desired by the physician in accordance with KRS 217.186(6)(b)3.;

(5) The length of time the protocol is in effect;

(6) The date and signature of the physician approving the protocol;

(7) The names and work addresses of pharmacists authorized to initiate dispensing of an opioid antagonist under the protocol; and

(8) Authorization for an opioid antagonist to be supplied to an emergency department for dispensing under the protocol.

Section 4. Education to be Provided to Person Receiving an Opioid Antagonist Prescription Under Protocol. Except as described in Section 2(5) of this administrative regulation, a pharmacist dispensing an opioid antagonist to a person or agency not operating a harm reduction program shall provide verbal counseling and written educational materials appropriate to the dosage form of an opioid antagonist dispensed.

Section 5.

(1) A pharmacist may supply an opioid antagonist to an emergency department to be dispensed per the physician approved protocol if:

(a) The pharmacist is providing the opioid antagonist from a pharmacy other than the institutional pharmacy, the pharmacy is under common ownership, or has a written service agreement with the hospital;

(b) The opioid antagonist is stored in a locked drug storage area or automated pharmacy system;

(d) There is a monthly documented check of the opioid antagonist storage area for proper storage, labeling, educational material, and expiration dating;

(e) With the exception of patient name, the pharmacist labels the opioid antagonist in accordance with KRS 217.065 prior to supplying to the emergency department;

(f) An opioid antagonist from this supply is provided to the patient by a licensed health care provider as described in KRS 217.186(2);

(g) The patient is provided written educational materials appropriate to the dosage form of the opioid antagonist which includes the telephone number of the supplying pharmacy;

(h) A record of each provision to a patient is communicated to the providing pharmacy and documented in the pharmacy management system; and

(i) The dispensing record is reviewed by a pharmacist at the supplying pharmacy within one (1) pharmacy business day.

(2) Dispensing from an emergency drug stock shall not require a prospective drug use review.

Section 6. Incorporation by Reference.

(1) "Application for Pharmacist Certification for Opioid Antagonist Dispensing", Form 1, 12/2022, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, 125 Holmes Street, Suite 300, State Office Building Annex, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the Web site at: https://pharmacy.ky.gov/Forms/Documents/Application%20for%20Pharmacist%20Certification%20for%20OPIOID%20ANTAGONIST%20Dispensing%20%2812-2022%29.pdf .

History

RELATES TO: KRS 217.186
STATUTORY AUTHORITY: KRS 217.186, KRS 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 217.186(6) requires the Board of Pharmacy to promulgate administrative regulations governing dispensing of an opioid antagonist by a pharmacist pursuant to a physician-approved protocol. This administrative regulation establishes the minimum requirements for the pharmacist to be able to dispense an opioid antagonist pursuant to a physician-approved protocol; and provides the requirements for a pharmacy to stock an opioid antagonist to an emergency department.
History: 41 Ky.R. 2691; Am. 42 Ky.R. 273 eff. 9-4-2015; 48 Ky.R. 101, 1112; eff. 10-20-2021; 49 Ky.R. 862, 1754; eff. 3-9-2023.

201 KAR 2:370 Pharmacy services in long-term care facility (LTCF) {#sec-201-kar-2-370 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:370}

Section 1. Definitions.

(1) "Automated Dispensing System" or "ADS" means a mechanical system that performs operations or activities, other than compounding or administration, relative to the storage, packaging, counting, labeling, and dispensing of medications, and which collects, controls, and maintains all transaction information.

(2) "Emergency Drug" means drugs required to meet the immediate therapeutic needs of patients that are not available from any other authorized source in sufficient time to prevent risk of harm to patients because of delay.

(3) "Emergency Medication Kit" or "EMK" means an onsite manual or automated mechanism for delivering emergency medications.

(4) "Immediate supervision" is defined by KRS 315.010(12).

(5) "Individual dose" means smallest unit that is commercially available.

(6) "Long-term care facility" or "LTCF" is defined by KRS 216.510(1), excluding family-care homes and assisted living communities as defined in KRS 194A.710(2)(a).

(7) "Long Term Care Facility Drug Stock" or "LTCF drug stock" means a dose or doses generated from a prescription order sufficient until the next pharmacy business day or IV fluids that are used for replenishment, which contain no additive drugs, or irrigation solutions.

(8) "Pharmacist-in-charge" or "PIC" means a pharmacist mandated as in charge under KRS 315.020 and who meets the requirements of 201 KAR 2:205.

(9) "Supervision" is defined by KRS 315.010(27).

(10) "Tamper-resistant secure container" means an enclosed container:

(a) Used in a tamper-resistant ADS; and

(b) Designed to prevent the opening of the container and manipulation of medications prior to loading the ADS and after the contents of the container have been enclosed and verified by a pharmacist.

Section 2. General Requirements.

(1) The pharmacist-in-charge of the dispensing pharmacy shall:

(a) Be responsible for policies and procedures governing the procurement, distribution, storage, security, access, administration, and control of all drugs that are provided to a LTCF;

(b) Review all policies and procedures at least once every twelve (12) months;

(c) Provide LTCF drug stock or an EMK only to facilities that authorize entry by a board agent for the purposes of inspection or investigation of the LTCF drug stock or EMK at the facility;

(d)

Maintain written authorization for entry; and
Immediately provide written authorization for entry to the board upon request of a board agent; and

(e) Maintain a current list of all locations where LTCF drug stock or an EMK are stored, which shall be made immediately available upon request by a board agent.

(2) Dispensing.

(a) Controlled substance medications shall be dispensed only by prescription drug order of a licensed practitioner.

(b) Non-controlled substance medications shall be dispensed only on a medical order or prescription drug order of a licensed practitioner.

Name of patient;
Date of issuance;
Name, strength, and dosage form of drug prescribed;
Directions for use; and
Practitioner's name.

(d) Each licensee shall comply with United States Pharmacopeia (USP) Chapter 7 Labeling regarding labeling and packaging.

(3) The services of a pharmacist shall be readily available at all times.

(4) Emergency drugs.

(a) Emergency drugs for controlled substances in a LTCF EMK shall be stocked pursuant to 902 KAR 55:070.

(b) Emergency drugs for non-controlled substances in an EMK shall not exceed six (6) individual doses of thirty (30) different non-controlled substances, per LTCF.

(c) The pharmacist-in-charge may request a waiver from the board to increase the number of doses or numbers of non-controlled substances in the EMK based on evidence of use.

(d) An EMK shall be assessed for outdated, damaged or adulterated drugs, and stock adequacy by:

A pharmacist or any lawful person as stated in 902 KAR 55:070 on a monthly basis for controlled substances; or
A pharmacist, a PIC authorized pharmacist intern, or certified pharmacy technician on a monthly basis for non-controlled substances.

(e) EMK drugs shall be supplied in unit dose packaging unless precluded by manufacturer packaging.

(f) An EMK shall be conspicuously labeled.

(g) An EMK drug shall be accessed only upon a lawful prescription order.

(h) All prescription orders shall be reviewed by a pharmacist within one (1) pharmacy business day.

(i) An EMK shall not be stocked in a personal care home, assisted living community with basic health care, or assisted living community with dementia care without personnel lawfully licensed to administer medications.

(5) Initial dose of LTCF drug stock in a LTCF.

(a) Excluding personal care homes, assisted living communities with basic health care, or assisted living communities with dementia care, LTCF drug stock of drugs shall not exceed fifteen (15) individual doses each of 150 non-controlled substances.

(b) LTCF drug stock in a personal care home, assisted living community with basic health care, or assisted living community with dementia care shall not exceed five (5) individual doses each of thirty (30) non-controlled substances.

(c) The pharmacist-in-charge may request from the board a waiver to increase the number of non-controlled substance items to be placed in LTCF drug stock based upon evidence of use.

(d) The pharmacist-in-charge shall be responsible for authenticating the need for LTCF drug stock.

(e) A pharmacist shall review the prescription drug or medical order before the release of medication.

(f) LTCF drug stock shall be inspected by pharmacy personnel at least monthly and documentation shall be maintained to determine if:

Medications are outdated; and
Stocks are maintained at adequate levels.

(g) Except for LTCF drug stock of intravenous fluids with no additive drugs or irrigation solutions, the LTCF drug stock shall be replenished by:

A tamper-resistant secure container delivered from the pharmacy;
A tamper-resistant secure container for the stocking of an ADS;
A pharmacist, pharmacist intern, or a certified pharmacy technician who shall be under the immediate supervision of a pharmacist on-site, if there is no pharmacy on-site; or
A pharmacist, pharmacist intern, or a certified pharmacy technician who shall be under the supervision of a pharmacist, if there is a pharmacy on-site.

Section 3. The pharmacist-in-charge of an ADS in a LTCF shall be responsible for the following:

(1) Initial validation of the ADS accuracy prior to use for distribution to patients ensuring that the ADS:

(a) Is in good order and accurately dispenses the correct strength, dosage form, and quantity of drug prescribed; and

(b) Complies with the recordkeeping and security safeguards pursuant to Section 4 of this administrative regulation.

(2) Ensuring that non-controlled substance prescription drug orders and medical orders are reviewed and approved by a pharmacist prior to access, except for emergency drugs;

(3) Ensuring that controlled substance prescription drug orders are reviewed and approved by a pharmacist prior to accessing the controlled substance emergency drugs;

(4) Implementing an ongoing quality assurance program that monitors performance of the ADS, pursuant to the written policies and procedures;

(5) Assigning, discontinuing, or changing personnel access to the system; and

(6) Ensuring appropriate access to medications.

Section 4. Standards. A permit holder utilizing an ADS shall comply with the following provisions:

(1) A pharmacy shall maintain the following documentation:

(a) Name and address of the LTCF where the system is being used;

(b) The ADS manufacturer's name, model, and serial number;

(d) Description of how the system is used;

(e) Written quality assurance procedures to determine continued appropriate use of the system; and

(f) Written policies and procedures for system operation, safety, security, accuracy, access, and malfunction.

(2) All written policies and procedures shall be maintained in the pharmacy responsible for the ADS.

(3) An ADS shall maintain adequate security systems and procedures, pursuant to written policies and procedures that prevent unauthorized access to patient records and maintain patient confidentiality.

(4) ADS records and data shall meet the following requirements:

(a) All events involving the contents of the ADS shall be recorded electronically; and

(b) Records shall be maintained by the pharmacy for five (5) years, be available to the board, and shall include the following:

The time and location of each system access;
Identification of the individual accessing the system;
Name of the patient for whom the drug was ordered;
Name, strength, dosage form, and quantity of drug accessed;
Type of transaction;
The prescription or transaction number if assigned; and
The name of the prescriber.

(d) A twenty-four (24) hour emergency call center shall be available for any ADS malfunction.

(5) The stocking of all medications in an ADS shall be performed by a:

(a) Pharmacist;

(b) Pharmacist intern; or

(6) If the pharmacy utilizes a tamper resistant barcoding technology, microchip, or other equivalent tamper-resistant ADS, a pharmacist-verified drug may then be loaded by a pharmacist-in-charge trained pharmacist, pharmacist intern, or certified pharmacy technician.

(7) A record of medications stocked in an ADS shall be maintained for five (5) years and shall include identification of the person stocking the ADS and the pharmacist checking for accuracy.

(8) The pharmacist-in-charge shall provide a policy for accounting for medications removed from an ADS and subsequently wasted.

(9) The pharmacist-in-charge shall provide a policy for accounting for medications returned to an ADS.

Section 5. Incorporation by Reference.

(1) "USP Chapter 7 Labeling", (September 1, 2023), is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. through 4:30 p.m. or on the board's Web site at https://pharmacy.ky.gov/statutesandregulations/Pages/default.aspx.

History

RELATES TO: KRS 194A.710(2), 216.510(1), 315.010, 315.020, 315.030, 315.121
STATUTORY AUTHORITY: KRS 315.002, 315.005, 315.191
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the Kentucky Board of Pharmacy to establish requirements to regulate and control pharmacies. KRS 315.002 and 315.005 require standards of practice in all settings where drugs are handled and require the board to ensure safety of all drug products provided to the citizens of Kentucky. This administrative regulation establishes requirements for pharmacy services in long-term care facilities.
History: 42 Ky.R. 630; 1131; eff. 11-6-2015; TAm eff. 2-15-2016; 42 Ky.R. 273, 630, 1131, 2414; eff. 5-6-2016; 45 Ky.R. 740, 1684, 2575; eff. 3-13-2019; 51 Ky.R. 87, 1080; eff. 2-5-2025.

201 KAR 2:380 Board authorized protocols {#sec-201-kar-2-380 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:380}

Section 1. Definitions.

(1) "Fully executed" means a protocol has been signed and dated by the prescriber and the pharmacist or pharmacists who are the party or parties to the protocol agreement as required by Section 3 of this administrative regulation.

(2) "Prescriber" means any Kentucky licensed physician or advanced practice registered nurse practitioner.

(3) "Protocol" means a written agreement between a pharmacist or pharmacists and a prescriber that outlines the plan to initiate the dispensing of noncontrolled medications, over-the-counter medications, or other professional services within the prescriber's statutory scope of practice.

(4) "Protocol registry" means the records maintained by the board of any fully executed protocol that is being utilized to initiate the dispensing of noncontrolled medications, over-the-counter medications, or other professional services.

Section 2. Procedures. A pharmacist or pharmacists utilizing a protocol may initiate the dispensing of noncontrolled medications, over-the-counter medications, or other professional services under the following conditions:

(1) The protocol:

(a) Meets the minimum requirements in Section 3 of this administrative regulation;

(b) Directs the care, based on current clinical guidelines, for conditions listed in Section 5 of this administrative regulation;

(d) Has been reviewed and authorized by the board prior to its execution; and

(e) Has been fully executed and submitted to the board for inclusion in the protocol registry, which shall be made available to the prescriber's licensing board upon request.

(2) The pharmacist or pharmacists documents the dispensing event in the pharmacy management system, including:

(a) Documentation as required by 201 KAR 2:171 for the dispensing of prescription medication; and

(b) Documentation that the individual receiving the medication or other professional service was provided with education pursuant to Section 3(4) of this administrative regulation;

(3) A pharmacist shall request the individual's primary care provider's information, provided one exists, and shall provide notification to the primary care provider within two (2) business days;

(4) Any pharmacist not party to the fully executed protocol shall not utilize the protocol;

(5) A pharmacist utilizing the protocol shall be employed by or contracted with the permit holder;

(6) A fully executed protocol shall not be used to initiate the dispensing of medications or to provide other professional services until it has been submitted to the board for inclusion in the protocol registry; and

(7) The pharmacist-in-charge shall be responsible for:

(a) Submitting the fully executed protocol to the board for inclusion into the registry; and

(b) Submitting a written notification to the board to remove a protocol from the registry no later than thirty (30) days after discontinuing a protocol.

Section 3. Minimum Requirements of Protocol. Protocols shall contain the following elements:

(1) Criteria for identifying persons eligible to receive medication therapies or other professional services under the protocol, and referral to an appropriate prescriber if the patient is high-risk or treatment is contraindicated;

(2) A list of the medications, including name, dose, route, frequency of administration, and refills authorized to be dispensed under the protocol;

(3) Procedures for how the medications are to be initiated and monitored, including a care plan implemented in accordance with clinical guidelines;

(4) Education to be provided to the person receiving the dispensed medications, including aftercare instructions, if appropriate;

(5) Procedures for documenting in the pharmacy management system all medications dispensed, including notification of the prescriber signing the protocol, if requested;

(6) Length of time protocol is in effect;

(7) Date and signature of prescriber approving the protocol;

(8) Dates and signatures of the pharmacists authorized to initiate dispensing of medications or other professional services under the protocol; and

(9) The date, and education or training of the pharmacist as referenced in Section 4 of this administrative regulation.

Section 4. Pharmacist Education and Training Required. A pharmacist who dispenses medication pursuant to a prescriber-approved protocol shall first receive education and training in the subject matter of the protocol from a provider accredited by the Accreditation Council for Pharmacy Education or by a comparable provider approved by the board. Documentation of education shall be provided to the board upon request. Education shall be obtained prior to initiating care under the protocol. A failure to be educated and trained before utilizing the prescriber-approved protocol may result in disciplinary action pursuant to KRS 315.121(1)(a).

Section 5. Authorized Conditions. Board-authorized protocols may be established for the following conditions:

(1) Acute influenza infection pursuant to recommendations by the Centers for Disease Control and Prevention (CDC);

(2) Acute streptococcal pharyngitis infection;

(3) Acute, uncomplicated urinary tract infection;

(4) Acute cutaneous or mucocutaneous fungal infection;

(5) Alcohol use disorder utilizing naltrexone-based therapy pursuant to recommendations from the American Psychiatric Association;

(6) Allergic rhinitis;

(7) Anaphylaxis;

(8) Colorectal cancer prevention and screening;

(9) HCV infection screening;

(10) HIV infection prophylaxis, pre-exposure and post-exposure pursuant to recommendations by the CDC;

(11) HIV infection screening pursuant to recommendations by the CDC;

(12) Nutritional supplementation with vitamins and minerals;

(13) Opioid use disorder pursuant to recommendations by the American Society of Addiction Medicine;

(14) Tobacco use disorder;

(15) Traveler's health pursuant to recommendations by the CDC;

(16) Tuberculosis prevention and control through skin testing, and referral as necessary, pursuant to recommendations by the CDC;

(17) Self-care conditions appropriately treated with over-the-counter medications and products; and

(18) Covid-19 infection pursuant to recommendations by the CDC.

Section 6. Protocol Review Committee.

(1) The board shall form a committee comprised of four (4) pharmacists and one (1) physician. This committee shall meet no less than quarterly to:

(a) Evaluate new protocols proposed for board approval to ensure compliance with Section 2(1)(b) and Section 3 of this administrative regulation; and

(b) Review previously authorized protocols no later than three (3) years from the authorization date to ensure alignment with current practice guidelines.

(2) The protocol review committee may consult with an expert with relevant practice experience.

(3) The pharmacists shall be appointed by the Board of Pharmacy and the physician by the Kentucky Board of Medical Licensure.

(4) Terms for the pharmacist and physician members on the committee shall be for a term of four (4) years.

(5) The chair of the committee shall be a pharmacist member.

History

RELATES TO: KRS 315.010(25), 315.121(1)(a), 315.191(1)(a), (f)
STATUTORY AUTHORITY: KRS 315.010(25), 315.191(1)(a), (f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.010(25) defines a prescription drug order, which includes orders issued through protocols authorized by the board. KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters pertaining to pharmacists, pharmacist interns, pharmacy technicians, and pharmacies. KRS 315.191(1)(f) authorizes the board to promulgate administrative regulations that are necessary to control the dispensing of prescription drug orders. This administrative regulation establishes procedures for board authorized protocols by which pharmacists may initiate the dispensing of noncontrolled medications or other professional services.
History: 44 Ky.R. 447; 961; 1215; 1813 eff. 12-13-2017; 47 Ky.R. 1422, 2404, 2577; eff. 6-16-2021; 49 Ky.R. 625, 1451, 1755, 2078; eff. 6-21-2023.

201 KAR 2:390 Requirements for third-party logistics providers {#sec-201-kar-2-390 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:390}

Section 1. Definitions.

(1) "Board" means the Board of Pharmacy.

(2) "Component" means any raw material, ingredient, or article intended for use in the manufacture of a drug and drug-related device.

(3) "Distribution" or "distribute" is defined by KRS 315.400(5).

(4) "Drug sample" means a unit of a prescription drug that is not intended to be sold and is intended to promote the sale of the drug.

(5) "Illegitimate product" is defined by KRS 315.400(11).

(7) "Suspect product" means a component, prescription drug, or drug-related device for which there is a reason to believe that the component, prescription drug, or drug-related device:

(a) Is potentially counterfeit, diverted, or stolen;

(b) Is potentially intentionally adulterated so that the component, prescription drug, or drug-related device may result in serious adverse health consequences or death to humans or animals;

(d) Appears otherwise unfit for distribution so that the component, prescription drug, or drug-related device may result in serious adverse health consequences or death to humans or animals.

(8) "Third-party logistics provider" is defined by KRS 315.400(18).

Section 2. Requirements.

(1) A third-party logistics provider providing services in the Commonwealth, including distributing into the Commonwealth, shall apply for a license from the Board in accordance with KRS 315.4102 and this administrative regulation.

(2) A separate license shall be required for each third-party logistics provider's facility that provides services in the Commonwealth, including distributing into the Commonwealth, regardless of whether joint ownership or control exists.

(3) An agent or employee of a licensee shall not be required to obtain a license under this section if the agent or employee is acting in the usual course of business or employment.

(4) A license shall not be issued or renewed unless the applicant demonstrates or continues to demonstrate acceptable operational procedures, including:

(a) Adequate operation, maintenance, and storage conditions to ensure proper lighting, ventilation, temperature and humidity control, sanitation, space, and security as per label requirements or official United States Pharmacopoeia (USP) compendium requirements, USP Chapter 659, Packaging and Storage Requirements, as incorporated by reference in 201 KAR 2:105. Appropriate manual, electromechanical, or electronic temperature and humidity recording equipment, devices, or logs shall be utilized to document proper storage of components, prescription drugs, or drug-related devices;

(b) Separation and quarantine of deteriorated, damaged, outdated, misbranded, adulterated, or recalled components, prescription drugs, or drug-related devices until they are destroyed or returned; and

(c) If applicable, provide proof of registration with the U.S. Food and Drug Administration (FDA) and U.S. Drug Enforcement Administration (DEA) and shall comply with all federal laws, state and local laws, and regulations.

(5) A third-party logistics provider shall comply with all requirements as outlined in the Drug Supply Chain Security Act (DSCSA), 21 U.S.C 360eee-360eee-4, and other applicable federal laws.

(6) A third-party logistics provider shall establish a system to quarantine or destroy suspect or illegitimate product if directed to do so by the manufacturer, repackager, wholesale distributor, dispenser, or authorized government agency.

(7) A third-party logistics provider shall have readily retrievable within forty-eight (48) hours, upon written request of the board or its agents, and maintain for board inspection, a list of all manufacturers, wholesale distributors, repackagers, and dispensers for whom the third-party logistics provider provides services;

(8) A third-party logistics provider shall have readily retrievable within forty-eight (48) hours, upon written request of the board or its agents, and maintain for Board inspection, a list of each partner, limited liability company member, corporate officer or director, and facility manager, including a description of the duties and qualifications of each; and

(9) A third-party logistics provider shall have readily retrievable within forty-eight (48) hours, upon written request of the board or its agents, and maintain for board inspection, records with capability to trace the receipt and outbound distribution or disposition of components, prescription drugs, or drug-related devices and records of inventory.

Section 3. Qualifications for Licensure.

(1) The Board shall consider, at a minimum, the following factors in determining the eligibility for initial licensure and renewal of third-party logistics providers:

(a) Minimum considerations in KRS 315.4106(1);

(b) Any convictions of the applicant or its officers under any federal, state, or local laws relating to drugs, including drug samples and controlled substances;

(c) The applicant's and its officers' past experience with distribution of prescription drugs and drug-related devices, including drug samples and controlled substances; and

(d) Compliance with the requirements under any previously granted license or permit, if any.

(2) The Board may deny a license to an applicant if it finds that the granting of that license would not be in the public interest based on health and safety considerations.

(3) A license shall not be issued pursuant to this administrative regulation unless the applicant has furnished proof satisfactory to the board:

(a) That the applicant is in compliance with all applicable federal, state, and local laws and regulations relating to prescription drugs and drug-related devices; and

(b) That the applicant is equipped as to land, buildings, and security to properly conduct the business described in the application.

(4) A license issued pursuant to this administrative regulation failing to comply with the provisions of KRS 315.400, 315.4102, 315.4104, 315.4106, 315.4108, 315.4110, or this administrative regulation may result in discipline, suspension, or revocation under KRS 315.121.

Section 4. Application, Fees, Renewals.

(1) An applicant for initial licensure or renewal as a third-party logistics provider shall submit:

(a) A non-refundable initial licensure or renewal fee of $400 by check or money order made payable to the Kentucky State Treasurer;

(b) A complete, sworn, and notarized Application to Operate as a Third-Party Logistics Provider or Application for Third-Party Logistics Provider License Renewal;

(c) Unless previously provided, documentation of licensure as a third-party logistics provider through proof of registration with either:

The FDA; or
The state in which the third-party logistics provider is located;

(d) Unless previously provided, copy of most current inspection report conducted by the FDA. If the most current inspection report is not available from the FDA, the applicant shall submit an inspection report by:

The National Association of Boards of Pharmacy (NABP); or
The resident state licensing or permitting authority's authorized agent;

(e) A confirmation statement from the previous owner if ownership changed;

(f) Legal proof of any name change, if applicable;

(g) An explanation if an applicant, officer, partner, or director has ever been convicted of a felony or had a professional license or permit disciplined under federal, state, or local law;

(h) Ownership information for each partner, director, or officer, including:

Name and title;
Email addresses;
Federal employer identification number;
Address;
Phone number;
Social security number; and
Date of birth;

(i) State of incorporation or organization if the owner is a corporation; and

(j) Upon request, a list of all manufacturers, repackagers, wholesale distributors, and dispensers for whom the third-party logistics provider provides services.

(2) An applicant applying for any ownership or address change shall submit a non-refundable fee of $150.

(3) Each license shall expire on June 30 following date of issuance, unless earlier suspended or revoked. There shall be a delinquent renewal fee of $150 for failure to renew by June 30 of each year.

Section 5. Standards.

(1) Facilities.

(a) All facilities in which components, prescription drugs, or drug-related devices are held shall be of suitable size, construction, and location to facilitate cleaning, maintenance, and proper operations;

(b) All facilities shall meet all applicable federal, state, and local laws and regulations;

(c) A third-party logistics provider shall quarantine components, prescription drugs, or drug-related devices that are outdated, damaged, deteriorated, misbranded, recalled, or adulterated;

(d) A facility shall not be located in a residence; and

(e) A facility shall be located apart and separate from any pharmacy permitted by the Board.

(2) Security.

(a) A third-party logistics provider shall be equipped with an alarm system to detect entry after hours.

(b) A third-party logistics provider shall assure that access from outside the provider's premises is well controlled and reduced to a minimum. This includes the installation of adequate lighting at the outside perimeter of the premises.

(c) Internal security policies shall be developed to provide reasonable protection against theft and diversion by limiting access to areas where components, prescription drugs, or drug-related devices are held to authorized personnel. These policies shall provide protection against tampering with computers or electronic records.

(d) A third-party logistics provider shall employ adequate personnel with the education and experience necessary to safely and lawfully engage in providing these services.

(3) Recordkeeping requirements for companies handling prescription drugs and drug-related devices exempt from the DSCSA.

(a) Inventories and other records regarding the receipt and distribution or disposition of components, prescription drugs, or drug-related devices shall be maintained and readily retrievable within forty-eight (48) hours for inspection or photocopying by the Board and authorized officials of any federal, state or local law enforcement agencies for a period of six (6) years. These records shall include:

The business name and address of the third-party logistics provider's client and the address of the location from which the components, prescription drugs, or drug-related devices were received;
The business name and address to whom the components, prescription drugs, or drug-related devices were distributed or disposed of;
The identity and quantity of the components, prescription drugs, or drug-related devices received and distributed or disposed of; and
The dates of receipt and distribution or disposition of the components, prescription drugs, or drug-related devices.

(b) Records described in this section that are kept at the inspection site or that may be immediately retrieved by computer or other electronic means shall be readily available for authorized inspection during the retention period. Records kept at a central location apart from the inspection site and not electronically retrievable shall be made available for inspection within two (2) working days of a request by the Board or an authorized official of any federal, state or local law enforcement agency.

(c) Third-party logistics providers shall maintain an ongoing list of verified persons or businesses to whom they ship prescription drugs and drug-related devices.

(d) Third-party logistics providers may distribute components, prescription drugs, or drug-related devices only to the following, except as established in KRS 315.0351(2) and 315.404:

A currently permitted manufacturer:
A currently licensed wholesaler;
A currently licensed third party logistics provider;
A currently permitted pharmacy;
A currently licensed outsourcing facility;
A currently licensed practitioner;
A currently permitted repackager;
A currently licensed hospital, but only for use by or in that hospital;
A person in charge of a laboratory, but only for use in that laboratory for scientific and medical research purposes; or
Any other appropriately licensed or permitted facility in the jurisdiction in which it is located.

(4) Written policies and procedures.

(a) A third-party logistics provider shall establish, maintain, and adhere to written policies and procedures for the receipt, security, storage, inventory, and distribution or disposition of components, prescription drugs, or drug-related devices.

(b) There shall be written policies and procedures for identifying, recording, and reporting significant losses or thefts to the Board, and, if applicable, the FDA and the DEA.

(c) There shall be written policies and procedures for protecting against, and handling crisis situations that affect the security or operation of the facility. These crises shall include fires, floods, or other natural disasters, and situations of local, state, or national emergency.

(d) There shall be written policies and procedures for managing and correcting all errors or inaccuracies in inventories.

(e) There shall be written policies and procedures as to the handling of any outdated, returned, or damaged prescription drugs and drug-related devices. Any outdated, returned, or damaged components, prescription drugs, or drug-related devices shall be segregated.

(f) There shall be written policies and procedures by which the third-party logistics provider exercises control over the shipping and receiving of all components, prescription drugs, or drug-related devices within the operation.

(g) There shall be written policies and procedures for quarantining suspect product and illegitimate product if directed to do so by the respective manufacturer, repackager, wholesale distributor, dispenser, or authorized government agency.

(5) Handling recalls. A third-party logistics provider shall establish, maintain, and adhere to a written policy and procedure in accordance with business agreements as to the handling of recalls and withdrawals of components, prescription drugs, or drug-related devices.

Section 6. Violations.

(1) A third-party logistics provider shall not distribute components, prescription drugs, or drug-related devices directly to a consumer or a patient, except as established in KRS 315.0351(2).

(2) A third-party logistics provider shall not operate in a manner that endangers the public health.

(3) Violations of any of these provisions shall be grounds for action under KRS 315.121.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application to Operate as a Third-Party Logistics Provider", June 2023; and

(b) "Application For Third-Party Logistics Provider License Renewal", June 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601-8024, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the Board's Web site at https://pharmacy.ky.gov/Businesses/Pages/Third-Party-Logistics-Provider-License-Information.aspx.

History

RELATES TO: KRS 315.0351, 315.121, 315.191(1)(a), 315.400, 315.4102, 315.4104, 315.4106, 315.4108, 315.4110, 21 U.S.C. 360eee-eee-4
STATUTORY AUTHORITY: KRS 315.191(1)(a), 315.4102, 315.4104, 315.4106, 315.4108, 315.4110
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a), 315.4102, 315.4104, 315.4106, 315.4108, and 315.4110 authorizes the board to promulgate administrative regulations to regulate third-party logistics providers. This administrative regulation establishes requirements for the regulation of third-party logistics providers
History: 44 Ky.R. 699, 1363, 1501; eff. 1-18-2018; 47 Ky.R. 2032; 48 Ky.R. 24; eff. 7-21-2021; 50 Ky.R. 110, 1063; eff. 12-13-2023.

201 KAR 2:400 Outsourcing facility {#sec-201-kar-2-400 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:400}

Section 1. Application Requirements for Initial Licensure and Renewal.

(1) An applicant for initial licensure or renewal as an outsourcing facility shall submit:

(a) A nonrefundable initial licensure or renewal fee of $250 by check or money order made payable to the Kentucky State Treasurer;

(b) A complete, sworn, and notarized Application to Operate as an Outsourcer Facility;

(c) Unless previously provided, proof of registration as an outsourcing facility with the secretary of the U. S. Department of Health and Human Services, Food and Drug Administration;

(d)

Unless previously provided, a copy of the current inspection report conducted by the United States Food and Drug Administration pursuant to KRS 315.340(2)(a)2. and (b)1. or KRS 315.342(2)(a)2. and (b)1., if applicable; or
If a current inspection report is not available from the United States Food and Drug Administration, the applicant shall submit an inspection report by:

a. The National Association of Boards of Pharmacy (NABP); or

b. The board's authorized agent;

(e) A confirmation statement of the previous owner if ownership changed;

(f) Legal proof of any name change, if applicable;

(g) An explanation if an applicant, owner, officer, or pharmacist-in-charge has ever been convicted of a felony or had a professional license or permit disciplined under federal, state, or local law; and

(h) Ownership information for each owner or officer, including:

Name and title;
Address;
Phone number;
Social security number; and
Date of birth.

(2) An applicant applying for any ownership or address change shall submit a non-refundable ownership change fee of $100 and a change of address fee of $100.

(3) A license shall expire on June 30 following date of issuance, unless earlier suspended or revoked. There shall be a delinquent renewal fee of $250 for failure to renew by June 30 of each year.

Section 2. Qualifications for License.

(1) The board shall consider the following in determining whether to grant a license:

(a) A felony conviction related to:

The practice of pharmacy;
Drugs; or
Federal or state medical assistance programs;

(b) The furnishing of false or fraudulent information in any application;

(d) Compliance with a previously granted license or permit; and

(e) Failure to maintain and make readily available those records required to be maintained by an outsourcing facility.

(2) The board shall have the right to deny a license to an applicant if, in considering the factors listed in subsection 1 of this Section, it determines that granting such a license would not be consistent with public health and safety.

(3) If the board considers denying or resolves to deny an application based solely on an applicant's prior conviction of a crime, the board shall follow the notification and procedure requirements in KRS 335B.030(2).

Section 3. General Requirements. An outsourcing facility shall:

(1) Permit, to the extent authorized by laws or rules, board agents to enter and inspect its premises and delivery vehicles, to audit its records and written operating procedures, and to confiscate prescription drugs and records; and

(2) Follow closure procedures established in 201 KAR 2:106 Section 2.

Section 4. Incorporation by Reference.

(1) "Application to Operate as an Outsourcer Facility", July 2017, is incorporated by reference.

History

RELATES TO: KRS 315.002, 315.005, 315.010(16), 315.191(1)(a), 315.340, 315.342
STATUTORY AUTHORITY: KRS 315.010(16), 315.340, 315.342
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.340 establishes requirements for in-state outsourcing facilities doing business in Kentucky, requires the board to set fees, and requires the board to promulgate administrative regulations relating to in-state permit applicants for licensure and renewal. KRS 315.342 establishes requirements for out-of-state outsourcing facilities doing business in Kentucky, requires the board to set fees, and requires the board to promulgate administrative regulations relating to in-state permit applicants for licensure and renewal. This administrative regulation establishes further licensure, renewal, and general requirements for in-state and out-of-state outsourcing facilities.
History: 44 Ky.R. 701, 1502; eff. 1-18-2018; Cert eff. 12-2-2024.

201 KAR 2:416 Pharmacy annual reporting of cost of dispensing data {#sec-201-kar-2-416 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:416}

Section 1. Mandatory Submission of Data.

(1) On an annual basis, no later than March 1, 2026, and by March 1 every other year thereafter, every ambulatory pharmacy permitted by the Board of Pharmacy shall submit to the board, the following data, which shall remain confidential as required by and in accordance with KRS 315.038(6) and (7), relating to the dispensing costs for the previous year year:

(a) NCPDP number;

(b) Labor costs, including:

Pharmacist salaries, including benefits and taxes;
Pharmacy technician salaries, including benefits and taxes;
Salaries of other support staff involved in the dispensing of prescriptions; and
Other employee benefits;

(d) Cost of materials, including:

Cost of prescription labels and paper;
Cost of bottles, vials, and packaging;
Prescription delivery costs;
Inventory services costs;
Lost inventory costs; and
Warehouse expenses;

(e) Facility costs, including:

Rent or mortgage payments for the pharmacy space. If the pharmacy shares a building with retail space, the proportion of the square footage that is permitted for pharmacy operations shall be applied to the total rent for the building;
Mortgage interest;
Utilities, including electricity, water, heating, and communications costs;
Facility taxes, including personal property, real estate, payroll, and insurance;
Maintenance, cleaning and repair costs; and
Security and alarm fees;

(f) Operational costs, including:

Insurance, including liability and property;
Software and IT systems;
Switch or e-prescribing fees;
Office supplies and equipment;
Professional liability insurance for pharmacists;
Credit card processing fees;
Prescription department licenses, permits, accreditation, and fees;
Cost of continuing education and certification for pharmacists and technicians;
Dues and subscriptions for pharmacy department;
Delivery and mailing expenses for the prescription department;
Transaction fees;
Charitable contributions;
Employee training;
Bad debts for prescriptions, including uncollected copays; and
Third-party prescriptions audit adjustments;

(g) Store costs, including:

Marketing and advertising;
Professional accounting and legal services;
Franchise fees, if applicable; and
Other costs not otherwise listed in this subsection;

(h) Depreciation and amortization costs, including:

Depreciation of building, equipment, and fixtures; and
Amortization of software and intangible assets;

(i) Total number of prescriptions dispensed each month of the prior year;

(j) Total number of prescriptions prepared via a central fill pharmacy each month of the prior year; and

(k) Percent of revenue coming directly from the pharmacy department.

(2) All data shall be reported to the board electronically through the board's licensing gateway on Reporting Form A, Pharmacy Cost of Dispensing Data. Data may be submitted in the aggregate for pharmacies with multiple locations.

Section 2. Optional Submission of Data.

(1) On an annual basis, beginning March 1, 2026 and by March 1 every year thereafter, any ambulatory pharmacy permitted by the Board of Pharmacy may submit to the board, the following data for each prescription dispensed:

(a) The date the claim was submitted to the pharmacy benefit manager;

(b) The date the prescription was written;

(d) The prescription insurance member identification number;

(e) The prescription number assigned by the pharmacy;

(f) The number of the refill;

(g) The NDC number of the product dispensed;

(h) The name of the product dispensed;

(i) The strength of the medication dispensed;

(j) The quantity of the medication dispensed;

(k) The days' supply of medication dispensed;

(l) Whether or not the medication dispensed was generic;

(m) Whether or not the medication dispensed was a specialty drug;

(n) The NABP identification number of the pharmacy where the medication was dispensed;

(o) The NPI identification number of the pharmacy where the medication was dispensed;

(p) The name of the pharmacy where the medication was dispensed;

(q) The amount, in dollars, paid to the pharmacy by the prescription benefit plan;

(r) The amount, in dollars, paid to the pharmacy by the health plan member;

(s) The total amount, in dollars, paid to the pharmacy for the prescription dispensed, including what the patient paid and what the health plan paid;

(t) The amount, in dollars, paid to the pharmacy for dispensing the medication; and

(u) The amount, in dollars, of retroactive fees that were assessed to the pharmacy by the pharmacy benefit manager for the medication dispensed at any time after the medication was dispensed, including:

Direct remuneration fees;
Indirect renumeration fees;
Generic effective rates;
In-network fees;
Performance fees;
Point-of-sale fees; and
Pre and post adjudication fees.

(2) If the pharmacy chooses to submit this data, the data shall be reported to the board electronically through the board's licensing gateway on Reporting Form B, Pharmacy Claims Data.

Section 3. All information and data submitted to the board shall be deemed confidential and proprietary and shall not be subject to disclosure pursuant to KRS 61.870 to 61.884. Only board staff will have access to the data submitted. Board of Pharmacy members shall not have access to the data submitted.

Section 4. Enforcement discretion shall be exercised if a pharmacy that does not bill third parties fails to submit mandatory data under Section 1 of this administrative regulation.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Pharmacy Cost of Dispensing Data", Reporting Form A, 12/2024; and

(b) "Pharmacy Claims Data", Reporting Form B, 12/2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the website at https://pharmacy.ky.gov/Businesses/Pages/Pharmacy.aspx.

History

RELATES TO: KRS 18A.2254, 304.9-053, 304.9-054, 304.9-055, 304.14-120, 304.17A-595, 304.17A-712, 304.17C-125, 304.38A-115, 367.828
STATUTORY AUTHORITY: KRS 315.038(2), (3), 315.191(1)
CERTIFICATION STATEMENT: This is to certify that the administrative regulation complies with the requirements of 2025 RS HB 6, Section 8. The Board of Pharmacy is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the board to promulgate administrative regulations to regulate pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers. KRS 315.038(3) requires the Board of Pharmacy to promulgate regulations to require all ambulatory pharmacies permitted by the Board of Pharmacy to report, annually beginning March 1, 2026, the cost of dispensing data to the Board of Pharmacy. The Board of Pharmacy shall then submit that data to the Department of Insurance within thirty (30) days. This administrative regulation establishes procedures for ambulatory pharmacies to report data to the Department of Insurance via the board.
History: 201 KAR 002:416. 51 Ky.R. 1611, 1633, 1861; 52 Ky.R. 173; eff. 8-27-2025.

201 KAR 2:420 Administration of vaccines {#sec-201-kar-2-420 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:420}

Section 1. Definitions.

(1) "Administer" is defined by KRS 315.010(1).

(2) "Pharmacist" is defined by KRS 315.010(17).

(3) "Pharmacist intern" is defined by KRS 315.010(18).

(4) "Pharmacy technician" is defined by KRS 315.010(21).

Section 2. Pharmacist Requirements. A pharmacist may administer a vaccine to an individual pursuant to the Advisory Committee on Immunization Practices (ACIP) standard immunization schedule in accordance with KRS 315.010(22).

Section 3. Pharmacist Intern Requirements. A pharmacist intern under the general supervision of a pharmacist may administer a vaccine to an individual if the pharmacist intern:

(1) Completes, or has completed as part of pharmacy school curriculum, a practical training program accredited by the Accreditation Council for Pharmacy Education (ACPE) that includes hands-on injection technique and the recognition and treatment of emergency reactions to vaccines; and

(2) Possesses a current certificate in basic cardiopulmonary resuscitation.

Section 4. Pharmacy Technician Requirements. A pharmacy technician may administer a vaccine under the general supervision of a pharmacist to an individual if the pharmacy technician:

(1) Completes a minimum of two (2) hours of immunization-related continuing education accredited by the Accreditation Council for Pharmacy Education (ACPE) per each state registration period;

(2) Completes, or has completed, a practical training program accredited by the Accreditation Council for Pharmacy Education (ACPE) that includes hands-on injection technique and the recognition and treatment of emergency reactions to vaccines; and

(3) Possesses a current certificate in basic cardiopulmonary resuscitation.

History

RELATES TO: KRS 315.010, 315.050, 315.136
STATUTORY AUTHORITY: KRS 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations relating to pharmacists, pharmacist interns, and pharmacy technicians. This administrative regulation authorizes pharmacist interns and pharmacy technicians to administer vaccinations pursuant to requirements. This administrative regulation shall not change the authorization for pharmacists to administer vaccinations pursuant to KRS 315.010(22).
History: 48 Ky.R. 217, 1113; eff. 10-20-2021.

201 KAR 2:440 Legend drug repository {#sec-201-kar-2-440 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:440}

Section 1. Definitions.

(1) "Authorized recipient" means a recipient that has received authorization from the board to participate in the legend drug repository program pursuant to Section 2 and whose authorization has not been revoked by the board pursuant to Section 3.

(2) "Board" means the Kentucky Board of Pharmacy.

(3) "Controlled substance" is defined by KRS 218A.010.

(4) "Dispense" is defined by KRS 315.010.

(5) "Distribute" is defined by KRS 315.400.

(6) "Donor" means:

(a) Any entity legally authorized and permitted to possess drugs, such as a wholesaler or distributor, third party logistic provider, pharmacy, clinic, surgical or health center, detention and rehabilitation center, laboratory, medical or pharmacy school, prescriber or other health care provider, or health facility; or

(b) Government agencies and entitles that are federally authorized to possess drugs, such as:

Drug manufacturers;
Repackagers;
Relabelers;
Outsourcing facilities;
Veteran Affairs hospitals;
Prisons; and
FDA authorized importers, such as those under 21 U.S.C. 384g or similar provisions.

(7) "Drug" is defined by KRS 315.010.

(8) "Eligible patient" means:

(a) An individual who is indigent, uninsured, or underinsured; and

(b) Other patients, if a need for the donated drugs is not identified among indigent, uninsured, and underinsured individuals.

(9) "Health care provider" is defined by KRS 304.17A-005(23).

(10) "Health facility" is defined by KRS 216B.015(13).

(11) "Original packaging" means the packaging in which the drug was donated by the donor.

(12) "Pharmacist" is defined by KRS 315.010(17).

(13) "Recipient" means a pharmacy as defined by KRS 315.010(19).

(14) "Relabeler" means any person who owns or operates an establishment that changes the content of the labeling from that supplied from the original manufacturer for distribution under the establishment's own name, except for establishments that do not change the original labeling, but merely add their own name.

(15) "Repackager" is defined by KRS 315.400(16).

(16) "Returns processor":

(a) Is defined by 21 U.S.C. Section 360eee(18); and

(b) Includes a reverse distributor or similar entity.

(17) "Unopened tamper-evident packaging" is defined by the United States Pharmacopeia (USP) General Chapter 659, Packaging and Storage Requirements, and includes unopened unit-dose, multiple dose, immediate, secondary, and tertiary packaging.

Section 2. Participation in the Legend Repository Program.

(1) Donors may donate drugs to an authorized recipient. An authorized recipient may receive donated drugs from donors. Prior to the first donation from a new donor, an authorized recipient shall verify and record the following:

(a) That the donor meets the definition provided in Section 1;

(b) The donor's name, address, phone number, and permit or license number;

(d) If applicable, that the donor will:

Remove or redact any patient names and prescription numbers on donated drugs; or
Otherwise maintain patient confidentiality by executing a confidentiality agreement with the authorized recipient.

(2) Any recipient seeking to become an authorized recipient in the program shall complete and provide to the Board the Legend Drug Repository Authorized Recipient Form that includes the specific policies and procedures of the recipient for planned implementation of the repository program. The policies and procedures shall include drug acceptance, destruction or transfer for unauthorized unaccepted drugs, quarantine of donated drugs, the electronic or written maintenance of inventory, storage and maintenance of donated drugs, recordkeeping of dispensed drugs and patient eligibility affidavit forms, separation of donated drugs, and repackaging of donated drugs.

(3) The board may revoke the authorization of a recipient to participate in the program by issuing a written notice to the recipient. The revocation shall include references to the specific requirements that were violated and the corrective actions necessary for the recipient to resume its participation in the program.

(4) A health facility, pharmacy, pharmacist, or practitioner shall not be required to participate in the program established by this section.

(5) A drug manufacturer, repackager, or wholesaler other than a returns processor participating in this program shall comply with the requirements of 21 U.S.C. Sections 360-1 through 360-4 relating to drug supply chain security.

Section 3. Accepting, Inspecting, and Storing Drugs.

(1) In accordance with KRS 315.454, an authorized recipient shall only accept into inventory donated drugs that:

(a)

Are in original, unopened, sealed, and tamper-evident packaging; or
Have been repackaged under this program in accordance with Section 4(4);

(b) If in a single unit dose, have packaging that is unopened;

(d) Are not visually adulterated or misbranded;

(e) Are not samples;

(f) Have an expiration date of ninety (90) days or greater, unless the drug:

Is in high demand, as determined by the professional judgement of the authorized recipient; and
Can be dispensed for use prior to the drug's expiration date;

(g) Are not considered to be medical supplies;

(h) Do not require only being dispensed to a patient registered with the drug's manufacturer in accordance with federal Food and Drug Administration requirements, in accordance with KRS 315.460; and

(i) Have a USP-recognized method to detect improper temperature variations if the drugs require temperature control other than "room temperature storage."

(2)

(a) Donated drugs that do not meet the requirements of Section 3(1) shall be disposed by returning it to the drug donor, destroying it by incinerator, medical waste hauler, or other lawful method, or transferring it to a return processor.

(b) A record of disposed drugs shall consist of the:

Disposal method described in paragraph (a) of this subsection;
The date of the disposal; and
The name, strength, and quantity of each drug disposed.

(3) All drugs received but not yet accepted into repository inventory shall be quarantined in a separate, designated area.

(4)

(a) Prior to or upon acceptance of a donation or transfer into inventory, an authorized recipient shall maintain a written or electronic inventory of the donation, consisting of the:

Name, strength, and quantity of each accepted drug; and
Name, address, phone number, and permit or license number, if applicable, of the donor.

(b) This record shall not be required if the two (2) parties are under common ownership.

(5) An authorized recipient shall store and maintain donated drugs in a manner that distinguishes them from other non-donated inventory and in a secure and temperature-controlled environment that meets the drug manufacturers' recommendations and USP Chapter 659, Packaging and Storage Requirements.

Section 4. Safe Distribution and Dispensing of Drugs.

(1) An authorized recipient may:

(a) Distribute donated drugs to another authorized recipient or to an entity participating in a drug donation program operated by another state.

(b) Repackage donated drugs as necessary for storage, dispensing, administration, or distribution in accordance with Section 4(4).

(c) Replenish drugs of the same drug name and strength previously dispensed or administered to eligible patients in accordance with 21 U.S.C. 340B.

(2) An authorized recipient shall only administer or dispense drugs that:

(a) Meet the requirements of Section 3(1) and are not visually adulterated or misbranded, as determined by a pharmacist employed by, or under contract, with the health facility or pharmacy;

(b) Are, if dispensed to a patient, repackaged into a new container or have all previous patient information on the donated container redacted or removed;

(d) Have an expiration date that will not expire before the full use by the patient based on the prescribing practitioner's directions for use; and

(e) Are:

Prescribed by a physician, advanced registered nurse, or a physician assistant; and
Dispensed by a pharmacist in accordance with KRS 315.454(1)(d).

(3) An authorized recipient shall only dispense or administer drugs to an eligible patient if permitted by KRS Chapter 315 and 201 KAR Chapter 2. Prescription drugs shall:

(a) Only be dispensed or administered to patients pursuant to a valid prescription drug order; and

(b) Have patient-specific written or electronic records maintained in accordance with KRS Chapter 315 and 201 KAR Chapter 2.

(4)

(a) Repackaged drugs shall be:

Labeled with the drug name, strength, and expiration date; and
Kept in a separate designated area until inspected and initialed by a pharmacist.

(b) If multiple packaged donated drugs with varied expiration dates are repackaged together, the shortest expiration date shall be used.

(5) The donation, distribution, transfer, receipt, or facilitation of donations, distribution, transfers, and receipt of drugs pursuant to this chapter shall not be considered wholesale distribution and shall not require licensing as a wholesale distributor.

(6) An entity participating in a drug donation or repository program operated by another state may participate in the Kentucky program, and in the case of a pharmacy, may dispense donated drugs to residents of Kentucky. This entity shall be required to comply with all Kentucky statutes and administrative regulations.

(7) Indigent and uninsured patients shall have priority access to drugs dispensed through the repository program. If a drug is available and no indigent or uninsured patient requests dispensing of the drug, the drug shall be made available to underinsured patients before dispensing to others. All authorized recipients shall use the Patient Eligibility Affidavit Form provided by the board or a substantively similar physical or electronic form when confirming a patient's status as indigent, uninsured, underinsured or other.

(8) A legend drug or supply needed to administer a legend drug that is donated for use under this program shall not be resold.

(9) All legend drugs, with the exception of controlled substances and extemporaneously compounded drugs, shall be eligible for dispensing under this program.

(10) A handling fee shall not be charged to a patient for pharmacy dispensing of a repository drug.

(11) Drugs specified in a recall notice shall be considered recalled unless the drug has an affixed lot number to exclude it from the recall.

(12) An authorized recipient may dispense a therapeutic equivalent drug product under the following conditions:

(a) The ordering practitioner has indicated "formulary compliance approval" on the prescription, in one (1) of the following ways:

In the practitioner's own handwriting; or
By checking a "formulary compliance approval" box on a preprinted form;

(b) The pharmacist, within twenty-four (24) hours of the formulary compliance substitution, shall notify the ordering practitioner, in an original writing or by facsimile:

That the pharmacist engaged in formulary compliance; and
Of the therapeutic equivalent drug product that was dispensed.

(c) The pharmacist may make adjustments in the quantity and directions to provide for an equivalent dose of the preferred formulary therapeutic alternative.

Section 5. Forms and Recordkeeping.

(1) All records required by this chapter shall be retained in physical or electronic format, on or off the authorized recipient's premise for a period of five (5) years. A donor or authorized recipient may contract with one another or a third-party to create and maintain records on each other's behalf. An identifier, such as a serial number or barcode, may be used in place of any or all information required by a record or label pursuant to this chapter if it allows for this information to be readily retrievable. Upon request by the board, the identifier used for requested records shall be replaced with the original information. An identifier shall not be used on patient labels when dispensing or administering a drug.

(2) An entity that chooses to participate in the program shall make all records available to audit by the board within forty-eight (48) hours.

(3) If performing any action associated with this program or otherwise processing donated drugs for tax, manufacturer, or other credit, an authorized recipient is considered to be acting as a returns processor and shall comply with all recordkeeping requirements for nonsaleable returns, in accordance with 21 U.S.C. 360eee.

(4) A donation, or other transfer of possession or control, shall not be construed as a change of ownership unless specified by the authorized recipient. If a record of the donation's transaction information or history is required, the history shall:

(a) Begin with the donor of the drugs;

(b) Include all prior donations; and

(c) If the drugs were previously dispensed, only include drug information required to be on the patient label in accordance with KRS Chapter 315 and 201 KAR Chapter 2.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "USP 659 Packaging and Storage Requirements," 05/2017;

(b) "Legend Drug Repository Authorized Recipient Form," Form Rep. 1121A (12/2021);

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. and may be accessed online at https://pharmacy.ky.gov/Forms/Pages/default.aspx.

History

RELATES TO: KRS 217.816, 315.191, 315.450, 315.452, 315.454, 315.456, 315.458, 315.460, 21 U.S.C. 340B, 21 U.S.C. 360-1 to 360-4, 21 U.S.C. 381 to 384g
STATUTORY AUTHORITY: KRS 315.191, 315.452, 315.458
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1) authorizes the Kentucky Board of Pharmacy to promulgate administrative regulations pursuant to KRS Chapter 13A necessary to regulate and control all matters relating to pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers. KRS 315.452 and 315.458 require the board to promulgate regulations to establish the legend drug repository program. This administrative regulation establishes the legend drug repository program and the requirements to participate in the program.
History: 48 Ky.R. 2131, 2758, 2956; eff. 7-20-2022.

201 KAR 2:450 Unprofessional conduct of a pharmacy permit holder {#sec-201-kar-2-450 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:450}

Section 1. Definitions.

(1) "Pharmacy permit holder" means any permit maintained by a resident or non-resident pharmacy.

(2) "Provision of pharmacy services" means the services provided to a patient from a licensee, permit holder, or registrant.

(3) "Safe practices" means practices that aim to prevent and reduce risks, errors, and harm, or threat of harm to the public.

Section 2. Unprofessional Conduct. Unprofessional conduct for a pharmacy permit holder includes conduct such as:

(1) Introducing or enforcing policies and procedures related to the provision of pharmacy services in a manner that results in deviation from safe practices;

(2) Unreasonably preventing or restricting a patient's timely access to patient records or pharmacy services;

(3) Failing to identify and resolve conditions that interfere with a pharmacist's ability to practice competently and safely or creating an environment that jeopardizes patient care, including by failing to provide appropriate staffing, training, and appropriately requested rest and meal periods as permitted by KRS 337.355 and KRS 337.365;

(4) Repeatedly or knowingly failing to provide resources appropriate for a pharmacist of reasonable diligence to safely complete professional duties and responsibilities under state and federal laws and regulations;

(5) Requiring a pharmacist to operate a pharmacy with policies and procedures that deviate from safe practices; and

(6) Taking disciplinary action or otherwise retaliating against a licensee or registrant that reports or refuses to operate a pharmacy that deviates from safe practices or a pharmacy that deviates from state and federal laws and regulations.

History

RELATES TO: KRS 315.030, 315.035, 315.0351, 315.121, 315.131, 337.355, 337.365
STATUTORY AUTHORITY: KRS 315.191(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate and control all matters set forth in KRS Chapter 315 relating to pharmacists and pharmacies. This administrative regulation establishes the actions that constitute unprofessional conduct of a pharmacy permit holder.
History: 49 Ky.R. 693, 1454, 1757; eff. 3-9-2023.

201 KAR 2:465 Non-resident pharmacy applications and waivers {#sec-201-kar-2-465 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:465}

Section 1. Inspection Requirements.

(1) Each pharmacy shall provide to the board and maintain, in readily retrievable form, the record of a satisfactory inspection conducted within the previous twenty-four (24) month period by the licensing entity of the state where the pharmacy is located.

(2) If an inspection record as established in subsection (1) of this Section is not readily available, the record of the satisfactory inspection conducted at the expense of the pharmacy within the previous twenty-four (24) months by a third-party recognized by the board to inspect may be accepted.

(3) If an inspection has not been performed within the previous twenty-four (24) months, the board shall conduct or contract with a third party recognized by the board to inspect the pharmacy, for which all costs shall be borne by the applicant.

Section 2. Pharmacist-in-Charge.

(1) The pharmacist-in-charge shall directly and timely respond to any lawful request for information from the board or law enforcement authorities.

(2) The pharmacist-in-charge shall be responsible for receiving and maintaining publications distributed by the board.

(3) The pharmacist-in-charge shall be responsible for answering the toll-free telephone service six (6) days a week and a minimum of forty (40) hours per week. The toll-free telephone number shall be present on the label of each prescription dispensed by the pharmacy to a Kentucky resident. If the pharmacist-in-charge is unavailable, a staff pharmacist with access to patient records may answer the call, but the staff pharmacist shall notify the pharmacist-in-charge of the call and provide the pharmacist-in-charge with a callback number for the patient. If the staff pharmacist is unable to resolve the patient's question, the pharmacist-in-charge shall return the call of the patient within forty-eight (48) hours.

Section 3. Waiver.

(1) The board may grant a waiver from the permitting requirements of this section to any nonresident pharmacy which limits dispensing activity to isolated transactions.

(2) An isolated transaction is a transaction in which dispensing is limited to an established patient of the dispensing pharmacy no more than three (3) times per calendar year.

Section 4. Applications.

(1) To receive a permit as an out-of-state pharmacy, the facility shall be in good standing in the state where it is located and submit evidence consisting of:

(a) A copy of a valid license, permit, or registration issued by the regulatory or licensing agency of the state in which the pharmacy is located; and

(b) A letter from the regulatory or licensing agency of the state in which the pharmacy is located that certifies the pharmacy is in good standing. If the licensing agency does not provide a letter, primary source verification may be utilized.

(2) Each applicant shall disclose the:

(a)

Names and license numbers of all pharmacists and pharmacist-managers dispensing prescription legend drugs to an ultimate user in Kentucky, the names and, if available, the license or registration numbers of all supportive personnel employed by the out-of-state pharmacy who assist pharmacists in the dispensing;
Names, locations, titles, social security number, and date of birth of all principal corporate officers or members, if incorporated; and
If the pharmacy is owned by a partnership or sole proprietorship, the name, location, title, social security number, and date of birth of any partner or owner of the pharmacy.

(b) A report containing this information shall be made on an annual basis and within thirty (30) days of each change for any principal office, pharmacist manager, corporate officer, partner, or owner of the pharmacy.

(3) Each non-resident pharmacy shall develop and provide the board with a policy and procedure manual that sets forth:

(a) Normal delivery protocols and times;

(b) The procedure to be followed if the patient's medication is not available at the out-of-state pharmacy, or if delivery will be delayed beyond normal delivery time;

(c) The procedure to be followed upon receipt of a prescription for an acute illness, which shall include a procedure for delivery of the medication to the patient from the out-of-state pharmacy at the earliest possible time, or an alternative that ensures the patient the opportunity to obtain medication at the earliest possible time; and

(d) The procedure to be followed when the out-of-state pharmacy is advised that the patient's medication has not been received within the normal delivery time and that the patient is out of medication and requires interim dosage until mail prescription drugs become available.

(4)

(a) An applicant for an out-of-state pharmacy permit shall designate a resident agent in Kentucky for service of process.

(b) An out-of-state pharmacy that does not designate a resident agent shall be deemed to have appointed the Secretary of State of the State of Kentucky to be its true and lawful attorney upon whom process may be served.

(c) All legal process in any action or proceeding against the pharmacy arising from shipping, mailing, or delivering prescription drugs in Kentucky shall be served on the resident agent.

(d) A copy of the service of process shall be mailed to the out-of-state pharmacy by certified mail, return receipt requested, at the address of the out-of-state pharmacy as designated on the registration form filed with the board.

(e) An out-of-state pharmacy which does not register in this state, shall be deemed to have consented to service of process on the Secretary of State as sufficient service.

(5) Any entity who ships, mails, or delivers prescription drugs to Kentucky residents from more than one (1) out-of-state pharmacy shall register each pharmacy separately.

(6) An out-of-state pharmacy shall report to the disciplinary action taken by another state or jurisdiction against the pharmacy or pharmacy staff within thirty (30) days of final case resolution.

(7) An applicant shall submit photographs of the exterior of the pharmacy building and working areas.

Section 5. A nonresident pharmacy permit applicant shall submit:

(1) An initial or renewal application for a nonresident pharmacy permit on either the:

(a) Application for Non-Resident Pharmacy Permit; or

(b) Application for Non-Resident Pharmacy Permit Renewal; and

(2) As appropriate, the:

(a) Initial application fee established by 201 KAR 2:050, Section 1(8); or

(b) Renewal fee established by 201 KAR 2:050, Section 1(9).

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Non-Resident Pharmacy Permit", 04/2024; and

(b) "Application for Non-Resident Pharmacy Permit Renewal", 04/2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Pharmacy, State Office Building Annex, Suite 300, 125 Holmes Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://pharmacy.ky.gov/Businesses/Pages/Non-Resident-Pharmacy-Permit-Information.aspx.

History

RELATES TO: KRS 315.191(1)(a), (d), 315.0351
STATUTORY AUTHORITY: KRS 315.191(1)(a), (d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a), (d) authorizes the board to promulgate administrative regulations and issue and renew permits for all pharmacies. This administrative regulation establishes the requirements to obtain a non-resident pharmacy permit to engage in the practice of pharmacy in the Commonwealth.
History: 50 Ky.R. 2330; 51 Ky.R. 502, 1262; eff. 2-5-2025.

201 KAR 2:470 Change of ownership {#sec-201-kar-2-470 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:470}

Section 1. Change of entity ownership requiring a new license or permit means:

(1) Partnership. For a partnership, the removal, addition, or substitution of a partner.

(2) Unincorporated sole proprietorship. For an unincorporated sole proprietorship, the transfer of title and property to another party.

(3) Corporation.

(a) For a corporation, the merger of the licensed corporation into another corporation or the consolidation of two (2) or more corporations, resulting in the creation of a new corporation.

(b) Transfer of corporate stock or the merger of another corporation into the licensed corporation does not constitute change of entity ownership; however, notification pursuant to Section 2 of this administrative regulation shall be provided within thirty (30) days of the transaction occurring.

(4) Limited liability company (LLC).

(a) For an LLC, the merger of the licensed LLC into another LLC or the consolidation of two (2) or more LLCs, resulting in the creation of a new LLC.

(b) Transfer of company stock or the merger of another LLC into the licensed LLC does not constitute change of ownership; however, notification pursuant to Section 2 of this administrative regulation shall be provided within thirty (30) days of the transaction occurring.

Section 2. Procedure.

(1) Written notice of the following shall be provided to the board no more than thirty (30) calendar days after the transaction occurs:

(a) A transfer of stock of greater than ten (10) percent in a non-publicly traded corporation which is the direct owner of an entity;

(b) A transfer of membership interest in an LLC which is the direct owner of an entity; and

(2) Written notification shall include providing a copy of the purchase agreement if there is a stock or membership interest transfer. Purchase amounts and proprietary information may be redacted.

Section 3. Responsibility. A permit or license holder which has been served with a complaint and notice of hearing pursuant to KRS Chapter 13B for a pending disciplinary proceeding with the board of Pharmacy shall not change ownership until the issuance of a final order by the board or upon the agreement of all parties to the terms of a settlement.

History

RELATES TO: KRS 315.035(5), 315.036(1), 315.340(6), 315.350(4), 315.4104(1)
STATUTORY AUTHORITY: 315.191(1)
NECESSITY, FUNCTION, AND CONFORMITY: 315.191(1) authorizes the board to promulgate administrative regulations to regulate pharmacists, pharmacies, wholesalers, and manufacturers. KRS 315.035(5) requires that if there is a change of ownership of a pharmacy notice is to be provided by a buyer at least five (5) days prior to the date of sale and authorizes a buyer to operate under a seller's permit pending the application. This administrative regulation clarifies criteria in making determinations for when a change of ownership of a regulated entity is considered to occur for various business structures.
History: 50 Ky.R. 2091; eff. 10-23-2024.

201 KAR 2:480 Telework and electronic supervision for remote prescription processing {#sec-201-kar-2-480 omnilex-key=us-ky-regs-official--title-201--201 KAR 2:480}

Section 1. Definitions.

(1) "Electronic Supervision" means the oversight provided by a pharmacist licensed in Kentucky and supervising, by means of a real-time electronic communication system, a pharmacy intern or registered pharmacy technician who is working for a permitted pharmacy.

(2) "Telework" means the practice or assistance in the practice of pharmacy by a pharmacist licensed in Kentucky, a pharmacy technician registered in Kentucky, or a pharmacy intern certified in Kentucky from a remote location outside of the permitted pharmacy.

(3) "Telework Functions" means:

(a) For a pharmacist, include:

Receiving, interpreting, or clarifying medical orders or prescription drug orders;
Order entry and order entry verification;
Transfer of prescription information;
Prospective drug utilization reviews;
Interpretation of clinical data;
Refill authorizations;
Performing therapeutic intervention; and
Patient counseling; and

(b) For a pharmacy technician are limited to tasks authorized under KRS 315.020(5).

(4) "Telework Site" means a location within the United States where a Kentucky-registered pharmacy technician assists in the practice of pharmacy, or a Kentucky-licensed pharmacist or Kentucky-certified pharmacy intern engages in the practice of pharmacy outside of the pharmacy that is located and permitted in Kentucky.

Section 2. Requirements.

(1) Prescription drugs and related devices shall not be at a telework site.

(2) The pharmacy utilizing telework functions shall:

(a) Possess a written agreement with the licensee or registrant that includes all conditions, duties, and policies governing the licensee or registrant engaged in telework activities; and

(b) Maintain a continuously updated, readily retrievable, list of all licensees and registrants engaged in telework and the:

Address and phone number for each telework site;
Functions being performed by licensees or registrants engaged in telework; and
The name of the pharmacist providing supervision for each non-pharmacist registrant.

(3) The pharmacist-in-charge or the designee appointed by the pharmacist-in-charge of a pharmacy utilizing telework functions shall:

(a) Develop, implement, and enforce a continuous quality improvement program designed to objectively and systematically:

Monitor, evaluate, and document the quality and appropriateness of patient care;
Improve patient care;
Identify, resolve, and establish the root cause of dispensing and drug utilization review errors; and
Implement measures to prevent recurrence;

(b) Develop, implement, and enforce a procedure for identifying the pharmacist, pharmacy intern, and pharmacy technician responsible for telework functions; and

(c) Develop, implement, and enforce a process for a virtual inspection of each telework site where a pharmacist technician is assisting in the practice of pharmacy or a pharmacy intern is engaged in the practice of pharmacy.

The virtual inspection shall be conducted by a pharmacist at least once every twelve (12) months or more frequently based upon the professional judgment of the pharmacist.
The inspection shall be documented and records retained.
Board staff may request and participate in virtual inspections.

Section 3. Electronic Supervision Requirements. The pharmacy, pharmacist-in-charge, or the designee appointed by the pharmacist-in-charge and the supervising pharmacist from the pharmacy shall:

(1) Utilize an electronic communication system and have appropriate technology or interface to allow access to information required to complete assigned duties;

(2) Ensure a pharmacist is supervising and directing each pharmacy intern and pharmacy technician and that the electronic communication system is operational;

(3) Ensure that a pharmacist, using professional judgment, determines the frequency of check-ins with registrants to ensure patient safety, competent practice, and compliance with federal and state laws;

(4) Ensure that a pharmacist is readily available to answer questions and be fully responsible for the practice and accuracy of the registrant; and

(5) Ensure the pharmacy intern or pharmacy technician knows the identity of the pharmacist who is providing supervision and direction.

Section 4. Confidentiality. The pharmacy, pharmacist-in-charge of the pharmacy, or the designee appointed by the pharmacist-in-charge, and the pharmacist, pharmacy intern, and pharmacy technician shall:

(1) Ensure patient and prescription information is managed in compliance with current state and federal law;

(2) Ensure the security and confidentiality of patient information and pharmacy records;

(3) Document in writing and report to the board within ten (10) days of discovery any confirmed breach in the security of the system or breach of confidentiality; and

(4) Report any breach of security or confidentiality to the Kentucky permitted pharmacy within twenty-four (24) hours of discovery.

Section 5. Technology. The pharmacist-in-charge or the designee appointed by the pharmacist-in-charge shall:

(1) Test the electronic communication system with the telework site and document that it operates properly before the pharmacy intern or pharmacy technician engages in telework at the telework site;

(2) Develop, implement, and enforce a plan for responding to and recovering from an interruption of service that prevents a pharmacist from supervising and directing the pharmacy intern and pharmacy technician at the telework site;

(3) Ensure access to appropriate and current pharmaceutical references based on the services offered, which shall include Kentucky Revised Statutes, Kentucky Administrative Regulations, United States Code, Code of Federal Regulations, standards adopted by reference, and the Board of Pharmacy quarterly newsletters; and

(4) Train the pharmacists, pharmacy interns, and pharmacy technicians in the operation of the electronic communication system.

Section 6. Security.

(1) The pharmacist-in-charge or the designee appointed by the pharmacist-in-charge and each pharmacist supervising a telework site shall ensure the telework site has a designated work area that is secure and has been approved by a pharmacist based on compliance with this administrative regulation prior to utilization.

(2) Confidentiality shall be maintained so that patient information cannot be viewed or overheard by anyone other than the pharmacist, pharmacy intern, or pharmacy technician.

(3) All computer equipment used for telework shall:

(a) Establish and maintain a secure connection to the pharmacy and patient information;

(b) Utilize a program that prevents unauthorized access to the pharmacy and patient information;

There is not a pharmacist actively supervising the pharmacy intern or pharmacy technician at a telework site;
There is not a pharmacy intern or pharmacy technician present at the electronically supervised telework site; or
Any component of the electronic communication system is not functioning; and

(d) Be configured so information from any patient or pharmacy records are not duplicated, downloaded, or removed from the electronic database if an electronic database is accessed remotely.

(4) A record shall be maintained with the date, time, and identification of the licensee or registrant accessing patient or pharmacy records at a telework site.

(5) All records shall be stored in a secure manner that prevents access by unauthorized persons.

Section 7. Policies and Procedures.

(1) The pharmacy and the pharmacist-in-charge, or the designee appointed by the pharmacist-in-charge, shall be accountable for establishing, maintaining, and enforcing written policies and procedures for the licensees working via telework. The written policies and procedures shall be maintained at the pharmacy and shall be available to the board upon request.

(2) The written policies and procedures shall include the services and responsibilities of the licensee or registrant engaging in telework including:

(a) Security;

(b) Operation, testing, training, and maintenance of the electronic communication system;

(d) Pharmacist supervision and direction of pharmacy interns and pharmacy technicians;

(e) Recordkeeping;

(f) Patient confidentiality;

(g) Continuous quality improvement;

(h) Plan for discontinuing and recovering services if the electronic communication system is disrupted;

(i) Confirmation of secure telework sites;

(j) Documenting the identity, function, location, date, and time of the licensees engaging in telework at a telework site;

(k) Written agreement with contracted licensees engaging in telework outlining the specific functions performed and requirement to comply with telework policies and procedures; and

(l) Equipment.

Section 8. Records.

(1) The recordkeeping requirements of this administrative regulation shall be in addition to 201 KAR 2:171.

(2) A pharmacy utilizing registrants or licensees via telework shall be able to produce a record of each pharmacist, pharmacy intern, or pharmacy technician involved in each order entry function. The record shall include the date and time when each step function was completed.

(3) Physical records shall not be stored at the telework site.

(4) Records shall not be duplicated, downloaded, or removed if accessed via telework.

(5) Records shall be stored in a manner that prevents unauthorized access.

(6) Records shall include items such as:

(a) Patient profiles and records;

(b) Patient contact and services provided;

(d) If processing prescriptions, date, time, and identification of the licensee or registrant and the specific activity or function of the person performing each step in the process;

(e) Training records;

(f) Virtual inspections;

(g) List of employees performing telework that includes:

Name;
License or registration number and expiration date;
Address of telework site; and
Name of the pharmacist who:

a. Supervised the pharmacy intern or pharmacy technician;

b. Approved licensee to telework; and

c. Approved each telework site; and

(h) Electronic communication system testing and training.

Section 9. Prohibited Practices. Final product verification and dispensing from a location outside of or other than a permitted pharmacy shall not occur in telework.

History

RELATES TO: KRS 315.020(5), 315.310
STATUTORY AUTHORITY: KRS 315.191(1)(a)
CERTIFICATION STATEMENT: This is to certify that the administrative regulation complies with the requirements of 2025 RS HB 6, Section 8. The Board of Pharmacy is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 315.191(1)(a) authorizes the board to promulgate administrative regulations to regulate and control all matters prescribed in KRS Chapter 315. KRS 315.020(5) authorizes order entry, order entry verification, and drug regimen review as tasks that may be performed outside of the permitted space of the pharmacy by a pharmacist licensed in Kentucky, a pharmacy technician registered in Kentucky, or a pharmacy intern certified in Kentucky. This administrative regulation establishes the minimum requirements for pharmacies located in Kentucky engaged in remote prescription processing and the requirements for electronic supervision.
History: 201 KAR 002:480. 51 Ky.R. 172, 1082; eff. 2-26-2025; 51 Ky.R.1869; 52 Ky.R. 400, 554; eff. 10-22-2025.

Chapter 5 Board of Optometric Examiners

201 KAR 5:002 Board administration and optometric practice {#sec-201-kar-5-002 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:002}

Section 1. Definitions.

(1) "Board Member's Compensation" means that each board member is eligible for a per diem of $100 for each day in which that member conducts work on behalf of the board.

(2) "Charitable organization" means a nonprofit entity accepted by the Internal Revenue Service and organized for benevolent, educational, philanthropic, humane, social welfare, or public health purposes.

(3) "Charitable purpose" means a purpose that holds itself out to be benevolent, educational, philanthropic, humane, or for social welfare or public health.

(4) "Expungement" means that:

(a) The affected records are sealed;

(b) The proceedings to which they refer are found not to have occurred; and

(5) "Minor violations" means:

(a) Failure to timely renew a license;

(b) Failure to timely obtain continuing education; and

(c) Does not include any violations of the laws surrounding the advertisement of optometric services by Doctors of Optometry.

Section 2. Advertising.

(1) An advertisement shall state if additional charges may be incurred in an eye examination for related services in individual cases.

(2) An advertisement of price for visual aid glasses, including contact lenses or other optical goods, alone shall clearly state: "does not include eye examination".

(3) Any doctor of optometry who has been subjected to any disciplinary measures for advertising violations may be required by the board to secure prepublication approval of all advertisements by the board for any period of time which the board finds appropriate.

(4) When advertising an eye examination, the examination shall follow the standards of care and established clinical practice guidelines adopted by the American Optometric Association at the time of the provision of care and available at https://www.aoa.org/practice/clinical-guidelines/clinical-practice-guidelines?sso=y.

(5) The advertisement of eye glass lenses shall include: single vision or specified type of multifocal lenses.

(6) Advertisement of contact lenses shall include:

(a) Description of type of lens; for example, "soft, tinted, extended wear toric"; and

(b) Whether or not professional fees are included in the advertised price.

(7) If dispensing fees are not included in the advertisement of visual aid glasses, the advertisement shall so state.

(8) The advertisement of optometric services rendered in Kentucky shall include whether the services will be performed by a licensed doctor of optometry:

(a) In-person;

(b) Via live or real-time audio and video synchronous telehealth technology; or

(9) Except as provided in subsection (10) of this section, a person, individually or while employed or connected with a corporation or association, shall not advertise the fitting of contact lenses unless they are a doctor of optometry, physician or osteopath.

(10) An ophthalmic dispenser may advertise that he or she dispenses contact lenses, if the patient presents a valid prescription from a doctor of optometry, physician or osteopath.

(11) Advertising shall be prohibited if it represents a doctor of optometry as a specialist in an optometric specialty if the Doctor of Optometry has not:

(a) Been certified by a certifying board which has been approved by the Kentucky Board of Optometric Examiners and recognized by the Federal Government; and

(b) Furnished proof of his or her certification to the Kentucky Board of Optometric Examiners;

(12) A doctor of optometry shall not advertise a coded or special name for a visual material or service that has an established trade name, if the coded or special name would deceive consumers.

Section 3. Unprofessional Conduct.

(1) A doctor of optometry shall not practice optometry in an office if the instruments and equipment, including office furniture, fixtures and furnishings, contained therein are not maintained in a working, clean and sanitary manner.

(2) Pursuant to KRS Chapters 311, 320, and KRS 326.030 only doctors of optometry, osteopaths and physicians are authorized to fit contact lenses. Ophthalmic dispensers may fit contact lenses in the presence of and under the supervision of a doctor of optometry, osteopath or physician.

(3) The signed spectacle prescription, or contact lens prescription shall be given to the patient at the completion of the examination and payment of fees.

(4) A doctor of optometry shall use the letters "OD" or "O.D." in any advertisement where a doctor of optometry uses letters to denote an optometry degree.

(5) A doctor of optometry shall not give or receive a fee, salary, commission, or other remuneration or thing of value, in any manner, or under any pretext, to or from any person, firm, or corporation in return for the referral of optometric patients, or in order to secure optometric patients. Payment between health providers or from a health services industry, solely for the referral of a patient, is considered fee splitting and unprofessional conduct.

(6) A doctor of optometry shall not be employed by an unlicensed doctor of optometry, firm, or corporation as an optometrist, except to the extent permitted by subsection (7) of this section or an entity approved by the Kentucky Board of Optometric Examiners.

(7) A doctor of optometry shall not enter into a contract, agreement, or arrangement, for the hire or leasing of his or her professional services, except that upon the:

(a) Death of a Kentucky licensed Doctor of Optometry, the surviving spouse or estate of the deceased Doctor of Optometry may contract optometric services or employ a Kentucky licensed doctor of optometry for a period not to exceed eighteen (18) months from the time of death; or

(b) Permanent disability of a Kentucky licensed doctor of optometry, the spouse, legal guardian, or disabled doctor of optometry may contract optometric services or employ a Kentucky licensed doctor of optometry for a period not to exceed eighteen (18) months from the time of disability.

(8) The provisions of subsections (5), (6), and (7) of this section shall not prohibit employment of an optometrist by:

(a) A licensed hospital;

(b) A licensed multidisciplinary health clinic;

(d) A governmental entity; or

(e) Another entity approved by the Kentucky Board of Optometric Examiners.

(9) Clinical patient care shall be determined by the doctor of optometry and not determined by outside influences or third parties.

(10) A doctor of optometry shall not engage in any unlawful, grossly unprofessional, or incompetent practice, nor shall they practice in premises where others engage in any unlawful, grossly unprofessional, or incompetent practice, if that practice is known to the doctor of optometry, or would have been known to a person of reasonable intelligence.

(11) A doctor of optometry shall not be associated with or share an office or fees with a person who is engaged in the unauthorized practice of optometry.

(12) A doctor of optometry shall keep the visual welfare of the patient uppermost at all times and on dismissal of patient shall provide adequate opportunity to obtain other eye care regardless of the patient's financial status.

(13) A doctor of optometry shall treat with confidentiality the protected health information obtained from the patient, except as otherwise required by law.

(14) A doctor of optometry shall provide care that is consistent with established clinical practice guidelines, specifically those adopted by the American Optometric Association at the time of the provision of care, and shall only employ those clinical procedures and treatment regiments for which they are competent to perform and within the scope of practice.

(15) It is unprofessional conduct to fail to maintain in good working order, or to be unable to operate instruments and equipment necessary to provide competent clinical care as established in the clinical practice guidelines adopted by the American Optometric Association at the time of the provision of care.

(16) The patient care performed in a patient's case shall be left to the professional judgment of the doctor of optometry and determined by the established American Optometric Association clinical practice guidelines in effect at that time.

(17) An act constituting a violation of KRS Chapter 320, or any applicable state or federal law related to provider-patient care shall be unprofessional conduct.

(18) It is unprofessional conduct for a doctor of optometry to fail to inform the board of the change in location, mailing address, and telephone number of each office he or she practices in within thirty (30) days of any change.

Section 4. Expungement Eligibility and Procedure.

(1) The licensed doctor of optometry shall not have been the subject of a subsequent violation of the same nature for a period of three (3) years after the date of completion of disciplinary sanctions imposed for the violation sought to be expunged; and

(2) They shall submit a written request to the board. The board shall consider each request and shall, if the requirements established in KRS 320.310(3) and this administrative regulation are satisfied, expunge the record of the subject disciplinary order.

Section 5. Trade Names. A doctor of optometry may practice under a trade name if:

(1) It is not the same as his or her name; and

(2) The name of each doctor of optometry practicing in his or her office is prominently displayed on:

(a) The exterior of the main entrance to the office; and

(b) Stationery, prescription pads, telephone directory listings, and other items bearing or displaying the trade name, including any form of electronic communication media.

Section 6. Practice of Optometry Outside of Regular Office for a Charitable Purpose.

(1) In order for a Kentucky licensed doctor of optometry to provide optometric services outside the doctor of optometry's regular office for a charitable purpose, a charitable organization shall provide to the board:

(a) A written request to include the services of Kentucky licensed doctor of optometry at least thirty (30) days before the optometric services are to be offered;

(b) Proof of its nonprofit status;

(d) The names of all participating doctors of optometry;

(e) The address of the location where the optometric services will be offered;

(f) The dates and times the optometric services will be offered, which shall not exceed seven (7) days per event;

(g) A statement of the nature of the optometric services to be provided and the class of individuals who are intended to be the recipients of the optometric services;

(h) A statement that the charitable organization shall retain and maintain a patient record for each individual treated by the participating doctor of optometry, and where the patient may seek access to the record; and

(i) A statement that the charitable organization shall require every participating doctor of optometry to follow the standards of care and established clinical practice guidelines adopted by the American Optometric Association at the time of the provision of care.

(2) The board or its acting president may waive the thirty (30) day requirement based on exigent circumstances that prevented the charitable organization from complying with the thirty (30) day requirement. Exigent circumstances, for example include instances such as a governor's state of emergency, or as based on some significant need with board approval retroactively at the next meeting.

(3) The board or its acting president shall notify the charitable organization in writing if its request has been approved within ten (10) business days of receipt of the completed request.

(4) A written request may include multiple events on different dates if the events are scheduled within twelve (12) months of the date the completed request is received by the board.

(5) Lenses shall be first quality and meet the requirements of inspection, tolerance, and testing procedures as established in the:

(a)

American National Standards Institute, ANSI Z80 recently approved accredited standards, which may be obtained through the Web site at https://www.z80asc.com/; and
ANSI Z80 list of currently active standards, which may be obtained through the Web site at https://www.z80asc.com/Z80asc/Standards/Z80/Standards.aspx?hkey=c8f40f21-a61f-4df3-9821-9f8315e70bde;

(b) ANSI/ISEA Z87.1-2020, and standards overseen by the ANSI committee relating to occupational and educational safety eyewear, which may be obtained through the ANSI Web store at webstore.ansi.org; and

(c) American Society for Testing and Materials, ASTM International, standards relating to eye safety for sports and recreational safety eyewear, under the ASTM F08.57 committee, which may be obtained through the Web site at https://www.astm.org/get-involved/technical-committees/committee-f08/subcommittee-f08/jurisdiction-f0857.

(6) Failure to comply with the terms of this administrative regulation may result in denial or withdrawal of approval.

History

RELATES TO: KRS 320.230, 320.240(7), 320.295, 320.300(4), 320.310(1)(f), (2), (3), 326.060
STATUTORY AUTHORITY: KRS 320.230, 320.240, 320.295, 320.300(4), 320.310(1)(f), (n), (2), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.295 prohibits false, misleading, or deceptive advertising, and this includes advertising in all forms, including print media and electronic media. KRS 320.310(3) authorizes the board to promulgate an administrative regulation to establish minor violations that are subject to expungement. KRS 320.240(4), (7), and (8) authorize the board to promulgate an administrative regulation about what acts constitute unprofessional conduct. KRS 320.310(1)(n) authorizes the board to discipline a licensee who violates an administrative regulation promulgated by the board. KRS 320.310(2) permits each doctor of optometry to maintain branch offices. KRS 320.230 authorizes board members to receive per diem compensation to be determined by administrative regulation of the board not to exceed $125. KRS 320.300(4) prohibits a person from practicing optometry under any name other than his or her own except as permitted by the board in its administrative regulations. KRS 320.310(1)(f) authorizes the board to promulgate administrative regulations to permit the practice of optometry outside of the licensee's regular office for a charitable purpose as defined by the board. This administrative regulation establishes requirements for advertising, minor violations subject to expungement, acts that constitute unprofessional conduct, the furnishing of information concerning each office to the board, board member per diem compensation, practice under a trade name, and the standards for the practice of optometry outside the licensee's office for a charitable purpose.
History: 49 Ky.R. 1371, 1943, 2080; eff. 6-21-2023.

201 KAR 5:005 Fines and fees {#sec-201-kar-5-005 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:005}

Section 1. Initial Application Fee. A non-refundable initial application and license fee shall be $500 per year, as established in 201 KAR 5:010.

Section 2. Application for License by Endorsement Fee. A non-refundable application and license by endorsement fee shall be $700 per year, as established in 201 KAR 5:010.

Section 3. Initial License Fee. A non-refundable initial license fee shall be pro-rated from $300 for the remainder of months left in the license year.

Section 4. Renewal License Fee. A non-refundable renewal license fee shall be $300 per year, as established in 201 KAR 5:090.

Section 5. Late Renewal License Fee. A non-refundable late renewal license fee shall be $100, in addition to the renewal license fee established in Section 4 of this administrative regulation.

Section 6. Duplicate License Fee. A non-refundable fee for a duplicate license renewal certificate shall be twenty (20) dollars.

Section 7. Reinstatement Fee. A reinstatement fee shall be $300 for each year, or any portion of a year that the license was not renewed.

Section 8. Reinstatement Administrative Processing Fee. A reinstatement administrative processing fee shall be $300, in addition to the reinstatement fee outlined in Section 7 of this administrative regulation.

Section 9. Name Change Fee. A non-refundable fee to process a name change shall be twenty-five (25) dollars.

Section 10. Insufficient Funds Fee. An insufficient funds fee for a returned check or denied online banking (ACH) payment shall be fifty (50) dollars.

Section 11. Continuing Education Non-compliance Fine. A fine of $500 shall be assessed against any licensee who fails to comply with the Continuing Education requirements for Kentucky Optometrists, as established in KRS 320.280 and 201 KAR 5:030. The initial assessment of this fine against a licensee shall not result in disciplinary action and shall not be reported to the National Practitioners Databank (NPDB). However, any subsequent violations of this provision may be reported to the NPDB at the discretion of the board. In these instances, the action will be appealable pursuant to KRS 320.331 and KRS Chapter 13B.

Section 12. License Verification List. A fee for a licensee verification list shall be $100.

Section 13. Individual License Verification. A fee for an individual licensee written verification shall be twenty-five (25) dollars.

History

RELATES TO: KRS Chapter 13B, 218A.205(3)(h), (8), 320.220, 320.250, 320.270, 320.280, 320.310, 320.331
STATUTORY AUTHORITY: KRS 218A.205(3)(h), (8), 320.240(4), (7), 320.270(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.240(4) requires the board to promulgate administrative regulations for the reasonable regulation of the profession of optometry and the practice thereof by licensed optometrists. KRS 320.220(1) requires all persons who practice optometry in this state to be licensed by the Kentucky Board of Optometric Examiners. KRS 320.250 establishes criteria for an applicant to apply for a license. KRS 320.270 authorizes the board to admit to practice in Kentucky persons licensed to practice optometry in other states. KRS 218A.205(3)(h) and (8) require fingerprint-supported criminal record checks and queries to the National Practitioner Data Bank on applicants. This administrative regulation establishes fees, including fees relating to licensure, and fines those who fail to comply with continuing education requirements.
History: 50 Ky.R. 989, 1468; eff. 1-18-2024; 51 Ky.R. 711, 1263; eff. 2-5-2025.

201 KAR 5:030 Annual courses of study required {#sec-201-kar-5-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:030}

Section 1.

(1) The annual course of study shall be completed each calendar year.

(2)

(a) A licensee shall attend a minimum of eight (8) continuing education credit hours.

(b) In addition to the requirements of paragraph (a) of this subsection, an optometrist who is authorized to prescribe therapeutic agents shall attend a minimum of seven (7) credit hours in ocular therapy and pharmacology, for a total of at least fifteen (15) continuing education credits.

(c) In addition to the requirements of paragraph (a) and (b) of this subsection, an optometrist who is credentialed by the board to perform expanded therapeutic procedures shall attend a minimum of five (5) additional credit hours in expanded therapeutic procedures, for a total of at least twenty (20) continuing education credits.

(d) A licensee who is authorized to prescribe controlled substances shall obtain two (2) credit hours that relate to the use of the electronic monitoring system established in accordance with KRS 218A.202 known as Kentucky All Schedule Prescription Electronic Reporting (KASPER), pain management, or addiction disorders as part of the licensee's total continuing education credits.

Section 2. In order to be approved, an educational course shall be sponsored by a recognized not for profit state, regional (multistate), or national optometric association, an accredited college of optometry, or an accredited college of medicine.

Section 3.

(1) In order to be credited for an educational course, a licensee shall submit an attendance form to the board.

(2) The attendance form shall be submitted on or before December 31 of each calendar year.

Section 4. A sponsor of an approved educational course shall furnish an attendance form to a licensee. The attendance form shall contain the following information:

(1) Name of the sponsoring organization;

(2) Name and address of the licensee;

(3) Educational topics addressed at the course;

(4) Identity of the speakers;

(5) Number of hours attended by the licensee;

(6) Date of the program;

(7) Statement by the licensee that he or she has attended the course; and

(8) Signature of an official of the sponsoring organization.

Section 5. Credit shall not be given for more than two (2) hours attendance in a course of office management and administration.

Section 6.

(1) Except as established in subsection (2) of this section, credit may be granted for a maximum of five (5) hours continuing education through the Internet.

(2) The credit hours required by Section 1(2)(c) of this administrative regulation shall not be obtained through the Internet.

History

RELATES TO: KRS 218A.202, 218A.205(3)(h), 320.280
STATUTORY AUTHORITY: KRS 218A.205(3)(h), 320.240(7), 320.280(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.280(2) requires all licensed optometrists to annually take courses of study in subjects relating to the practice of optometry. KRS 218A.205(3)(h) requires optometrists to obtain seven and one-half (7.5) percent of their continuing education credits in the use of the electronic monitoring system established pursuant to KRS 218A.202, pain management, or addiction disorders. This administrative regulation establishes the required hours of study and prescribes the approved programs and those records that shall be maintained and submitted showing proof of attendance at those programs.
History: 1 Ky.R. 61; eff. 11-13-1974; Am. 17 Ky.R. 2486; 2941; eff. 4-5-1991; 27 Ky.R. 2866; 28 Ky.R. 350; eff. 8-15-2001; 28 Ky.R. 2639; 29 Ky.R. 430; eff. 8-12-2002; 39 Ky.R. 511; eff. 2-1-2013; 42 Ky.R. 824; 1460; eff. 11-18-2015; Cert eff. 11-10-2022.

201 KAR 5:055 Telehealth {#sec-201-kar-5-055 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:055}

Section 1. Definitions.

(1) "Doctor of Optometry" means an individual licensed by the Kentucky Board of Optometric Examiners to engage in the practice of optometry.

(2) "Patient" means the person receiving services or items from a doctor of optometry.

(3) "Practice of optometry" is defined by KRS 320.210(2).

(4) "Telehealth" is defined by KRS 211.332(5) and 320.390(3).

Section 2. Communication and Informed Consent Requirements.

(1) All telehealth services by a doctor of optometry shall be conducted:

(a) By a doctor of optometry to a patient or to another health care provider at a different location; and

(b) Over secure telecommunication technologies, including technologies such as synchronous and asynchronous technology, remote patient monitoring technology, and audio-only encounters.

(2) Prior to the delivery of telehealth services, a doctor of optometry shall obtain the informed consent of the patient or obtain the consent by another appropriate person with authority to make the health care treatment decision for the patient such as the legal guardian or medical power of attorney.

(a) Informed consent by a patient may be provided in writing, verbally acknowledged, or electronically submitted.

(b) The informed consent shall include an acknowledgment of the risks and limitations of telehealth services.

Section 3. Jurisdictional Considerations.

(1) A doctor of optometry licensed by the Kentucky Board of Optometric Examiners may provide telehealth services in the practice of optometry:

(a) To a person who is a permanent resident of Kentucky if the person is located in Kentucky;

(b) To a person who is a permanent resident of Kentucky if the person is temporarily located outside of Kentucky; or

(2) A doctor of optometry licensed by the Kentucky Board of Optometric Examiners may provide telehealth services if the doctor of optometry is not physically located in Kentucky to a permanent resident of Kentucky.

(3) A doctor of optometry licensed by the Kentucky Board of Optometric Examiners may establish a doctor-patient relationship using telehealth and digital technologies.

Section 4. Representation of Services and Code of Conduct.

(1) A doctor of optometry shall not engage in false, misleading, or deceptive advertising.

(2) An advertisement for telehealth services shall comply with 201 KAR 5:002, Section 2.

(3) Evaluation, treatment, and consultation recommendations by a doctor of optometry via telehealth shall be held to the same standards of appropriate practice as those in traditional in-person clinical settings and established in 201 KAR 5:002, Section 3.

(4) A doctor of optometry providing optometry services via telehealth shall:

(a) Verify the identity of the patient before telehealth services are performed;

(b) Collect and review a patient's medical history;

(c) Provide any applicable accommodations required by the Federal Americans with Disabilities Act, 42 U.S.C. secs. 12101 et seq., as amended;

(d) Maintain patient privacy and security in accordance with applicable state and federal law;

(e) Gather and transmit protected health information in compliance with the federal Health Insurance Portability and Accountability Act of 1996, as amended, 42 U.S.C. secs. 1320d to 1320d-9;

(f) Document and maintain a record of the patient's presenting problem or purpose for the telehealth service, including the diagnosis or treatment and include which services were provided by telehealth;

(g) Perform telehealth services with a recognized Current Procedural Terminology Code maintained by the American Medical Association, if applicable;

(h) Secure all required credentialing for reimbursement of telehealth services; and

(i) Obtain privileges if required by hospitals or facilities to admit and treat patients.

(5) An optometrist providing telehealth services shall not split fees in accordance with KRS 320.300(3);

(6) Prescriptions for controlled substances shall not be made via telehealth by a doctor of optometry.

(7) A contact lens or visual aid glasses prescription issued through telehealth shall include the requirements established in the Kentucky Consumer Protection in Eye Care Act, KRS 367.680 to 367.690.

Section 5. Utilization of Telehealth in Provision of Continuing Education. Credit for telehealth educational presentations shall be granted in accordance with 201 KAR 5:030.

History

RELATES TO: KRS 211.332, 211.334, 211.335, 211.336, 320.210, 320.300, 320.390, 367.680-367.690, 42 U.S.C. secs. 1320d to 1320d-9, 12101 et. seq.
STATUTORY AUTHORITY: KRS 211.332, 211.336, 320.390(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.390(2) requires the Board of Optometric Examiners to promulgate administrative regulations to prevent abuse and fraud through the use of telehealth services, prevent fee-splitting through the use of telehealth services, and utilize telehealth in the provision of optometric services and in the provision of continuing education. KRS 211.336 establishes requirements for a state agency that promulgates administrative regulations relating to telehealth. This administrative regulation establishes requirements for the use of telehealth services.
History: 41 Ky.R. 672; 1040; 1308; eff. 11-19-2014; 49 Ky.R. 1974; 50 Ky.R. 22; eff. 7-24-2023.

201 KAR 5:070 Board members compensation {#sec-201-kar-5-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:070}

Section 1. A board member's per diem compensation shall be $100.

History

RELATES TO: KRS 320.230
STATUTORY AUTHORITY: KRS 320.230, 320.240
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.230 allows the board members to receive per diem compensation to be determined by administrative regulation of the board not to exceed $125. This administrative regulation prescribes the board member's per diem compensation.
History: 17 Ky.R. 2564; eff. 4-5-91; Crt eff. 2-21-2020.

201 KAR 5:080 Trade names {#sec-201-kar-5-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:080}

Section 1. An optometrist may practice under a trade name if:

(1) It is not the same as his name; and

(2) The name of each optometrist practicing in his office is prominently displayed on:

(a) The exterior of the main entrance to the office; and

(b) Stationery, prescription pads, telephone directory listings, and other items bearing or displaying the trade name.

History

RELATES TO: KRS 320.300(4)
STATUTORY AUTHORITY: KRS 320.240, 320.300(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.300(4) prohibits a person from practicing optometry under any name other than his own except as permitted by the board in its administrative regulations. This administrative regulation prescribes the instances where an optometrist may practice under a trade name.
History: 17 Ky.R. 2564; Am. 2946; eff. 4-5-91; Crt eff. 2-21-2020.

201 KAR 5:090 Annual renewal fee {#sec-201-kar-5-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:090}

Section 1. The annual renewal fee for an optometrist shall be $300.

History

RELATES TO: KRS 320.280
STATUTORY AUTHORITY: KRS 320.240(4), 320.280(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.280(1) requires the Kentucky Board of Optometric Examiners to promulgate an administrative regulation to establish the payment of the fee required for an optometrist to annually secure a renewal certificate. This administrative regulation establishes the amount of the annual renewal fee.
History: 17 Ky.R. 2565; eff. 4-5-1991; 27 Ky.R. 2871; eff. 8-15-2001; 44 Ky.R. 2548; 45 Ky.R. 330; eff. 8-31-2018; 51 Ky.R. 714; eff. 2-5-2025.

201 KAR 5:110 Expanded therapeutic procedures {#sec-201-kar-5-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:110}

Section 1. Qualifications for a Kentucky Licensed Optometrist to be Credentialed to Utilize Expanded Therapeutic Procedures. A Kentucky licensed optometrist shall be credentialed to perform expanded therapeutic procedures if:

(1) The applicant provides proof that the applicant:

(a) Holds an active license in good standing by another state;

(b) Is also credentialed by that state to perform expanded therapeutic procedures; and(c) The requirements in the state of licensure for performing expanded therapeutic procedures meet or exceed the requirements in this section; or

(2) The optometrist:

(a) Is currently therapeutically licensed in Kentucky; and

(b) Provides proof of completion of a course approved by the board that includes:

Didactic classroom instruction covering:

a. Laser physics; hazards and safety;

b. Biophysics of laser;

c. Laser application in clinical optometry;

d. Laser tissue interactions;

e. Laser indications; contraindications and potential complications;

f. Gonioscopy;

g. Laser therapy for open angle glaucoma;

h. Laser therapy for angle closure glaucoma;

i. Posterior capsulotomy;

j. Common complications; lids, lashes, and lacrimal;

k. Medicolegal aspects of anterior segment procedures;

l. Peripheral iridotomy;

m. Laser trabeculoplasty

n. Minor surgical procedures;

o. Overview of surgical instruments; asepsis and OSHA;

p. The surgical anatomy of the eyelids;

q. Emergency surgical procedures;

r. Chalazion management;

s. Epilumeninesence microscopy;

t. Suture techniques;

u. Local anesthesia; techniques and complications;

v. Anaphylaxsis and other office emergencies;

w. Radiofrequency surgery; and

x. Post-operative wound care;

Clinical or laboratory experience including:

a. Video tape demonstration;

b. In vitro observation or participation;

c. In vivo observation; and

d. A formal clinical or laboratory practical examination; and

Passage of a written test utilizing the National Board of Examiners in Optometry format.

(3) A board approved course shall be:

(a) Provided by an accredited optometry or medical school;

(b) Taught by full-time or adjunct faculty members of an accredited optometry or medical school;

(d) Sponsored by an organization that meets the standards of 201 KAR 5:030.

Section 2. Qualifications for a New Applicant for Licensure to be Credentialed to Utilize Expanded Therapeutic Procedures. A new applicant for licensure as an optometrist shall be credentialed to perform expanded therapeutic procedures if:

(1) The applicant provides proof that the applicant has graduated from an optometry school with a program that includes all of the education, training, and testing requirements established in Section 1 of this administrative regulation; or

(2) By the end of the second licensure renewal period, the licensee shall provide proof of compliance with Section 1 of this administrative regulation.

Section 3. Qualifications for an Applicant for Licensure by Endorsement to be Credentialed to Utilize Expanded Therapeutic Procedures. An applicant for licensure by endorsement shall be credentialed to perform expanded therapeutic procedures in Kentucky if:

(1) The applicant provides proof that:

(a) The applicant holds an active license in good standing by another state;

(b) Is credentialed by that state to perform expanded therapeutic procedures; and

(c) The requirements in the state of licensure for performing expanded therapeutic procedures meet or exceed the requirements in Section 1; or

(2) By the end of the second licensure renewal period, the licensee provides proof of compliance with Section 1 of this administrative regulation.

Section 4. Qualifications for an Optometrist to be Credentialed to Utilize Expanded Therapeutic Laser Procedures.

(1) An optometrist credentialed in Kentucky to perform expanded therapeutic procedures shall be credentialed to perform expanded therapeutic laser procedures if the optometrist provides documentation to the board from a board approved preceptor indicating that the optometrist has:

(a) Performed the anterior segment laser procedure in the presence of the board approved qualified preceptor; and

(b) Demonstrated clinical proficiency to the board approved preceptor in the performance of the procedure on a living human eye.

(2) The board approved preceptor shall document in writing the preceptor's observations of the optometrist's performance and state that the optometrist has satisfactorily demonstrated the optometrist's knowledge and qualifications in the performance of the procedure.

(3) A board approved preceptor shall be:

(a) A licensed optometrist or ophthalmologist whose license is in good standing;

(b) A full-time or adjunct faculty member of an accredited optometry or medical school; and

(c) Credentialed in the expanded therapeutic procedure or expanded therapeutic laser procedure that the preceptor is teaching.

Section 5. Prohibitions and Referrals.

(1) Performing expanded therapeutic procedures without credentialing based upon the education requirements established in this administrative regulation shall be grounds for discipline pursuant to the requirements of KRS 320.310(1).

(2) An injection into the posterior segment/chamber or retinal tissue to treat any macular or retinal disease shall be prohibited under KRS 320.210(2)(b)16.

(3) Any eyelid or adnexal lesion found to be malignant shall be referred to a practitioner trained and qualified to treat those lesions.

Section 6. Annual Course of Study.

(1) In addition to the continuing education credit hours required by 201 KAR 5:030, Section 1(1) and (2)(a) and (b), an optometrist who is credentialed by the board to perform expanded therapeutic procedures shall attend a minimum of five (5) additional credit hours in expanded therapeutic procedures, for a total of twenty (20) continuing education credits.

(2) The five (5) required contact credit hours in expanded therapeutic procedures shall not be obtained through the internet.

Section 7. Applications and Forms.

(1) An education provider shall complete and submit the Application for Expanded Therapeutic Procedures Course.

(2) A current licensee applying for credentialing for expanded therapeutic procedures who has completed the thirty-two (32) hour expanded therapeutic procedures course shall complete and submit the Application for Kentucky Licensed Optometrist to be Credentialed to Utilize Expanded Therapeutic Procedures.

(3) Each new applicant shall complete the Application for New Applicant to be Credentialed to Utilize Expanded Therapeutic Procedures.

(4) An applicant already licensed in another state and credentialed in expanded therapeutic procedures who is applying for Kentucky licensure shall complete and submit the Application for Endorsement to be Credentialed to Utilize Expanded Therapeutic Procedures.

(5) A licensed optometrist or ophthalmologist who is a professor or adjunct professor at a college of optometry or medicine and who is licensed and qualified to practice expanded therapeutic laser procedures shall complete and submit the Preceptor Approval Form.

(6) After a preceptor has observed an optometrist successfully perform a laser procedure pursuant to Section 4 of this administrative regulation, the preceptor shall complete and submit the Preceptor Evaluation of Expanded Therapeutic Laser Procedure.

(7) After an optometrist has successfully performed a laser procedure observed by a preceptor, the optometrist shall complete and submit the Application to Utilize Expanded Therapeutic Laser Procedures.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Expanded Therapeutic Procedures Course", August 2011;

(b) "Application for Kentucky Licensed Optometrist to be Credentialed to Utilize Expanded Therapeutic Procedures", August 2011;

(d) "Application for Endorsement to be Credentialed to Utilize Expanded Therapeutic Procedures", August 2011;

(e) "Preceptor Approval Form", August 2011;

(f) "Preceptor Evaluation of Expanded Therapeutic Laser Procedure", August 2011; and

(g) "Application to Utilize Expanded Therapeutic Laser Procedure(s)", August 2011.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Optometric Examiners, 163 W. Short St., Suite 550, Lexington, Kentucky 40507, telephone (859) 246-2744, Monday through Friday, 8:00 a.m. to 4:30 p.m.

History

RELATES TO: KRS 320.210(2), 320.240(4), (5), (7), 320.310(1)
STATUTORY AUTHORITY: KRS 320.210(2), 320.240(4), (5), (7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.240(4) authorizes the Kentucky Board of Optometric Examiners to promulgate administrative regulations for classification and licensure of optometrists by examination and credentials. KRS 320.240(5) requires a therapeutically licensed optometrist to meet educational and competence criteria set forth by the board in order to perform expanded therapeutic procedures, and evidence of proof of continuing competency shall be determined by the board. This administrative regulation establishes the educational and competence criteria necessary for a therapeutically licensed optometrist to perform expanded therapeutic procedures.
History: 38 Ky.R. 167; 621; 872; 11-4-2011; 42 Ky.R. 826; 1461; eff. 11-18-2015; Cert. eff. 11-10-2022.

201 KAR 5:130 Controlled substances {#sec-201-kar-5-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:130}

Section 1. Authorization to Prescribe Controlled Substances. A Kentucky licensed optometrist authorized to prescribe controlled substances for humans shall:

(1) Have a current and valid DEA number;

(2) Have submitted to the board a fingerprint-supported criminal record check by the Department of Kentucky State Police and Federal Bureau of Investigation for initial licensure to practice; and

(3) Register and maintain such registration with Kentucky All Schedule Prescription Electronic Reporting (KASPER).

Section 2. Professional Standards for Prescribing Controlled Substances.

(1) A Kentucky licensed optometrist authorized to prescribe controlled substances for humans shall:

(a) Prescribe controlled substances only for the examination or treatment for a condition of the eye and its appendages;

(b) Prescribe only Schedule II limited to hydrocodone combination products as defined in KRS 218A.010, Schedule III, IV, or V controlled substances; and

(2) Prior to prescribing any controlled substance, a Kentucky licensed optometrist shall:

(a) Examine the patient face-to-face and in-person;

(b) Obtain a medical history and conduct a physical examination of the patient, as appropriate to the patient's medical complaint, and document the information in the patient's medical record;

(d) Establish a documented diagnosis through the use of accepted medical practices.

(3) Prior to prescribing a Schedule II controlled substance, a Kentucky licensed optometrist shall also:

(a) Query the electronic monitoring system established in KRS 218A.202 for all available data on the patient for the twelve (12) month period immediately preceding the patient encounter and appropriately utilize that data in the evaluation and treatment of the patient;

(b) Discuss the risks and benefits of the use of controlled substances with the patient, the patient's parent if the patient is an unemancipated minor child, or the patient's legal guardian or health care surrogate, including the risk of tolerance and drug dependence;

(d) Obtain written consent for the treatment.

(4) The requirements set forth within subsection (3) of this section shall not apply when:

(a) A licensed Kentucky optometrist prescribes or administers a controlled substance immediately prior to, during, or within the fourteen (14) days following an operative or invasive procedure, if the prescribing or administering is medically related to the operative or invasive procedure and the medication usage does not extend beyond the fourteen (14) days;

(b) A licensed Kentucky optometrist prescribes or administers a controlled substance necessary to treat a patient in an emergency situation; or

Administration in a hospital or long-term-care facility if the hospital or long-term-care facility with an institutional account, or a practitioner in those hospitals or facilities where no institutional account exists, queries the electronic monitoring system established in KRS 218A.202 for all available data on the patient or resident for the twelve (12) month period immediately preceding the query within the twelve (12) hours of the patient's or resident's admission and places a copy of the query in the patient's or resident's medical records during the duration of the patient's stay at the facility;
In a single dose to relieve the anxiety, pain, or discomfort experienced by a patient submitting to a diagnostic test or procedure;
To a research subject enrolled in a research protocol approved by an institutional review board that has an active federalwide assurance number from the United States Department of Health and Human Services, Office for Human Research Protections, where the research involves single, double, or triple blind drug administration or is additionally covered by a certificate of confidentiality from the National Institutes of Health; or
Within seven (7) days of an initial prescribing or dispensing as set forth within this section if the prescribing or dispensing:

a. Is done as a substitute for the initial prescribing or dispensing; and

b. Requires the patient to dispose of any remaining unconsumed medication.

(5) A Kentucky licensed optometrist authorized to prescribe controlled substances for humans shall not:

(a) Dispense any controlled substances;

(b) Write a prescription for a controlled substance that is refillable; and

With the intent or knowledge that a medication will be used, or is likely to be used, for other than a medicinal or an accepted therapeutic purpose; or
With the intent to evade any law with respect to sale, use, or disposition of the medication.

Section 3. Professional Standards for Documentation. A Kentucky licensed optometrist authorized to prescribe controlled substances shall keep accurate, readily accessible, and complete medical records which include:

(1) Medical history and eye examination;

(2) Diagnostic, therapeutic, and laboratory results;

(3) Evaluations and consultations;

(4) A written plan stating treatment objectives and further diagnostic examinations required;

(5) Discussion of risk, benefits, and limitations of treatments;

(6) Treatments;

(7) Medications, including date, type, dosage, and quantity prescribed;

(8) Instructions and agreements; and

(9) Written consent for treatment if the patient is prescribed a Schedule II controlled substance.

Section 4. Temporary Suspension, Limit, or Restriction of License.

(1) The board may, without benefit of a hearing, temporarily suspend, limit, or restrict the license of an optometrist authorized to prescribe controlled substances if the board finds on the basis of reasonable evidence that the licensee has violated a statute or administrative regulation the board is empowered to enforce, or continued unrestricted practice by the licensee would constitute the substantial likelihood of danger to the health, welfare, or safety of the licensee's patients or of the general public.

(2) The temporary suspension, limit, or restriction of a license shall take effect upon receipt by the licensee of written notice, delivered by certified mail or in person, specifying the statute or administrative regulation violated. At the time the temporary suspension, limit, or restriction order issues, the board shall schedule a disciplinary hearing to be held in accordance with the provisions of KRS Chapter 13B within ten (10) days.

Section 5. Complaints.

(1) The board shall consider all written complaints and sufficient anonymous complaints pertaining to the improper, inappropriate, or illegal prescribing of controlled substances. An anonymous complaint shall be considered sufficient if it is accompanied by sufficient corroborating evidence as would allow the board to believe, based upon a totality of the circumstances, that a reasonable probability exists that the complaint is meritorious.

(2) Upon receipt of a complaint pertaining to the improper, inappropriate, or illegal prescribing of controlled substances, the board:

(a) May send a copy of the complaint to the Office of the Attorney General, the Department of the Kentucky State Police, and the Cabinet for Health and Family Services within three (3) business days to the extent otherwise allowed by law;

(b) Shall commence an investigation within seven (7) business days of the complaint;

(c) Shall produce a charging decision within 120 days of the complaint, unless an extension for a definite time period is requested in writing by a law enforcement agency due to an ongoing criminal investigation; and

(d) Shall obtain the services of a specialist in the treatment of pain and a specialist in drug addiction to evaluate information received regarding a licensee's prescribing practices related to controlled substances if the board or its staff does not possess such expertise to ascertain if the licensee under investigation is engaging in improper, inappropriate, or illegal practices.

Section 6. Penalties.

(1) Pursuant to the provisions of KRS 218A.205 (3):

(a) A licensee or applicant convicted of a felony offense in any state related to a controlled substance after July 20, 2012 shall, at a minimum, have a permanent ban on prescribing any and all controlled substances;

(b) A licensee or applicant who has been convicted of any misdemeanor offense relating to prescribing or dispensing controlled substances in any state shall have his or her authority to prescribe controlled substances suspended for at least three (3) months, and shall be further restricted as determined by the board; and

(c) A licensee or applicant disciplined by a licensing board of another state related to the improper, inappropriate, or illegal prescribing or dispensing of controlled substances shall, at a minimum, have the same disciplinary action imposed by the licensing board of the other state.

(2) A licensee or applicant who is authorized to prescribe controlled substances shall be subject to discipline by the board if:

(a) A licensee who is required to register for an account with KASPER fails to do so or does not maintain continuous registration; or

(b) A licensee or applicant fails to report to the board, within thirty (30) days of the action:

Any conviction involving controlled substances; or
Disciplinary action taken by another licensure board involving controlled substances.

(3) For purposes of this section, a conviction of a misdemeanor or felony offense relating to a controlled substance means any conviction or plea to a criminal charge, regardless of adjudication or the title of the offense named in the plea or judgment of conviction, that is determined from all available facts to have been based upon or resulted from, in whole or part, an allegation of conduct involving the improper, inappropriate, or illegal prescribing, dispensing, distribution, possession, or use of a controlled substance.

(4) Any violation of the professional standards established in this administrative regulation shall constitute a violation of KRS 218A.205, which may result in the imposition of disciplinary sanctions by the board pursuant to KRS 320.310.

(5) Pursuant to the provisions of KRS 218A.205(3)(g), the board shall submit all disciplinary actions to the National Practitioner Data Bank of the United States Department of Health and Human Services either directly or through a reporting agent.

History

RELATES TO: KRS 218A.172, 218A.202, 218A.205(3)
STATUTORY AUTHORITY: KRS 218A.205(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 218A.205(3) requires the board to promulgate administrative regulations on: prescribing standards for controlled substances; a procedure to temporarily suspend, limit, or restrict a license if unrestricted practice poses a danger to the health, welfare, or safety of patients or the public; a procedure for the expedited review of complaints pertaining to controlled substances; and penalties for convictions of offenses related to controlled substances. This administrative regulation establishes the requirements relating to controlled substances in the practice of optometry.
History: 39 Ky.R. 656; eff. 2-1-2013; 44 Ky.R. 2549; eff. 8-31-2018; Cert eff. 4-1-2025.

201 KAR 5:140 Dispensing {#sec-201-kar-5-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 5:140}

Section 1. An optometrist may dispense pharmaceutical agents as authorized in KRS 320.240(12) to (14), other than controlled substances.

Section 2. Dispensing of pharmaceutical agents to a patient shall be:

(1) For a legitimate medical purpose;

(2) In the course of the optometrist's professional practice; and

(3) Limited based upon the authority conferred upon the optometrist by the board consistent with the educational qualifications of the optometrist provided in KRS 320.240.

Section 3. An optometrist shall be on the premises when a pharmaceutical agent is dispensed and the optometrist shall be actively involved in the dispensing process.

Section 4. When a pharmaceutical agent is dispensed by an optometrist, he or she shall:

(1) Inform the patient on the appropriate use of the pharmaceutical agent; and

(2) Document in the patient's record the name, strength, quantity, and appropriate use of the pharmaceutical agent provided to the patient.

Section 5. An optometrist shall maintain a readily retrievable record system by manual or electronic means of all pharmaceutical agents purchased for administration or dispensing in the course of professional practice.

Section 6. The pharmaceutical agent shall be purchased, possessed, labeled, and packaged in accordance with the Kentucky Food, Drug and Cosmetic Act and applicable federal law.

Section 7. Nothing in this section shall expand the administrative or prescriptive authority of an optometrist.

History

RELATES TO: KRS 217.015(35), 217.182(3), 320.210(2)
STATUTORY AUTHORITY: KRS 320.240
NECESSITY, FUNCTION, AND CONFORMITY: KRS 320.240(4) requires the Board of Optometric Examiners to promulgate administrative regulations for the reasonable regulation of the profession of optometry and the practice thereof by licensed optometrists. The Kentucky Food, Drug and Cosmetic Act (KRS 217.005 to 217.218) authorizes optometrists to administer, dispense, or prescribe a legend drug for a legitimate medical purpose and in the course of professional practice, as authorized in KRS 320.240(12) to (14). This administrative regulation establishes the requirements for licensed optometrists to dispense pharmaceutical agents.
History: 47 Ky.R. 606, 1370; eff. 4-6-2021.

Chapter 6 Board of Licensure for Long-Term Care Administrators

201 KAR 6:020 Other requirements for licensure {#sec-201-kar-6-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:020}

Section 1. Examination. (1) The examination administered and verified by the National Association of Long-Term Care Administrator Boards (NAB) shall serve as the board approved examination required by KRS 216A.080(d).

Section 2. Requirements. In addition to meeting all of the requirements set forth in KRS 216A.080(1), an applicant for a long-term care administrator license shall:

(1) Have satisfactorily completed a course of study for, and have been awarded a baccalaureate degree from, an accredited college or university accredited by an agency recognized by the United States Department of Education;

(2) Submit to the Board of Licensure for Long-Term Care Administrators documentation of a passing NAB exam score, as defined by NAB for the period in which the exam was completed. Passing scores may be from up to two (2) years before or one (1) year following the filing of an application for licensure or reinstatement;

(3)

(a) Have a bachelor's or master's degree from an academic program accredited by NAB which was awarded within two (2) years of the date of the application;

(b) Have completed an internship, that is at least 1,000 hours in length, which is a part of a degree in long-term care administration or a related field; or

(c) Have six (6) months of continuous management experience in a long-term care facility. If part-time, not less than 1,000 hours of management experience within a twenty-four (24) month period. This experience shall be completed up to two (2) years before or one (1) year following the date of application. The management experience shall include evidence of responsibility for:

Personnel management;
Budget preparation;
Fiscal management;
Public relations; and
Regulatory compliance and quality improvement in the context of a long-term care facility.

(4) Submit two (2) professional letters of reference; and

(5) Submit Form 1, "Application for Licensure" and Form 2, "Work Verification Form", if required.

Section 3. Qualification. An applicant currently holding a Health Services Executive (HSE) qualification from NAB shall be considered to have met the requirements of Section 2 of this administrative regulation and shall submit documentation of a current HSE qualification from NAB.

Section 4. Any application not completed within one (1) year of the date of application shall be deemed incomplete and withdrawn.

Section 5. Notification. A licensee shall provide the board with written notification within thirty (30) days of the occurrence of any of the following:

(1) Change of home address;

(2) Change of employer;

(3) Conviction of a felony or misdemeanor:

(a) A licensee providing notice of a conviction shall provide a copy of the judgment in the case.

(b) A plea of nolo contendere or an Alford plea shall not absolve the licensee of an obligation to report a conviction; or

(4) Immediate Jeopardy or Substandard Level of Care notice received from the Cabinet for Health and Family Services by the long-term care facility at which the licensee serves as the administrator of record. A licensee providing notice of a citation shall provide a copy of the inspection report and submitted plan of correction.

Section 6. Incorporation by Reference.

(1) The following materials are incorporated by reference:

(a) Form 1, "Application for Licensure", November 2021; and

(b) Form 2, "Work Verification Form", June 2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensure for Long-Term Care Administrators, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. and is available at https://ltca.ky.gov/.

History

RELATES TO: KRS 216A.070(1), 216A.080(1)
STATUTORY AUTHORITY: KRS 216A.070, 216A.080
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070 requires the Kentucky Board of Licensure for Long-Term Care Administrators to develop, impose, and enforce standards for licensure, and authorizes the Board to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.080 authorizes the board to promulgate administrative regulations to establish requirements for applicants seeking licensure. This administrative regulation establishes requirements for examination and licensure.
History: 25 Ky.R. 678; Am. 1584; eff. 1-19-1999; 26 Ky.R. 867; eff. 12-15-1999; 40 Ky.R. 628; 1016; eff. 11-20-2013; 40 Ky.R. 1847; 2281; eff. 5-2-2014; 44 Ky.R.2552; eff. 8-31-2018; TAm eff. 11-9-2020; 48 Ky.R. 1515; 1727; eff. 12-15-2021.

201 KAR 6:030 Temporary permits {#sec-201-kar-6-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:030}

Section 1. Temporary Permits Issued to Fill Emergency Vacancies.

(1) The Department of Professional Licensing may, following consultation with a board member, issue a temporary permit to practice as a long-term care administrator to an applicant if:

(a) The applicant has submitted an Application for Licensure, Form 1, incorporated by reference in 201 KAR 6:020;

(b) The applicant has completed all of the requirements established in 201 KAR 6:020 except the examination required pursuant to 201 KAR 6:020, Section 2(2), and the management experience required by 201 KAR 6:020, Section 2(3)(c);

(d) The facility owner, or a duly authorized representative of the facility, provides a written request and supporting information to the board indicating that an emergency situation exists.

(2) An emergency situation shall exist if:

(a) The facility is without a licensed long-term care administrator; and

(b) A licensed long-term care administrator is not available to fill the position.

(3) The request for temporary permit shall include payment of the temporary permit fee established in 201 KAR 6:061, Section 3.

Section 2. Temporary Permits Issued to Spouses of Active Military Members.

(1) The spouse of an active-duty military member of the Armed Forces of the United States may apply for a temporary permit at any time.

(2) The Department of Professional Licensing shall, following consultation with a board member, issue a temporary permit to practice as a long-term care administrator to the spouse of an active-duty military member within thirty (30) days of receipt of the Application for Licensure, Form 1, incorporated by reference in 201 KAR 6:020, requesting a temporary permit if:

(a) The applicant has completed all of the requirements established in 201 KAR 6:020 except the examination required pursuant to 201 KAR 6:020, Section 2(2), and the management experience required by 201 KAR 6:020, Section 2(3)(c);

(b) The applicant has provided proof they are married to an active-duty member of the Armed Services of the United States;

(c) The applicant has provided proof that the applicant holds a valid license or certificate for the profession issued by another state, the District of Columbia, or any possession or territory of the United States;

(d) The applicant has provided proof that the applicant's spouse is assigned to a duty station in this Commonwealth pursuant to the spouse's official active-duty military orders; and

(e) The applicant has paid the temporary permit fee established in 201 KAR 6:061, Section 3, unless KRS 12.357(1) is applicable.

Section 3. Restrictions on Temporary Permits.

(1) A temporary permit shall not be transferred to another individual.

(2) A temporary permit shall, in accordance with KRS 216A.070(4) or 12.357:

(a) Be effective for no longer than:

Nine (9) months from the date it was granted if issued on an emergency basis pursuant to KRS 216A.070(4); and
Six (6) months from the date it was granted if issued to the spouse of an active-duty member of the Armed Forces of the United States pursuant to KRS 12.357(3); and

(b) Not be renewed by the permit holder.

(3) The holder of a temporary permit issued pursuant to Section 1 of this administrative regulation may be relocated to another location if an emergency exists at that location during the period in which the permit is effective and a separate request for a declaration of emergency is filed and approved by the board pursuant to Section 1(1)(d) of this administrative regulation.

(4) An individual shall not be granted a temporary permit more than once during a five (5) year period.

(5) A temporary permit shall not authorize the individual to whom the permit was issued to manage more than one (1) facility at the same time.

(6) All temporary permits shall be subject to review by the board at the meeting immediately following issuance of the permit. The board shall revoke a temporary permit that does not satisfy the requirements of KRS 216A.070(4), 12.357, or this administrative regulation.

History

RELATES TO: KRS 12.357, 216A.070(4)
STATUTORY AUTHORITY: KRS 12.357, 216A.070(3), (4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the Board of Licensure for Long-term Care Administrators to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.070(4) authorizes the board to promulgate administrative regulations concerning the issuance of a temporary permit to an individual to practice the art of long-term care administration if warranted by emergency conditions. KRS 12.357 requires administrative bodies who issue licenses to issue temporary licenses or certificates to the spouses of active-duty military members of the Armed Services of the United States within thirty (30) days if the spouse meets the statutory requirements and applies in a format promulgated in administrative regulation. This administrative regulation establishes the requirements for issuance of a temporary permit for Long-term Care Administrators.
History: 201 KAR 006:030. 25 Ky.R. 679; Am. 1584; eff. 1-19-1999; 40 Ky.R. 629; 1017; eff. 11-20-2013; 45 Ky.R. 3464, 46 Ky.R. 416; eff. 8-19-2019; 52 Ky.R. 84, 1686; eff. 6-16-2026.

201 KAR 6:040 Renewal, reinstatement, and reactivation of license {#sec-201-kar-6-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:040}

Section 1. License Renewal.

(1) A license shall be renewed every two (2) years from date of issue or from date of last renewal. To apply for renewal, a licensee shall:

(a) Submit a completed Renewal Form;

(b) Pay the appropriate renewal fee established in 201 KAR 6:060; and

(c) Provide proof he or she has completed the continuing education requirements established in 201 KAR 6:070, Section 10.

(2) A licensee may renew the license within sixty (60) days of the renewal date by submitting a completed Renewal Form to the board and payment of the late renewal fee established in 201 KAR 6:060. During this sixty (60) day grace period, a licensee may continue to practice as a long-term care administrator.

(3) Except as provided by KRS 36.450, a license not renewed by the end of the sixty (60) day grace period shall expire and the licensee shall not practice in the Commonwealth.

Section 2. Voluntary Inactivation of License.

(1) To voluntarily request a license in good standing be placed in inactive status, a licensee shall:

(a) Request inactive status, in writing or through the e-services licensee portal; and

(b) Pay the inactive licensee fee established in 201 KAR 6:060.

(2) A license in inactive status shall expire two (2) years following the date it became inactive unless the licensee renews his or her inactive license biennially by submitting the Renewal Form and submitting payment of the appropriate fee established in 201 KAR 6:060.

Section 3. Expiration Pending Disciplinary Action.

(1) A licensee that allows his or her license to expire pursuant to Section 1(3) of this administrative regulation while the licensee is the subject of a "complaint", as defined in 201 KAR 6:090 shall result in the license expiring in bad standing.

(2) A license that has expired in bad standing shall not be reinstated unless the licensee agrees to submit to the complaints procedure established in 201 KAR 6:090 and responds to the complainant's allegations of misconduct that occurred prior to the license expiring in bad standing. Following the complaints procedure established in 201 KAR 6:090, the board may deny reinstatement of the license on the basis that the complainant's allegations have been sustained, the acts constitute a violation of KRS Chapter 216A or 201 KAR Chapter 6, and that refusal to reinstate the license is an appropriate penalty.

(3)

(a) Any person whose license has expired in bad standing may submit a written and signed petition to the board requesting that the licensing file be amended to reflect the person's license expired in good standing and voluntarily submit to the complaint procedure established in 201 KAR 6:090.

(b) Upon receiving a written petition from a person whose license expired in bad standing, and following the complaints procedure established in 201 KAR 6:090, the board shall issue a final order that:

Dismisses the underlying complaint and amends the person's licensing file to reflect the license expired in good standing; or
Makes findings that the underlying complaint has been substantiated by a preponderance of the evidence and imposes discipline as authorized by KRS 216A.070(1)(f).

(4) The board may, upon the request from a professional licensing board of another state pursuant to the requesting state's laws permitting the transfer or endorsement of a Kentucky long-term care administrator's license, provide the requesting professional licensing board a copy of the full investigative file of the complaint and a statement that the licensee allowed his or her license to expire in bad standing prior to the board fully adjudicating the complaint. The board shall not provide its opinion regarding the merits of the complaint unless the person has voluntarily submitted to the complaints process established in 201 KAR 6:090.

Section 4. Reinstatement of License.

(1) To apply for reinstatement of a license expired in good standing, a licensee shall, within two (2) years from the date of expiration:

(a) Submit a completed Application for Licensure, incorporated by reference in 201 KAR 6:020;

(b) Pay the reinstatement fee established in 201 KAR 6:060; and

(c) Provide proof he or she has completed the continuing education requirements established in 201 KAR 6:070, Section 10.

(2) A license shall not be reinstated if the board does not receive the application for reinstatement within two (2) years of the date the license expired. A licensee whose license has been expired for more than two (2) years may apply for a new license pursuant to 201 KAR 6:020.

Section 5. Reactivation of License.

(1) To apply for reactivation of a license voluntarily placed in inactive status pursuant to Section 2 of this administrative regulation, a licensee shall, within two (2) years from the date of inactive status:

(a) Submit a completed Application for Licensure, incorporated by reference in 201 KAR 6:020;

(b) Pay the reactivation fee established in 201 KAR 6:060; and

(2) A license shall not be reactivated if the board does not receive the Application for Licensure within two (2) years of the date the license was either placed in inactive status or renewed in inactive status pursuant to Section 2(2) of this administrative regulation.

Section 6. Renewal of a Suspended License.

(1) To apply for renewal of a license suspended following the complaints procedure established in 201 KAR 6:090, a licensee shall renew his or her license in accordance with Section 1 of this administrative regulation, even if the suspension period has not been fully served at the time of renewal.

(2) Renewal shall not entitle the licensee to engage in the practice until the suspension has ended, or is otherwise removed by the board or a court of competent jurisdiction and the right to practice is restored by the board.

Section 7. Renewal or Reinstatement of a Revoked License Prohibited.

(1) A license that has been revoked by the board following the complaints procedure established in 201 KAR 6:090 shall not be renewed or reinstated.

(2) Two (2) years after the date a person's license has been revoked by the board, the person may apply for licensure as a new applicant pursuant to 201 KAR 6:020.

(3) The board may deny a new application by a person whose license has been revoked pursuant to KRS 216A.080(1)(c).

(4) If the board denies an application by a person whose license has been revoked pursuant to this section, the applicant may appeal the board's decision and request a hearing pursuant to KRS Chapter 13B to provide proof that he or she is of good moral character and is otherwise suitable to practice as a long-term care administrator.

Section 8. Incorporation by Reference.

(1) The "Renewal Form", November 2021 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 Long-Term Care Administrators, Department of Professional Licensing, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material may also be found on the board's Web site at https://ltca.ky.gov/.

History

RELATES TO: KRS 36.450, 216A.070(1)(f), 216A.080, 216A.090, 42 U.S.C. 1396g
STATUTORY AUTHORITY: KRS 216A.070(3), 216A.090
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the Board of Licensure for Long-term Care Administrators to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.090 requires the holder of a license to renew that license biennially and authorizes the board to refuse renewal for failure to comply with KRS Chapter 216A or 201 KAR Chapter 6. This administrative regulation establishes the requirements and procedures for renewal, late renewal, inactive licensure, and reinstatement.
History: 25 Ky.R. 680; Am. 1585; eff. 1-19-1999; 40 Ky.R. 631; 1017; eff. 11-20-2013; 1849; 2282; eff. 5-2-2014; 45 Ky.R. 3466; 46 Ky.R. 80; eff. 8-19-2019; TAm eff. 11-9-2020; 48 Ky.R. 1828, 2720; eff. 7-20-2022.

201 KAR 6:050 Licensure by endorsement {#sec-201-kar-6-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:050}

Section 1. An applicant for licensure by endorsement shall submit to the board:

(1) A completed Application for Licensure, as incorporated by reference in 201 KAR 6:020;

(2) A completed Endorsement Form;

(3) Verification that the applicant:

(a) Meets all current requirements for licensure as established by KRS 216A.130;

(b) Is currently designated as a certified long-term care administrator by the American College of Health Care Administrators (ACHCA); or

(c) Currently holds a Health Services Executive (HSE) qualification from the National Association of Long Term Care Administrator Boards (NAB);

(4) Payment of the fee for licensure by endorsement as established by 201 KAR 6:060; and

(5) Documentation from the appropriate long-term care licensing authority in the endorsing jurisdiction confirming the license:

(a) Is active;

(b) Is valid;

(d) Does not have an unresolved complaint pending against it; and

(e) Has not been subject to disciplinary action during the five (5) years immediately preceding the application.

Section 2. Incorporation by Reference.

(1) "Endorsement Form", May 2018 is incorporated by reference.

History

RELATES TO: KRS 216A.130
STATUTORY AUTHORITY: KRS 216A.070(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the Board of Licensure for Long-term Care Administrators to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.130 authorizes the board to issue a license to a long-term care administrator possessing a license issued by another state. This administrative regulation establishes the requirements for issuance of a license by endorsement.
History: 201 KAR 006:050. 25 Ky.R. 681; eff. 1585; eff. 1-19-1999; 40 Ky.R. 632; 1018; eff. 11-20-2013; 1850; eff. 5-2-2014; 44 Ky.R. 2554; eff. 8-31-2018; TAm eff. 11-9-2020; Crt eff. 6-25-2025.

201 KAR 6:061 Fees {#sec-201-kar-6-061 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:061}

Section 1. Application Fee.

(1) The application fee for board review of the application for licensure shall be $100.

(2) The application fee shall be nonrefundable.

Section 2. Initial Licensure Fee and Licensure by Endorsement Fee.

(1) The initial licensure fee shall be $150 for an applicant for licensure.

(2) The fee for licensure by endorsement shall be $300 for an applicant for licensure.

(3) If the applicant successfully completes all requirements for licensure, this fee shall cover licensure for the initial two (2) year period.

Section 3. Temporary Permit Fee. The fee for a temporary permit shall be seventy-five (75) dollars.

Section 4. Biennial Renewal Fee, Late Renewal Fee, Inactive License Fee, Reactivation of Inactive License Fee, and Reinstatement Fee.

(1) The renewal fee shall be $125.

(2) The late renewal fee shall be $200.

(3) The inactive license fee shall be seventy-five (75) dollars.

(4) The fee for reactivating an inactive license shall be fifty (50) dollars.

(5) The reinstatement fee shall be $300.

Section 5. Duplicate License Fee. The duplicate license fee shall be twenty-five (25) dollars.

Section 6. Licensure Verification Fee. The fee for verification of state licensure shall be twenty-five (25) dollars.

Section 7. Continuing Education Fees.

(1) The application fee for preapproval to present a single continuing education program as described in 201 KAR 6:071, Section 5(1)(a), shall be fifty (50) dollars.

(2) The application fee for approval of credit for a single continuing education program not preapproved as described in 201 KAR 6:071, Section 4, shall be twenty-five (25) dollars.

Section 8. Active-Duty Member of the Armed Forces of the United States. Pursuant to KRS 12.355, while a licensee or certificate holder is an active-duty member of the Armed Forces of the United States, a licensee or certificate holder meeting the conditions established in KRS 12.355(1) shall have the license or certificate renewed without the payment of dues or fees, or shall be submitted a refund if a fee for renewal was submitted.

Section 9. Spouse of Current Member of the Armed Forces of the United States. For applications received that meet the conditions of KRS 12.357, the spouse of a current member of the Armed Forces of the United States shall not be required to pay the fees required by Sections 1, 2, 3, or 4, of this administrative regulation, for issuance of a temporary or regular license or certificate, or shall be issued a refund if the fee was submitted with the application.

History

RELATES TO: KRS 12.355, 12.357, 216A.070, 216A.110(1), 216A.130
STATUTORY AUTHORITY: KRS 216A.070(3), (4), 216A.080(1), 216A.110(1), 216A.130
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(4) requires the board to establish a fee for a temporary permit and authorizes the board to issue a temporary permit if warranted by emergency conditions. KRS 216A.080(1) authorizes the board to promulgate administrative regulations to establish requirements regarding licensure. KRS 216A.110(1) requires the board to prescribe and collect reasonable fees and charges for processing applications, examination, and issuance of licenses, including renewals. KRS 216A.130 authorizes the board to establish a fee for licensure by reciprocity. KRS 12.355 establishes conditions for renewal of a professional license or certification held by an active-duty member of the Armed Forces of the United States, including renewal without payment of dues or fees. KRS 12.357 establishes an exemption in certain circumstances from the fee for issuance or renewal of a license to the spouse of a current member of the Armed Forces of the United States and includes provisions for temporary and regular licensure. This administrative regulation establishes fees, including fees for the application, initial licensure and licensure by endorsement, temporary permit, biennial renewal, late renewal, inactive licensure and reactivation of an inactive license, reinstatement, duplicate license, licensure verification, and continuing education.
History: 201 KAR 006:061. 52 Ky.R. 1062, 1687; eff. 6-16-2026.

201 KAR 6:071 Continuing education requirements {#sec-201-kar-6-071 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:071}

Section 1. Definitions.

(1) "Approved" means recognized by the Kentucky Board of Licensure for Long-Term Care Administrators.

(2) "Continuing education hour" means sixty (60) clock minutes of participation in a continuing educational experience.

(3) "Program" means an organized learning experience planned and evaluated to meet behavioral objectives, including an experience presented in one (1) session or in a series.

(4) "Provider" means an organization approved by the Kentucky Board of Licensure for Long-Term Care Administrators for providing a continuing education program.

(5) "Relevant" means having content applicable to the practice of long term care administration.

Section 2. Accrual of Continuing Education Hours; Computation of Accrual.

(1) A minimum of thirty (30) continuing education hours shall be accrued by each person holding licensure during the two (2) year period for renewal.

(2) All continuing education hours shall be in or related to the field of long-term care administration.

(3) More than fifteen (15) continuing education hours shall not be accrued during one (1) calendar day.

Section 3. Methods of Acquiring Continuing Education Hours. Continuing education hours applicable to the renewal of the license shall be directly related to the professional growth and development of a long-term care administrator. A continuing education hour shall be earned by completing an educational activity established in this section.

(1) Programs not requiring board review and approval. An educational program shall be considered relevant to the practice of long-term care administration and shall be approved without further review by the board if the program is:

(a) Sponsored or approved by the National Association of Long-Term Care Administrator Boards (NAB) or another board of licensure that is a member of NAB; or

(b) Sponsored by:

Leading Age, or affiliated state chapters;
The American College of Health Care Administrators, or any of its affiliated state chapters;
The American College of Healthcare Executives;
The American Health Care Association, or affiliated state chapters;
The American Hospital Association, or affiliated state chapters;
The Kentucky Board of Nursing; or
The American Medical Directors Association, or affiliated chapters.

(2) Programs requiring board review and approval. A relevant program from one (1) of the following sources shall be approved by the board:

(a) A college course directly related to business administration, economics, marketing, computer science, social services, psychology, gerontology, or health professions including nursing or premedicine, except that a college course established in this paragraph shall not fulfill more than one-half (1/2) of a licensee's continuing education requirement;

(b) A relevant program, including a home study course or in-service training provided by another organization, educational institution, or other service provider approved by the board;

A presenter of a relevant program or academic course shall earn full continuing education credit for each contact hour of instruction, not to exceed one-half (1/2) of the continuing education renewal requirements.
Credit shall not be issued for repeated instruction of the same course; or

(d) Authoring an article in a relevant, professionally recognized or juried publication.

Credit shall be granted for an article that was published within the two (2) year period immediately preceding the renewal date if the licensee has not received credit for another publication during that renewal period.
A licensee shall earn one-half (1/2) of the continuing education hours required for a relevant publication.

Section 4. Procedures for Approval of Continuing Education Programs. A course that has not been preapproved by the board may be used for continuing education if approval is secured from the board for the course. In order for the board to adequately review this program, the licensee requesting approval shall submit:

(1) A published course or similar description;

(2) Names and qualifications of the instructors;

(3) A copy of the program agenda indicating hours of education, coffee breaks, and lunch breaks;

(4) Number of continuing education hours requested;

(5) Official certificate of completion or college transcript from the sponsoring agency or college;

(6) Application for Continuing Education; and

(7) The fee required by 201 KAR 6:061, Section 7.

Section 5. Procedures for Preapproval of Continuing Education Sponsors and Programs.

(1) Sponsor approval.

(a) Any entity seeking to obtain approval of a continuing education program prior to its offering shall apply to the board at least sixty (60) days in advance of the commencement of the program, and shall provide the information required in Section 4 of this administrative regulation.

(b) An applicant shall satisfy the board that the entity seeking this status:

Consistently offers programs that meet or exceed all the requirements established in subsection (2) of this section; and
Does not exclude any licensee from its programs.

(2) A continuing education activity shall be qualified for approval if the board finds the activity being presented:

(a) Is an organized program of learning;

(b) Pertains to subject matters that integrally relate to the practice of long term care administration;

(d) Is conducted by individuals who have relevant educational training or experience.

Section 6. Responsibilities and Reporting Requirements of Licensees.

(1) Each licensee shall be responsible for obtaining the required continuing education hours established in Section 2 of this administrative regulation. The licensee shall:

(a) Identify his or her own continuing education needs;

(b) Take the initiative in seeking continuing professional education activities to meet these needs; and

(2) Each person holding licensure shall:

(a) Select approved activities by which to earn continuing education hours;

(b) Submit to the board, if applicable, a request for continuing education activities requiring approval by the board as established in Section 4 of this administrative regulation;

(d) At renewal, list the continuing education hours obtained during that licensure renewal period; and

(e) At renewal, submit documentation of attendance and participation in the number of continuing education hours required by Section 2 of this administrative regulation and as required by this paragraph.

Each person holding licensure shall maintain, for at least a period of two (2) years from the date of renewal, all documentation verifying successful completion of continuing education hours.
During the two (2) year licensure renewal period, up to fifteen (15) percent of all licensees shall be required by the board to submit documentation of the completion of the number of continuing education hours, required by Section 2 of this administrative regulation, for the current renewal period.
Verification of continuing education hours shall not otherwise be reported to the board.
Documentation shall take the form of official documents including:

a. Transcripts;

b. Certificates;

c. Affidavits signed by instructors; or

d. Receipts for fees paid to the sponsor.

Each licensee shall retain copies of the documentation.

Section 7. Responsibilities and Reporting Requirements of Providers.

(1) A provider of continuing education not requiring board approval shall be responsible for providing documentation, as established in Section 4 of this administrative regulation, directly to the licensee.

(2) A provider of continuing education requiring board approval shall be responsible for submitting a course offering to the board for review and approval before listing or advertising that offering as approved by the board.

Section 8. Board to Approve Continuing Education Hours; Appeal if Approval Denied.

(1) If an application for approval of continuing education hours is denied, the licensee may request reconsideration by the board of its decision.

(2) The request shall be in writing and shall be received by the board within thirty (30) days after the date of the board's decision denying approval of continuing education hours.

(3) An appeal shall be conducted in accordance with KRS Chapter 13B.

Section 9. Waiver or Extensions of Continuing Education.

(1) The board may, in an individual case involving medical disability, illness, or undue hardship, grant a waiver of the minimum continuing education requirements or an extension of time within which to fulfill the requirements or make a required report.

(2) A written request for waiver or extension of time involving medical disability or illness shall be submitted by the person holding a license and shall be accompanied by a verifying document signed by a licensed physician.

(3) A waiver of the minimum continuing education requirements or an extension of time within which to fulfill the continuing education requirements shall be granted by the board for a period of time not to exceed one (1) calendar year.

(4) If the medical disability or illness upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the person holding licensure shall reapply for the waiver or extension.

Section 10. Continuing Education Requirements for Reinstatement or Reactivation of Licensure.

(1) A person requesting reinstatement or reactivation of licensure shall submit evidence of thirty (30) hours of continuing education within the twenty-four (24) month period immediately preceding the date on which the request for reinstatement or reactivation is submitted to the board.

(2) Upon request by a licensee, the board shall permit the licensee to resume practice, with the provision that the licensee shall receive thirty (30) hours continuing education within six (6) months of the date on which the licensee is approved to resume practice.

(3) The continuing education hours received in compliance with this section shall be in addition to the continuing education requirements established in Section 2 of this administrative regulation and shall not be used to comply with the requirements of that section.

Section 11. Incorporation by Reference.

(1) "Application for Continuing Education", June 2025, is incorporated by reference.

(2)

(a) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensure for Long-Term Care Administrators, Department of Professional Licensing, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m.; or

(b) This material may also be obtained on the Board of Licensure for Long-Term Care Administrators website at https://ltca.ky.gov/.

History

RELATES TO: KRS 216A.090
STATUTORY AUTHORITY: KRS 216A.070(3), 216A.090
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the Board of Licensure for Long-term Care Administrators to promulgate administrative regulations necessary for the proper performance of board duties. KRS 216A.090 authorizes the board to promulgate an administrative regulation requiring a licensed long-term care administrator to complete continuing education requirements as a condition of renewal of licensure. This administrative regulation establishes the requirements for continuing education and the methods and standards for the accreditation of continuing education courses.
History: 201 KAR 006:071. 52 Ky.R. 125; eff. 6-16-2026.

201 KAR 6:080 Code of ethics {#sec-201-kar-6-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:080}

Section 1. Definitions.

(1) "Long term care administrator" is defined by KRS 216A.010(3).

(2) "Long term care facility" is defined by KRS 216A.010(4).

(3) "Resident" is defined by KRS 216A.010(5).

Section 2. Responsibility to Residents.

(1) A long-term care administrator shall:

(a) Advance and protect the welfare of the resident;

(b) Respect the rights of a person seeking service;

(c) Operate the facility consistent with laws and administrative regulations applicable to nursing facilities under KRS Chapter 216; and

(d) Have the duty to report to the proper authorities knowledge of resident abuse, pursuant to KRS Chapter 209.

(2) A long-term care administrator shall not:

(a) Provide services other than those for which the administrator is prepared and qualified to perform;

(b) Discriminate against or refuse professional service to anyone on the basis of race;

(d) Exploit the trust and dependency of a resident;

(e) Participate in activities that reasonably may be considered to create a conflict of interest, or have the potential to have a substantial adverse impact on the facility, its residents, or its staff;

(f) Engage in a sexual relationship or sexual contact, as defined under KRS 510.010(7), with a resident; or

(g) Engage in sexual or other harassment or exploitation of a resident, student, trainee, supervisee, employee, colleague, research subject, or actual or potential witness or complainant in an investigation or disciplinary proceeding.

Section 3. Confidentiality. A long-term care administrator shall not divulge confidential information, except:

(1) As mandated, or permitted, by law;

(2) To prevent a clear and immediate danger to a person;

(3) In the course of a civil, criminal, or disciplinary action if:

(a) The long-term care administrator is a defendant in that action; and

(b) The action arose from a service provided by the long-term care administrator; or

(4) To comply with the terms of a consent agreement if written informed consent has been obtained.

Section 4. Professional Competence and Integrity.

(1) A long-term care administrator shall maintain standards of professional competence and integrity and shall be subject to disciplinary action for:

(a) Conviction of a felony, or a misdemeanor related to the practice as a long-term care administrator. Conviction shall include conviction based on:

A plea of no contest or an "Alford Plea"; or
The suspension or deferral of a sentence;

(b) Having been subject to disciplinary action by another state's regulatory agency that the board determines violates applicable Kentucky state law or administrative regulation;

(d) Refusing to comply with an order issued by the board;

(e) Failing to cooperate with the board by not:

Furnishing in writing a complete explanation to a complaint filed with the board;
Furnishing documentation requested by the board regarding a complaint;
Appearing before the board at the time and place designated; or
Properly responding to a subpoena issued by the board; or

(f) Violating KRS Chapter 216 or 201 KAR Chapter 6, governing the practice of long-term care administration.

(2) Impaired Licensees.

(a) A licensee shall not practice as a long-term care administrator if the competency of the licensee is impaired due to a mental, emotional, psychological, pharmacologic, or substance abuse condition.

(b) If an impairment develops during the employment as a long-term care administrator, the licensee shall:

Terminate or suspend the employment after promptly identifying a replacement licensed by the board;
Notify the long-term care facility where the licensee is employed of the impairment in writing; and
Assist the long-term care facility in obtaining services from another licensee.

(c) Full compliance with paragraph (b) of this subsection shall not constitute a defense to an administrative charge brought against a licensee alleging violation of paragraph (a) of this subsection but may be considered by the board as a mitigating factor.

History

RELATES TO: KRS Chapter 209, Chapter 216, 216A.070(1)(a), (c), (d), 510.010(7)
STATUTORY AUTHORITY: KRS 216A.070(1)(a), (1)(d), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the board to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.070(1)(a) requires the board to develop, impose, and enforce standards which shall be met by an individual licensed as a long-term care administrator. KRS 216A.070(1)(d) requires the board to establish and carry out procedures to insure compliance with the established standards. This administrative regulation establishes a code of ethics as a portion of the standards which shall be met in compliance with KRS 216A.070(1)(a), (c), and (d).
History: 25 Ky.R. 685, 1587; eff. 1-19-1999; 40 Ky.R. 637, 1021; eff. 11-20-2013; Cert eff. 11-6-2020.

201 KAR 6:090 Complaint process {#sec-201-kar-6-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:090}

Section 1. Definitions.

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

(2) "Charge" means a specific allegation contained in a formal complaint, as established in subsection (4) of this section, issued by the board alleging a violation of a specified provision of KRS Chapter 216A or 201 KAR Chapter 6.

(3) "Complaint" means:

(a) A written allegation alleging misconduct by a credentialed individual or other person which might constitute a violation of KRS Chapter 216A, 201 KAR Chapter 6, or another state or federal statute or administrative regulation;

(b) A notification which relates to the credential of the individual pursuant to KRS Chapter 216A; or

(c) A Notification of Substandard Care issued by the Cabinet for Health and Family Services, as defined in 42 C.F.R. 488.301.

(4) "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 the court to take criminal action.

(5) "Informal proceeding" means a proceeding instituted during the disciplinary process with the intent of reaching a dispensation of a matter without further recourse to formal disciplinary procedures under KRS Chapter 13B.

(6) "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.

(7) "Standards of practice committee" means the committee appointed pursuant to Section 7 of this administrative regulation.

Section 2. Receipt of Complaints.

(1) A complaint may be submitted by an individual, organization, or entity. A complaint shall be in writing and shall be signed by the person offering the complaint. The board may file a complaint or a formal complaint based on information in its possession.

(2)

(a) Upon receipt of a complaint against a licensee, a copy of the complaint shall be sent to the licensee named in the complaint along with a request for that licensee's response to the complaint.

(b) The licensee shall file a response to the complaint within twenty (20) days from the date the letter was mailed as signified by the date on the letter.

(3) Upon receipt of a notification of substandard care, a copy of the notification shall be sent to the licensee administering the facility at issue along with a letter from the board requesting the following information:

(a) The effective date of that administrator becoming the administrator of record for the facility. If that has occurred within the last 180 days, the facility shall furnish the name of the previous administrator;

(b) A copy of completed and approved 2567L and notice of acceptance of allegation of compliance as issued by the Cabinet for Health and Family Services;

(d) A formal notice of each remedy imposed by the Cabinet for Health and Family Services, if applicable.

(4) A licensee shall provide the documentation listed in subsection (3) of this section if a request is made by the board pursuant to that provision.

Section 3. Initial Review.

(1) After the receipt of a complaint and the expiration of the period for the licensee's response, the standards of practice committee shall consider the complaint, the licensee's response, and other relevant material available and make a recommendation to the board regarding whether an investigation of the complaint is required.

(2) If, in the opinion of the board, a complaint does not warrant a formal investigation, the board shall dismiss the complaint.

(3)

(a) If, in the opinion of the board, a complaint warrants a formal investigation against either a licensed individual or a person who may be practicing without appropriate credential, the board shall authorize an investigator to investigate the matter and make a report to the standards of practice committee.

(b) If, at any time, the board determines that it has enough information, it may file a formal complaint pursuant to Section 4 of this administrative regulation.

Section 4. Results of Formal Investigation; Board Decision on Hearing.

(1)

(a) Upon completion of the formal investigation, the investigator shall submit a report to the standards of practice committee of the facts regarding the complaint.

(b) The committee shall review the investigative report and make a recommendation to the board.

(c) The board shall determine whether there is enough evidence to believe that a violation of KRS Chapter 216A or 201 KAR Chapter 6 may have occurred and whether a complaint shall be filed.

(2) If, in the opinion of the board, a complaint does not warrant the issuance of a formal complaint and the holding of a hearing, the complaint shall be dismissed or referred to another agency for action. The board shall notify both the complaining party and the individual of the outcome of the complaint.

(3) If, in the opinion of the board, a complaint warrants the issuance of a formal complaint against a licensee, the standards of practice committee shall authorize a formal complaint which states the charge or charges to be considered at the hearing. The formal complaint shall be approved by the board and served upon the individual as required by KRS 13B.050.

(4) If, in the opinion of the board, probable cause exists that an individual is guilty of practicing without appropriate credential, it may:

(a) Issue a letter ordering that person to cease and desist from the unlicensed practice of long-term care administration;

(b) Forward information to the county attorney of the county of residence of the person allegedly practicing without appropriate credential with a request that appropriate action be taken under KRS 216A.150 and 216A.990; or

(c) Initiate action in Franklin Circuit Court for injunctive relief to stop the unauthorized practice of long-term care administration.

Section 5. Settlement by Informal Proceedings. The board may at any time enter into a settlement agreement or agreed order with the individual who is the subject of the complaint for the purpose of appropriately dispensing with the matter.

(1) An agreed order or settlement agreement shall only be effective after being approved by the board and signed by the individual who is the subject of the complaint and the chairman.

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

Section 6. Notice and Service Process. A notice required by KRS Chapter 216A or this administrative regulation shall be issued pursuant to KRS 13B.050.

Section 7. Standards of Practice Committee. The standards of practice committee shall:

(1) Be appointed by the chairman of the board; and

(2) Consist of two (2) or three (3) board members.

History

RELATES TO: KRS Chapter 13B, Chapter 216A
STATUTORY AUTHORITY: KRS 216A.070(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.070(3) authorizes the board to promulgate administrative regulations necessary for the proper performance of its duties. KRS 216A.070(1)(e) requires the board to investigate a person engaging in a practice which violates the provisions of KRS Chapter 216A. This administrative regulation establishes procedures for the investigation of a complaint received by the board.
History: 25 Ky.R. 686, 1588; 40 Ky.R. 639, 1023; eff. 11-20-2013; Cert eff. 11-6-2020.

201 KAR 6:100 Per diem compensation of board members {#sec-201-kar-6-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 6:100}

Section 1. Each member of the board shall receive per diem compensation of $120 for attending each board meeting or otherwise discharging their official duties of the board.

History

RELATES TO: KRS 216A.060
STATUTORY AUTHORITY: KRS 216A.060(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 216A.060(2) provides that members of the board shall receive per diem compensation to be established by administrative regulation, and that the compensation shall not exceed $120 per day. This administrative regulation establishes the per diem compensation to be received by board members.
History: 46 Ky.R. 3064; eff. 9-23-2020.

Chapter 7 Board for Specialists in Hearing Instruments

201 KAR 7:010 Definitions {#sec-201-kar-7-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:010}

Section 1. In addition to the definitions in KRS 334.010, and, unless the context otherwise requires:

(1) "The time the buyer assumes any financial obligation with respect to the purchase" shall be deemed to be the moment when the buyer authorizes the purchase of the hearing instrument.

(2) "Place of business" means an established address where the client may have personal contact and counsel with the fitter or seller of hearing instruments and obtain service during normal business hours.

(3) "Selling price" shall be the gross purchase price of the hearing instrument or instruments less any discounts granted.

History

RELATES TO: KRS 334.010, 334.020, 334.040, 334.050(9), 334.100, 334.190
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: In order to regulate the practice of selling and fitting hearing instruments, it is necessary to define terms related to the practice of fitting and selling hearing instruments. This administrative regulation establishes those terms and their definitions.
History: 4 Ky.R. 89; eff. 10-5-77; Am. 20 Ky.R. 1643; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:015 Fees {#sec-201-kar-7-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:015}

Section 1. Application Fees Schedule. The following fees shall be paid with a hearing instrument specialist application:

(1) The application fee for an apprentice permit shall be $100 and shall be nonrefundable; and

(2) The application fee for a license shall be $100 and shall be nonrefundable.

Section 2. Examination Fees. The following fees shall be paid with a licensure examination required by the board:

(1) The fee for the National Institute for Hearing Instrument Studies Examination shall be ninety-five (95) dollars;

(2) The fee for all portions of the state examination shall be $150; and

(3) The fee for an individual portion of the state examination shall be thirty (30) dollars per portion.

Section 3. Original License Fees. The original license fee shall be $200 for an applicant who successfully completes all examinations. The fee shall be paid by the applicant within thirty (30) days of notification from the board that the applicant has passed all examinations.

Section 4. Renewal Fees and Penalties. A person holding a license shall not practice in this state after March 2 of the year in which the license is to be renewed unless the license has been renewed as provided by KRS 334.090, 334.110, and 201 KAR 7:070, and payment of the prescribed fee has been made. A license not renewed by March 2 following the expiration date shall be expired and a person holding an expired license shall not engage in the practice of fitting and selling hearing instruments. The following fees and penalties shall be paid with licensure renewals:

(1) The renewal fee for licensure shall be $200;

(2) The late renewal fee, including penalty, for the grace period extending from January 31 to March 2 shall be $250;

(3) The fee for renewal of licensure after March 2, including penalty, shall be $300; and

(4) The fee for renewal of an apprentice permit shall be $100.

History

RELATES TO: KRS 334.050, 334.080, 334.090, 334.110, 334.160
STATUTORY AUTHORITY: KRS 334.050, 334.080, 334.090, 334.110, 334.150
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334.050 and 334.080 require the Kentucky Licensing Board for Specialists in Hearing Instruments to promulgate an administrative regulation to establish licensure fees for applicants. KRS 334.090 requires the board to promulgate an administrative regulation to establish the fee for an apprentice permit. KRS 334.110 requires the board to promulgate an administrative regulation to establish fees for renewal. KRS 334.150 authorizes the board to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 334.This administrative regulation establishes in detail all fees charged by the board.
History: 19 Ky.R. 1462; eff. 12-16-92; Am. 27 Ky.R. 1999; eff. 7-17-2000; 28 Ky.R. 666; 1109; eff. 10-17-2001; 35 Ky.R. 985; eff. 1-5-2009; 40 Ky.R. 1854; 2284; eff. 5-2-2014; Crt eff. 4-7-2021.

201 KAR 7:020 Educational and health qualifications of applicants {#sec-201-kar-7-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:020}

Section 1. Applications. The following principles and procedures shall govern all applicants:

(1) Applications shall be made directly to the board and shall be accompanied by the required fee.

(2) Fees required with applications are application fees and are not refundable.

(3) In determining an applicant's fitness and qualifications, the board shall require:

(a) A listing of references;

(b) A physician's statement that the applicant is free of infectious or contagious disease;

(d) Other supporting information or documents.

Section 2. Health Requirements. Affliction with a contagious or infectious disease, which renders the practice of fitting hearing instruments by the licensee, apprentice or applicant dangerous to the public health or safety shall be cause for denial, nonrenewal, suspension or revocation of an apprentice permit or license.

Section 3. Request for Hearing. The board shall hold a hearing upon request of any person directly affected by the board's decision to deny an application for licensure or an apprentice permit.

History

RELATES TO: KRS 334.050, 334.080, 334.090, 334.160(3)
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: The purpose of this administrative regulation is to delineate and clarify the procedures required of all applicants and to specify the requirements of compliance with the educational and health qualifications of applicants.
History: 4 Ky.R. 89; eff. 10-5-77; Am. 20 Ky.R. 1644; 2319; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:025 Trial period for remade, remanufactured, or substituted hearing instruments {#sec-201-kar-7-025 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:025}

Section 1. If, for any reason, a hearing instrument is remade, remanufactured, or substituted during the thirty (30) day trial period required by KRS 334.210, the required thirty (30) day trial period shall begin again on the date of delivery of the new or adjusted hearing instrument.

History

RELATES TO: KRS 334.210
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334.210 provides the buyer of a hearing instrument the right to cancel the purchase within thirty (30) days of the date of purchase. This administrative regulation extends that right to hearing instruments which are substantially altered or substituted for the original instrument during the first thirty (30) day period.
History: 20 Ky.R. 1724; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:040 Examinations {#sec-201-kar-7-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:040}

Section 1. An apprentice shall take the first qualifying examination that is scheduled after the completion of the apprenticeship period.

Section 2. Requirements for Applicants Wishing to Sit for the Examination. An applicant for examination shall furnish:

(1) Two (2) forms of identification, one (1) of which shall contain a picture of the applicant, before being allowed to sit for the examination;

(2) An audiometer capable of air, bone, and speech conduction testing;

(3) Proof of audiometric calibration;

(4) Audiogram to record test results;

(5) Earmold impression materials;

(6) A human subject to test hearing and demonstrate earmold impression techniques;

(7) Case history sheet; and

(8) Otoscope.

Section 3. Qualifying Examination. The qualifying examination shall consist of the following sections:

(1) A written examination that tests an applicant's:

(a) Knowledge and proficiency in the subject matters established by KRS 334.070; and

(b) Qualification to practice the fitting of hearing instruments;

(2) A written examination on:

(a) The provisions of KRS Chapter 334 relating to specialists in hearing instruments;

(b) The provisions of administrative regulations governing the practice of specialists in hearing instruments, codified in 201 KAR Chapter 7;

(d) Ear molds; and

(e) Audiometry;

(3) A practical examination on:

(a) Ear impressions;

(b) Audiometric testing; and

Section 4. Scoring of Examination.

(1) A passing grade shall consist of a score of seventy (70) percent on each section.

(2) A candidate shall be required to retake the sections of the examination on which he fails to achieve a passing score.

(3) The board shall issue a notification to the applicant of the results of his or her qualifying examination score.

Section 5. Reexamination.

(1) An apprentice who fails to pass any written section of the qualifying examination two (2) times shall be allowed to extend his apprenticeship if he or she has paid the renewal fees required by 201 KAR 7:015.

(2) An apprentice permit may be extended for no longer than two (2) years from the date of the second examination.

(3) An apprentice shall revert to and remain in stage two (2) of the apprenticeship period established by KRS 334.090(2)(b) until he or she passes the section of the examination that he or she failed.

History

RELATES TO: KRS 334.060(1), 334.070, 334.080, 334.090(4), 334.150(2), (7), (8), (9)
STATUTORY AUTHORITY: KRS 334.150(2), (7), (8), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334.060(1) requires an applicant for licensure to pass a qualifying examination. KRS 334.150(2) requires the board to establish and administer the qualifying examination. KRS 334.070 establishes the content of the qualifying examination applicants for licensure are required to pass. This administrative regulation establishes the qualifying examination, passing scores, and the conditions for reexamination.
History: 4 Ky.R. 90; eff. 10-5-77; Am. 20 Ky.R. 1645; 2319; eff. 2-10-94; 22 Ky.R. 935; 1302; eff. 1-8-96; 23 Ky.R. 3389; 3749; eff. 4-16-97; 28 Ky.R. 667; 1110; eff. 10-17-2001; Crt eff. 2-21-2020.

201 KAR 7:050 Identification, proof of licensure {#sec-201-kar-7-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:050}

Section 1.

(1) An identification card shall be issued to each holder of a license or apprentice permit, which lists the name of the holder, along with the address of the office where his license or apprentice permit is displayed, and which he shall be required to keep in his possession at all times during the performance of his duties.

(2) Upon request of any client or prospective client, a board member, or any peace officer, he shall permit the identification card to be inspected for purpose of identification.

History

RELATES TO: KRS 334.020
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation is promulgated in order to originate compliance with the administrative regulation that an individual shall show proof of licensure while engaging in the fitting of hearing instruments.
History: 4 Ky.R. 91; eff. 10-5-77; Am. 20 Ky.R. 1646; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:070 License renewal {#sec-201-kar-7-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:070}

Section 1. Responsibility for filing for renewal of licenses or apprentice permits and for paying fees shall rest with the individual holder. The board shall not be responsible for sending a letter of reminder.

Section 2. To renew a license, the holder shall send to the board with the renewal application the following:

(1) A copy of a certificate of calibration for the holder's audiometric testing equipment, completed within the twelve (12) months immediately preceding the date of the renewal application; and

(2) Satisfactory evidence of continuing education as required by 201 KAR 7:075.

History

RELATES TO: KRS 334.110
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: To enumerate certain requirements for renewals.
History: 4 Ky.R. 91; eff. 10-5-77; Am. 5 Ky.R. 542; eff. 3-7-79; 20 Ky.R. 1646; 2320; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:075 Continuing education requirements {#sec-201-kar-7-075 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:075}

Section 1. Each licensee shall be required to complete a minimum of ten (10) continuing education hours in order to renew his or her license each year. Continuing education hours for hearing instrument specialists in excess of the number required at the time of renewal of license may not be applied to future requirements.

Section 2. A minimum of five (5) of the required ten (10) continuing education hours shall be attained through programs sponsored by entities listed in Section 3(1) of this administrative regulation and attended in person by the licensee in a live, classroom presentation format. The remaining continuing education hours may be attained through any of the sources listed in Section 3 of this administrative regulation.

Section 3. Continuing education hours applicable to the renewal of the license shall be directly related to the professional growth and development of hearing instrument specialists. Continuing education hours may be earned by completing any of the following educational activities:

(1) Relevant offerings provided by the following organizations or institutions and approved by the board:

(a) The Hearing Aid Association of Kentucky (HAAK);

(b) The Kentucky Speech-Language and Hearing Association (KSHA);

(d) The American Speech-Language and Hearing Association (ASHA), or any of its affiliated state chapters;

(e) The Academy of Dispensing Audiologists (ADA), or any of its affiliated state chapters;

(f) The American Academy of Audiology (AAA), or any of its affiliated state chapters; or

(g) The American Academy of Otolaryngology, or any of its affiliated state chapters.

(2) Relevant offerings of the following types that have been reviewed and approved by the board:

(a) Manufacturers professional seminars; or

(b) Accredited schools' continuing education programs.

(3) Related areas not specifically a part of the field of hearing instruments may be approved for up to two (2) continuing education hours, if the board believes that the related areas may serve to enhance the licensee's ability to practice.

Section 4. The sponsor of a continuing education program shall be responsible for obtaining from the board accreditation for the sponsor's continuing education program.

(1) A sponsor shall be any person, school, association, company, corporation, or group who wishes to develop a continuing education program.

(2) A program shall be submitted to the board at least sixty (60) days prior to planned participation so the participants can know the value of the experience prior to actual participation.

(3) A request for a program change shall be made to and accredited by the board. Failure to make a request for a program change to the board in compliance with this subsection shall render the evaluation and accreditation of the program null and void.

(4) Repetitious completion of a program shall not entitle the participant to additional continuing education credit.

(5) A sponsor shall maintain for three (3) years records of the name of those participants who complete a program.

Section 5. A sponsor or licensee requesting approval of continuing education for hearing instrument specialists shall submit an application to the board. Each licensee shall keep valid records, receipts, and certifications of continuing education hours completed for three (3) years and submit certification to the board on request.

Section 6. Submission of fraudulent statements or certificates concerning continuing education shall subject the licensee to revocation or suspension of his license as provided in KRS Chapter 334.

Section 7.

(1) Each licensee shall submit, with the annual renewal, on forms provided by the board, a list of accredited continuing education hours completed by the licensee during the previous license year.

(2) If any licensee shall fail to submit a list of continuing education hours by the first of February, the board secretary shall notify the licensee at his last known address that his license shall be subject to suspension.

(3) Upon proper application to the board a licensee may be granted a deferral on a year to year basis at the discretion of the board for reasons as illness, incapacity, or other similar extenuating circumstances.

(4) A licensee shall be exempt from the continuing education provisions for the calendar year during which his license is first issued by the board.

Section 8. Each licensee shall keep the board informed of his or her correct address.

Section 9. Incorporation by Reference.

(1) "Renewal Application", RA-2001, is incorporated by reference.

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

History

RELATES TO: KRS 334.150(13)
STATUTORY AUTHORITY: KRS 334.150(9), (13)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334.150(13) authorizes the board to promulgate administrative regulations establishing requirements and standards for continuing education. This administrative regulation establishes a continuing education program for licensed hearing instrument specialists, setting forth the basic requirements, methods of accreditation, and manner of reporting.
History: 5 Ky.R. 560; eff. 3-7-79; Am. 19 Ky.R. 1097; eff. 1-4-93; 20 Ky.R. 1647; 2320; eff. 2-10-94; 37 Ky.R. 1001; Am. 1411; eff. 12-15-2010; Crt eff. 2-21-2020.

201 KAR 7:090 Unethical conduct; code of ethics {#sec-201-kar-7-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:090}

Section 1. Unethical Conduct. The following acts shall be considered to be unethical conduct in the practice of selling and fitting hearing instruments and may subject the licensee or apprentice permit holder to the sanctions set forth by KRS 334.120(4):

(1) Any violation of Federal Trade Commission or Food and Drug Administration regulations pertaining to the sale or fitting of hearing instruments;

(2) The obtaining of any fee or the making of any sale by fraud or misrepresentation;

(3) Employing directly or indirectly any suspended or unregistered person to perform any activity covered by this chapter;

(4) Using, causing, or promoting the use of any advertising material, promotional literature, testimonial, guarantee, warranty, label, brand, insignia, or any other representation, however disseminated or published, which is false, misleading, deceptive or untruthful;

(5) Advertising a particular model or type of hearing instrument for sale when purchasers or prospective purchasers responding to the advertisement cannot purchase the advertised model or type, where it is established that the purpose of the advertisement is to obtain prospects for the sale of a different model or type than that advertised;

(6) Advertising professional superiority;

(7) Falsely representing that the service or advice of a person licensed to practice medicine shall be used or made available in the:

(a) Selection;

(b) Fitting;

(d) Maintenance; or

(e) Repair of hearing instruments, when that is not true;

(8) Using words, abbreviations or symbols which give the impression that service is being provided by persons trained in medicine or audiology when that is not, in fact, true;

(9) Indicating that the licensee's service is state recommended;

(10) Permitting the use of a license by a person other than the licensee;

(11) Advertising a manufacturer's product or using a manufacturer's name or trademark which implies a relationship with the manufacturer that does not exist; or

(12) Claiming an affiliation with a professional association which does not in fact exist or the use of a degree or title not actually earned or held.

(13) Conducting business while suffering from a contagious or infectious disease.

(14) Engaging in the fitting and sale of hearing instruments under a false name, or alias;

(15) Selling a hearing instrument to a person who has not been given tests utilizing appropriate established procedures and instrumentation in fitting of hearing instruments;

(16) Gross incompetence or negligence in fitting and selling hearing instruments;

(17) Failing to comply with:

(a) Any request of the board for information;

(b) An agreed order with the board; or

(18) Practicing while under suspension or revocation of licensure;

(19) Practicing while under the influence of alcohol or any controlled substance not prescribed by a medical doctor;

(20) Failing to make a refund in a timely manner as set forth by KRS 334.210(8);

(21) Failing to fully complete the sales agreement requirements of KRS 334.030; or

(22) Violating any of the provisions of KRS Chapter 334 or the administrative regulations promulgated thereunder.

Section 2. Code of Ethics. Hearing Instrument Specialists engaged in the practice of the testing of human hearing, and in the selection, counseling, fitting, dispensing, and servicing of hearing instruments, shall hold paramount the welfare of the client. The hearing instrument specialist shall:

(1) Utilize all resources available, including referral to other specialists as needed;

(2) Accept and seek full responsibility for the exercise of judgment within the area of his expertise. These services include the selection, counseling, fitting, dispensing, and servicing of hearing instruments;

(3) Not guarantee outstanding results from the use of hearing instruments, products, services, or counseling when this is not the case;

(4) Exercise caution not to mislead persons to expect unattainable results;

(5) Hold in professional confidence all information and professional records concerning a client and use that data only for the benefit of the client or as the law demands;

(6) Keep the welfare of the client uppermost at all times;

(7) Avoid personal invective directed toward professional colleagues or members of hearing health care professions;

(8) Not agree to practice under terms or conditions which tend to interfere with or impair the proper exercise of his professional judgment and skill, which cause a deterioration of the quality of his service, or which require him to consent to unethical behavior;

(9) Initiate and maintain records of services provided to clients;

(10) Not participate with other health professionals or any other person in agreements to divide fees or to cause financial or other exploitation when rendering professional services;

(11) Not delay furnishing care to clients served professionally, without just cause; and

(12) Not discontinue services to clients without providing reasonable notice of withdrawal, providing all contractual agreements have been satisfied.

History

RELATES TO: KRS 334.120
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation is for the purpose of defining unethical conduct as it relates to the fitting and sale of hearing instruments. It also establishes a code of ethics.
History: 4 Ky.R. 92; eff. 11-2-77; Am. 20 Ky.R. 1648; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:100 Procedure for processing complaints {#sec-201-kar-7-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:100}

Section 1. Definitions.

(1) "Chairman" means the chairman of the board.

(2) "Complaint" means any written allegation alleging misconduct which might constitute a violation of KRS Chapter 334 or the administrative regulations promulgated thereunder by a licensee or other person.

(3) "Charge" means a specific allegation contained in a formal complaint issued by the board alleging a violation of KRS Chapter 334 or the administrative regulations promulgated thereunder.

(4) "Formal complaint" means a formal administrative pleading authorized by the board which sets forth charges against a licensee or other person and commences a formal disciplinary proceeding.

(5) "Hearing officer" means the person designated and given authority by the board to preside over all proceedings pursuant to the issuance of any formal complaint.

(6) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of reaching an informal disposition of any matter without further recourse to formal disciplinary procedures.

(7) "Investigative assistant" means an appropriately licensed individual designated by the board to assist the board's attorney in the investigation of a complaint or an investigator employed by the Attorney General or the board.

Section 2. Receipt of Complaints.

(1) Complaints may be submitted by an individual, organization, or entity.

(2) Complaints shall be in writing and shall be signed by the person offering the complaint.

(3) The board may file a complaint based on information in its possession.

(4) A copy of the complaint shall be sent to the licensed individual named in the complaint along with a request for that individual's response to the complaint and a copy of the following documentation:

(a) Sales contract;

(b) Audiogram;

(d) Delivery statement; and

(e) Record of service to the client.

(5) The response of the individual shall be required for the next regularly scheduled meeting of the board except that the individual shall be allowed a period of fifteen (15) days from the date of receipt to make a response.

(6) Failure to respond in a timely fashion may constitute unethical conduct as set forth by administrative regulation.

(7) The board shall also request from the complaining party, a copy of the following documents:

(a) Sales contract;

(b) Audiogram; and

Section 3. Board Review and Decision on Hearing.

(1) After the receipt of a complaint, and the time period for the responses has expired, the board shall review the material received pursuant to Section 2 of this administrative regulation and shall make a determination as to the proper assignment of the complaint. At this point the board may make a preliminary determination that one (1) or more of the following conditions exist:

(a) The consumer appears to be entitled to a refund of some or all moneys paid for the hearing instrument;

(b) The individual may have violated one (1) or more sections of the statutes or administrative regulations, but there is not enough evidence to proceed without further investigation;

(c) The individual may have violated one (1) or more sections of the statutes or administrative regulations and there is sufficient evidence to proceed;

(d) The individual appears to be practicing without benefit of appropriate licensure and the matter may be pursued through criminal prosecution or injunctive relief within the court system; or

(e) The individual appears to have functioned in compliance with all appropriate statutes and administrative regulations and there appears to be no cause of action for the board to pursue.

(2) When in the opinion of the board, the complaining party appears to be entitled to a refund of some or all moneys, the board may direct the individual to make a refund.

(3) When in the opinion of the board, the information gathered indicates that a violation of the statutes or administrative regulations may have occurred, but the board does not have sufficient evidence to file a formal complaint, the board shall authorize its attorney and a designated investigative assistant to investigate the matter and report their findings to the board at their earliest opportunity.

(4) When in the opinion of the board, the information gathered indicates that the filing of a formal complaint is warranted, the board shall cause a complaint to be prepared stating clearly the charge or charges to be considered at the hearing. The formal complaint shall be signed by the chairman and served upon the individual as required by Section 5 of this administrative regulation.

(5) When in the opinion of the board a complaint warrants the issuance of a formal complaint against a person who may be selling and fitting hearing instruments without proper licensure, the board shall cause a complaint to be prepared and signed by the chairman of the board, stating the board's belief the charges are based upon reliable information. The complaint shall be forwarded to the county attorney of the county where the alleged violation may have occurred alleging the selling and fitting hearing instruments without appropriate licensure with a request that appropriate action be taken under KRS 334.990. The board may also initiate action in Franklin Circuit Court for injunctive relief to stop the unauthorized sale and fitting of hearing instruments.

Section 4. Settlement by Informal Proceedings.

(2) Any 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 chairman of the board.

Section 5. Notice and Service of Process.

(1) Any notice required by KRS Chapter 334 or this administrative regulation shall be in writing, dated and signed by the chairman of the board.

(2) 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 of which the board has record or if known, by service on the named individual's attorney of record, if appropriate. Refusal or service avoidance shall not prevent the board from pursuing proceedings as may be appropriate.

(3) When notice of the initial date for the administrative hearing is given by either the board or the hearing officer, that notice shall be sent to the appropriate person at least twenty (20) days prior to the hearing.

History

RELATES TO: KRS 334.120, 334.150
STATUTORY AUTHORITY: KRS 334.150
NECESSITY, FUNCTION, AND CONFORMITY: The purpose of this administrative regulation is to outline the administrative procedure for the processing of complaints.
History: 4 Ky.R. 92; eff. 10-5-77; Am. 20 Ky.R. 1649; 2321; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 7:105 Hearing procedures {#sec-201-kar-7-105 omnilex-key=us-ky-regs-official--title-201--201 KAR 7:105}

Section 1. Composition of the Board for Purposes of a Hearing.

(1) Disciplinary actions or appeals may be heard by a quorum of the board members eligible to hear that particular case, the board's designated hearing officer, or both.

(2) The board may appoint a licensed attorney as a hearing officer to preside over the hearing, conduct all prehearing activities, prepare findings of fact and conclusions of law at the direction of the board, and provide legal advice to the board.

(3) A board member who has participated in the investigation of a disciplinary action or who has personal knowledge of the facts giving rise to a disciplinary action shall not sit as a member of the board hearing that particular action and shall not be considered an eligible member for purposes of determining a quorum.

(4) Staff members of the board, legal counsel for the board and a court stenographer may also be present for the hearing.

Section 2. Rights of the Respondent.

(1) The respondent shall be the licensee, apprentice permit holder, or applicant.

(2) The respondent shall have the right to:

(a) Be present and to be heard at the hearing;

(b) Be represented by legal counsel;

(d) Cross-examine witnesses presented by the board;

(e) Make both opening and closing statements; and

(f) Have subpoenas issued in accordance with KRS 334.150(14).

Section 3. Prehearing Disclosure of Evidence.

(1) By the board.

(a) The names, addresses, and phone numbers of witnesses expected to be called by the board shall be made available upon request of the respondent.

(b) Copies of documentary evidence may be obtained upon the payment of a reasonable charge therefore, except documents protected from disclosure by state or federal law.

(c) Nothing in this section shall be construed as giving the respondent the right to examine or copy the personal notes, observations, or conclusions of the board's investigators nor shall it be construed as allowing access to the work product of legal counsel for the board.

(d) The respondent shall also be permitted to examine any items of tangible evidence in the possession of the board.

(2) By the respondent.

(a) At least ten (10) days prior to the scheduled hearing date the respondent shall furnish to the investigator or legal counsel for the board copies of any documents which the respondent intends to introduce at the hearing, and a list of the names, addresses, and home and work telephone numbers of any witnesses to be presented to the board by the respondent.

(b) The respondent shall also produce for inspection any items of tangible evidence within his possession or control which he intends to introduce at the hearing.

(3) Sanctions for failure to comply with prehearing disclosure. Should a party fail to comply with this section the board hearing the disciplinary action may refuse to allow into evidence any items or testimony that have not been disclosed, may continue the action to allow the opposing party a fair opportunity to meet the new evidence, or may make an order as it deems appropriate.

(4) Continuing duty to disclose.

(a) After disclosure has been completed, each party shall remain under an obligation to disclose any new or additional items of evidence which the party intends to introduce or witnesses the party intends to have testify.

(b) Additional disclosure shall take place as soon as practicable.

Section 4. Order of Proceeding.

(1) Call to order.

(a) The hearing officer shall call the hearing to order.

(b) The hearing officer shall identify the parties to the action and the persons present.

(d) The hearing officer shall then ask the parties to state any objections or motions.

(e) The hearing officer shall rule upon any objections or motions, subject to being overridden by a majority vote of the members of the board.

(f) Opening statements shall then be made, with the attorney for the board proceeding first. Either side may waive opening statement.

(2) The taking of proof on behalf of the board.

(a) The taking of proof shall commence with the calling of witnesses on behalf of the board.

(b) Each witness shall be examined first by the attorney for the board, then by the respondent or that person's attorney, and finally by members of the board.

(d) Documents or other items may be introduced into evidence as appropriate.

(3) The taking of proof on behalf of the respondent.

(a) Upon conclusion of the case for the board, the respondent shall call its witnesses. These witnesses shall be examined first by the respondent or that person's attorney, then by the attorney for the board, and finally by the members of the board.

(b) Rebuttal examination of those witnesses shall proceed in the same order.

(4) Closing statements. At the conclusion of the proof, the parties shall be afforded the opportunity to make a closing statement, with the attorney for the board always proceeding last. The hearing officer may impose reasonable limitations upon the time allowed for opening and closing statements.

(5) Decorum. The hearing officer shall also be responsible for enforcing the general rules of conduct and decorum and expediting the hearing by keeping the testimony and exhibits relevant to the case.

Section 5. Rules of Evidence.

(1) The board shall not be bound by the technical rules of evidence.

(2) The board may receive any evidence which it considers to be reliable, including testimony which would be hearsay if presented in a court of law.

(3) Documentary evidence may be admitted in the form of copies or excerpts, and need be authenticated only to the extent that the board is satisfied of its genuineness and accuracy.

(4) Tangible items may be received into evidence without the necessity of establishing a technical legal chain of custody so long as the board is satisfied that the item is what it is represented to be and that it is in substantially the same condition as it was at the time of the events under consideration.

(5) The board shall retain the discretion to exclude any evidence which it considers to be unreliable, incompetent, irrelevant, immaterial or unduly repetitious.

(6) Rulings on objections to evidence shall be made by the hearing officer but may be overridden by a majority vote of the eligible members of the board.

Section 6. Decisions by the Board.

(1) Upon the conclusion of the hearing, the board shall retire into closed session for the purpose of deliberations.

(2) At the conclusion of the board's deliberations it shall propose a motion based upon the evidence presented.

(3) The hearing officer shall draft a proposed order including findings of fact and conclusions of law consistent with the board's deliberations as well as a recommended order to be submitted to the full board at a subsequent meeting.

Section 7. Final Approval by the Board. The board, at its next meeting, or as soon thereafter as may be arranged, shall review the proposed order and consider it for final approval.

Section 8. Continuances; Proceedings in Absentia.

(1) It is the policy of the board not to postpone cases which have been scheduled for hearing without good cause.

(2) A request by a respondent for a continuance may be considered if communicated to the staff reasonably in advance of the scheduled hearing date and based upon good cause.

(3) The decision whether to grant a continuance shall be made by the hearing officer or chairman of the board.

(4) The burden shall be on the respondent to be present at a scheduled hearing. Failure to appear at a scheduled hearing for which a continuance has not been granted in advance shall be deemed a waiver of the right to appear and the hearing shall be held as scheduled.

History

RELATES TO: KRS 334.050, 334.120
STATUTORY AUTHORITY: KRS 334.120, 334.150
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334.120 mandates a hearing upon the filing of a complaint alleging a violation of KRS Chapter 334 or the administrative regulations promulgated thereunder. This administrative regulation establishes detailed procedures for the conduct of administrative hearings held pursuant to KRS 334.120.
History: 20 Ky.R. 1725; Am. 2323; eff. 2-10-94; Crt eff. 2-21-2020.

Chapter 8 Board of Dentistry

201 KAR 8:016 Registration of dental laboratories {#sec-201-kar-8-016 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:016}

Section 1.

(1) Each commercial dental laboratory operating, doing business, or intending to operate or do business in Kentucky shall register with the board.

(2) A dental laboratory shall be considered operating or doing business in Kentucky if its work product is prepared pursuant to a written authorization originating within this state.

Section 2. The board shall not issue a registration to a commercial dental laboratory unless the applying dental laboratory is operated under the supervision of at least one (1) certified dental technician (CDT) or dentist licensed in this state in accordance with KRS 313.550.

Section 3. If the dental laboratory has violated any provision of KRS Chapter 313 or 201 KAR Chapter 8, the dental laboratory shall be subject to disciplinary action pursuant to KRS 313.080 and 313.100.

Section 4. Upon the granting of a registration, the board shall assign to that laboratory a dental registration number. The laboratory registration number shall appear on all invoices or other correspondence of the laboratory.

Section 5. A dentist shall use only those services of a commercial dental laboratory that is duly registered with the board as required by this administrative regulation. A dentist shall include the registration number of the dental laboratory on the dentist's work order.

Section 6. Initial Registration.

(1) The owner or operator of a commercial dental laboratory desiring to obtain a registration shall:

(a) Submit an Application for Registration of Dental Laboratories; and

(b) Pay the fee required by 201 KAR 8:520.

(2) The application shall include:

(a) The name, mailing address, phone number, and e-mail address of the laboratory;

(b) The physical address of the laboratory if different from the mailing address;

(c) The name and CDT number of the supervising CDT or the name and license number of the supervising dentist who is licensed in this state; and

(d) An acknowledgement by the supervising CDT or dentist who is licensed in this state that the laboratory:

Meets the infectious disease control requirements under Occupational Safety and Health Administration (OSHA) and the Centers for Disease Control and Prevention (CDC) of the United States Public Health Service;
Will provide material disclosure to the prescribing dentist that contains the U.S. Food and Drug Administration registration number of all patient contact materials contained in the prescribed restoration in order that the dentist may include those numbers in the patient's record; and
Will disclose to the prescribing dentist the point of origin of the manufacture of the prescribed restoration. If the restoration was partially or entirely manufactured by a third-party provider, the point of origin disclosure shall identify the portion manufactured by a third-party provider and the city, state, and country of the provider.

Section 7. Registration Renewal.

(1) Commercial dental laboratory registrations shall expire on July 31 of each year and shall be renewed to continue operating or doing business in Kentucky.

(2) To renew a registration, the owner or operator shall:

(a) Submit a Renewal Application for Registration of Dental Laboratories on or before July 31; and

(b) Pay the fee required by 201 KAR 8:520.

(3) The renewal application shall include the information required in Section 6(2)(a)-(d) of this administrative regulation.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Registration of Dental Laboratories", November 2022; and

(b) "Renewal Application for Registration of Dental Laboratories", November 2022.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Dentistry, 312 Whittington Parkway, Suite 101, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. through 4:30 p.m. This material is also available on the board's Web site at http://dentistry.ky.gov.

History

RELATES TO: KRS 313.021, 313.022, 313.550
STATUTORY AUTHORITY: KRS 313.021(1)(a), (c), 313.022(1), 313.080, 313.090, 313.100
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.021(1)(a) requires the board to govern dental laboratories. KRS 313.021(1)(c) requires the board to promulgate administrative regulations for any license or registration created by the board. KRS 313.022(1) requires the board to promulgate administrative regulations to prescribe a reasonable schedule of fees, charges, and fines. This administrative regulation establishes requirements for the issuance and renewal of dental laboratory registration and the fees for the issuance, renewal, and reinstatement of registrations of dental laboratories with the board.
History: 40 Ky.R. 2385; Am. 2679; 41 Ky.R. 257; eff. 6-18-2014; 49 Ky.R. 1340, 1757; eff. 3-9-2023.

201 KAR 8:510 Advisory opinions {#sec-201-kar-8-510 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:510}

Section 1. Form of Request.

(1) The request shall be signed by one (1) or more persons, with each signer's mailing address and telephone number, and if available, fax number and e-mail address, clearly indicated. If a person signs on behalf of a corporation or association, the name of the entity, the address, telephone number, and fax number of the entity shall be included. The signer shall date the request.

(2) The request shall be submitted on the Advisory Opinion Request Form.

Section 2. Consideration.

(1) The board president or designee may, in writing schedule an informal meeting between the requester, any interested persons, and a representative of the board, to present information and discuss questions raised. A final decision shall not be made at an informal meeting.

(2) In rendering an advisory opinion, the board shall:

(a) Consider all materials submitted with the request;

(b) Consider any relevant document, data, or other material; and

(3) The board may:

(a) Consult experts or other individuals;

(b) Require argument of the question; or

Section 3. Issuance of Opinion or Refusal to Issue an Opinion. The board shall issue an advisory opinion in response to the request, unless one (1) of the following applies:

(1) The board does not have jurisdiction over the questions presented in the request;

(2) The questions presented are pending in a disciplinary matter, other board, or judicial proceeding that may definitively decide the issues;

(3) The questions presented by the request would be more properly resolved in a different type of proceeding;

(4) The facts or questions presented in the request are unclear, overbroad, insufficient, or otherwise inappropriate as a basis upon which to issue an opinion;

(5) There is no need to issue an opinion because the questions raised in the request have been settled due to a change in circumstances;

(6) The requester is asking the board to determine if a statute is unconstitutional; or

(7) An opinion would not be in the public interest.

Section 4. Publication of Advisory Opinions.

(1) All advisory opinions shall be published and maintained by the office of the board. Publication shall be made by hard copy and by placing the entire opinion on the board's Web site.

(2) All names or references that allow for the identification of a party shall be redacted from the final published advisory opinion.

(3) An index of all final published advisory opinions shall be maintained by the office of the board. The index shall include the subject of each opinion, its publication date, and any prospective changes effectuated by the opinion.

Section 5. Reconsideration and Appeals.

(1) Any person may request the board to reconsider a published advisory opinion within ten (10) working days of the publication of the opinion.

(2) The request for reconsideration shall be submitted on the Advisory Opinion Request Form.

(3) Requests for reconsideration shall contain:

(a) A clear and concise statement of the grounds for the reconsideration;

(b) The proposed conclusion with a summary of the rationale supporting the proposed conclusion;

(c) Any supportive statute, administrative regulation, document, order, or other statement of law or policy, with an explanation of the relevance of the material offered; and

(d) A statement of adverse impact, if any, resulting from the published advisory opinion.

(4) Any notice of appeal to the Franklin Circuit Court filed pursuant to KRS 313.090 shall be served upon the board president, the executive director, and the general counsel for the board.

Section 6. Incorporation by Reference.

(1) "Advisory Opinion Request Form", July 2010, is incorporated by reference.

History

RELATES TO: KRS 313.021(1)(k)
STATUTORY AUTHORITY: KRS 313.021(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.021(1) authorizes the board to issue advisory opinions. This administrative regulation establishes the procedures for submission, consideration, and disposition of a request for an advisory opinion.
History: 37 Ky.R. 616; 1627; eff. 2-4-2011; Crt eff. 4-8-2019; Crt eff. 3-16-2026.

201 KAR 8:520 Fees and fines {#sec-201-kar-8-520 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:520}

Section 1. Dentists.

(1) The initial licensure fee for a dental license applied for in the first year of the biennial license period shall be $325.

(2) The initial licensure fee for a dental license applied for in the second year of the biennial license period shall be $175.

(3) The renewal fee for a dental license appropriately renewed before the expiration of the license shall be $295.

(4) The reinstatement fee for an expired dental license reinstated between January 1 and January 15 of the year following the expiration of the license shall be $575.

(5) The reinstatement fee for an expired dental license reinstated between January 16 and January 31 of the year following the expiration of the license shall be $835.

(6) The reinstatement fee for an expired dental license reinstated on or after February 1 of the year following the expiration of the license shall be $1,415.

(7) The reinstatement fee for a properly retired dental license shall be $325.

(8) The initial licensure fee for a dental specialty license shall be $100.

(9) The renewal fee for a dental specialty license properly renewed before the expiration of the license shall be fifty (50) dollars in addition to the renewal fee for a standard dental license.

(10) The reinstatement fee for an expired a dental specialty license shall be fifty (50) dollars in addition to the reinstatement fee for an expired standard dental license.

(11) The reinstatement fee for a properly retired dental specialty license shall be fifty (50) dollars in addition to the reinstatement fee for a retired standard dental license.

(12) The initial licensure fee and renewal fee for a charitable limited dental license shall be twenty-five (25) dollars.

(13) The initial fee for a dental anesthesia or sedation permit shall be $250.

(14) The renewal fee for a dental anesthesia or sedation permit properly renewed before the expiration of the permit shall be seventy-five (75) dollars.

(15) The reinstatement fee for an expired dental anesthesia or sedation permit shall be seventy-five (75) dollars.

Section 2. Dental Hygienists.

(1) The initial licensure fee for a dental hygiene license applied for in the first year of the biennial license period shall be $125.

(2) The initial licensure fee for a dental hygiene license applied for in the second year of the biennial license period shall be seventy-five (75) dollars.

(3) The renewal fee for a dental hygiene license appropriately renewed before the expiration of the license shall be $110.

(4) The reinstatement fee for an expired dental hygiene license reinstated between January 1 and January 15 of the year following the expiration of the license shall be $240.

(5) The reinstatement fee for an expired dental hygiene license reinstated between January 16 and January 31 of the year following the expiration of the license shall be $370.

(6) The reinstatement fee for an expired dental hygiene license reinstated on or after February 1 of the year following the expiration of the license shall be $630.

(7) The initial licensure fee and renewal fee for a charitable limited dental hygiene license shall be twenty-five (25) dollars.

(8) The initial registration fee to administer local anesthesia shall be fifty (50) dollars.

(9) The initial registration fee to practice under general supervision shall be fifty (50) dollars.

(10) The initial registration fee to administer an intravenous access line shall be fifty (50) dollars.

(11) The initial registration fee to perform laser debridement shall be fifty (50) dollars.

(12) The initial registration fee to be a public health registered dental hygienist shall be fifty (50) dollars.

(13) The reinstatement fee for a properly retired dental hygiene license shall be $125.

Section 3. Anesthesia and Sedation Facilities.

(1) The initial certification fee for an anesthesia or sedation facility shall be $250.

(2) The renewal fee for an anesthesia or sedation facility certificate shall be seventy-five (75) dollars.

(3) The reinstatement fee for an expired anesthesia or sedation facility certificate reinstated between January 1 and January 15 of the year following the expiration of the certificate shall be $125.

(4) The reinstatement fee for an expired anesthesia or sedation facility certificate reinstated between January 16 and January 31 of the year following the expiration of the certificate shall be $175.

(5) The reinstatement fee for an expired anesthesia or sedation facility certificate reinstated on or after February 1 of the year following the expiration of the certificate shall be $225.

Section 4. Dental Laboratories.

(1) The initial registration fee for a commercial dental laboratory shall be $150.

(2) The renewal fee for a dental laboratory registration appropriately renewed on or before the expiration of the registration shall be $150.

(3) The reinstatement fee for an expired dental laboratory registration reinstated between August 1 and August 15 following the expiration of the certificate shall be $250.

(4) The reinstatement fee for an expired dental laboratory registration reinstated between August 16 and August 31 following the expiration of the certificate shall be $300.

(5) The reinstatement fee for an expired dental laboratory registration reinstated on or after September 1 following the expiration of the certificate shall be $350.

Section 5. Mobile Dental Facilities and Portable Dental Units.

(1) The initial registration fee for a mobile dental facility or portable dental unit shall be $150.

(2) The renewal fee for a mobile dental facility or portable dental unit registration shall be seventy-five (75) dollars.

(3) The reinstatement fee for an expired mobile dental facility or portable dental unit registration reinstated between January 1 and January 15 of the year following the expiration of the registration shall be $150.

(4) The reinstatement fee for an expired mobile dental facility or portable dental unit registration reinstated between January 16 and January 31 of the year following the expiration of the registration shall be $175.

(5) The reinstatement fee for an expired mobile dental facility or portable dental unit registration reinstated on or after February 1 of the year following the expiration of the registration shall be $225.

Section 6. General Fees.

(1) The fee for the verification of a license shall be forty (40) dollars.

(2) The fee for a contact list for either currently licensed dentists, currently licensed dental hygienists, or currently registered dental assistants shall be:

(a) $100 for lists obtained for not-for-profit use; and

(b) $1,000 for lists obtained for profit use.

(3) The fee for any returned check or rejected electronic payment shall be equal to the fee charged to the board by the bank.

Section 7. General Fines.

(1) The payment of reinstatement fees shall not be construed to exempt licensees and other entities regulated by the board from additional penalties associated with practicing or operating without an appropriate license, permit, or registration.

(2) Fines shall be determined by settlement or agreed order as negotiated by the Law Enforcement Committee or as issued by a hearing panel in accordance with KRS 313.100.

Section 8. All fines and fees paid to the board shall be nonrefundable.

History

RELATES TO: KRS 218A.205(3)(f)4., 313.022, 313.030, 313.100(2)(c)
STATUTORY AUTHORITY: KRS 218A.205(3)(f)4., 313.022(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.022(1) requires the board to promulgate administrative regulations to prescribe a reasonable schedule of fees, charges, and fines. This administrative regulation establishes fees, charges, and fines for the issuance, renewal, and reinstatement of licenses, for services and materials provided by the board, for investigations, and for infractions.
History: 37 Ky.R. 618; Am. 1628; eff. 2-4-2011; 39 Ky.R. 512; 1377; eff. 2-1-2013; 48 Ky.R.103, 1603, 1728; eff. 12-15-2021; 48 Ky.R. 2822, 49 Ky.R. 1758; eff. 3-9-2023.

201 KAR 8:533 Licensure of dentists {#sec-201-kar-8-533 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:533}

Section 1. General Licensure Requirements. An applicant desiring initial licensure in Kentucky as a general dentist shall:

(1) Understand, read, speak, and write the English language with a comprehension and performance level equal to at least the ninth grade of education, verified by testing as necessary;

(2) Submit a completed and signed Application for Dental Licensure or online equivalent with an attached applicant photo taken within the past six (6) months;

(3) Pay the fee required by 201 KAR 8:520;

(4) Not be subject to disciplinary action pursuant to KRS Chapter 313 that would prevent licensure;

(5) Complete and pass the board's jurisprudence exam;

(6) Hold an active certification in cardiopulmonary resuscitation (CPR) or a more comprehensive program which meets or exceeds the American Heart Association Guidelines for CPR and ECC;

(7) Submit to a nationwide state and federal criminal background check by fingerprint through the Department of Kentucky State Police;

(8) Provide verification of any license to practice dentistry held previously or currently in any state or other licensing jurisdiction;

(9) Hold a Doctor of Medicine in Dentistry (DMD) or Doctor of Dental Surgery (DDS) degree from a dental school program accredited by the Commission on Dental Accreditation (CODA);

(10) Successfully complete the National Board Dental Examination (NBDE) Part I and Part II or the Integrated National Board Dental Examination (INBDE), conducted by the Joint Commission on National Dental Examinations (JCNDE);

(11) Provide a written explanation for any positive returns on a query of the National Practitioner Data Bank; and

(12) Complete all additional requirements for one (1) of the following:

(a) Licensure by clinical examination;

(b) Licensure by credentials; or

Section 2. Requirements for Licensure by Clinical Examination.

(1) An individual desiring initial licensure in Kentucky as a general dentist by clinical examination shall:

(a) Complete all requirements in Section 1 of this administrative regulation; and

(b) Successfully complete all components of one (1) of the following clinical examinations within the five (5) years preceding the filing of the application:

The dental examination of the American Board of Dental Examiners (ADEX) or its predecessor agencies;
The dental examination of the Central Regional Dental Testing Service (CRDTS) or its predecessor agencies; or
The Dental Licensure Objective Structured Clinical Examination (DLOSCE) of the JCNDE.

(2) An individual applying more than two (2) years after graduating with a DDS or DMD, shall:

(a) Hold a license to practice dentistry in good standing in another state or other United States licensing jurisdiction; or

(b) Complete a continuing education plan approved by the board.

(3) An applicant who has taken a clinical examination three (3) times and failed to achieve a passing score shall complete a remediation plan approved by the board.

Section 3. Requirements for Licensure by Credentials. An individual desiring initial licensure in Kentucky as a general dentist by credentials shall:

(1) Complete all requirements in Section 1 of this administrative regulation;

(2) Successfully complete a state, regional, or national clinical examination used to determine clinical competency in dentistry in another state or other United States licensing jurisdiction; and

(3) Be licensed and actively practicing dentistry in another state or other United States licensing jurisdiction for at least five (5) of the six (6) years preceding the filing of the application.

Section 4. Requirements for Licensure by International Training.

(1) An individual desiring initial licensure in Kentucky as a dentist who is a graduate of a non-CODA accredited dental school program shall:

(a) Complete all requirements in Section 1 of this administrative regulation, except for subsection (9);

(b) Pass the Test of English as a Foreign Language (TOEFL) administered by the Educational Testing Service with a score of 650 on the paper-based test (PBT) or a score of 116 on the internet-based test (iBT), if English is not the applicant's primary language;

(d) Submit a letter of satisfactory program completion from the program director of each postgraduate training site; and

(e) Successfully complete a clinical examination required by Section 2(1)(b) of this administrative regulation within five (5) years preceding the filing of the application.

(2) An individual applying for dental licensure more than two (2) years after completing a CODA accredited advanced dental education program shall:

(a) Hold a license to practice dentistry in good standing in another state or other United States licensing jurisdiction; or

(b) Complete a continuing education plan approved by the board.

(3) Qualified individuals applying for dental licensure under this section who have completed a two (2) year Advanced Education in General Dentistry Program (AEGD), General Practice Residency (GPR), or other CODA accredited advanced dental education program in general dentistry shall be issued a general dentist license and shall not practice outside the scope of general dentistry.

(4) Qualified individuals applying for dental licensure under this section who have completed a CODA accredited advanced dental education program in a dental specialty shall be issued a dental specialist license and shall not practice as a general dentist or in any other capacity outside of the scope of their specialty, except as established in KRS 313.035(3).

Section 5. Requirements for Student Limited Licensure.

(1) An individual desiring limited licensure in Kentucky as a student shall:

(a) Complete all requirements in Section 1 of this administrative regulation, except for subsections (9) and (10);

(b) Submit a letter from the dean or program director of a postgraduate, residency, or fellowship program in Kentucky stating that the applicant has been accepted into the program and the expected date of completion;

(d) Submit an official final transcript of the applicant's dental coursework with the degree posted.

(2) A student limited license holder shall only practice dentistry in conjunction with programs of the dental school where the individual is a student and shall only provide professional services to patients of these programs.

(3) A student limited license may be renewed in accordance with Section 11 of this administrative regulation, but shall automatically expire if the student graduates from or exits the program.

(4) A program enrolling a student limited license holder shall notify the board in writing of the date the student graduates from or exits the program.

(5) Nothing in this section shall prohibit:

(a) A student from performing a dental procedure under the direct supervision of a competent instructor within the dental school, college, or department of a university or private practice facility approved by the board. The board may authorize a student to practice dentistry within a state or municipal institution, public school, board of health, public clinic, or charitable entity. A fee shall not be accepted by the student beyond the expenses covered by a stipend;

(b) A student limited license holder from working under the general supervision of a licensed dentist within the confines of the postgraduate training program; and

Section 6. Requirements for Faculty Limited Licensure.

(1) An individual desiring limited licensure in Kentucky as a faculty member shall:

(a) Complete all requirements in Section 1 of this administrative regulation with the exception of subsections (9) and (10);

(b) Submit a letter from the dean or program director of a Kentucky dental school stating that the applicant has received a faculty appointment;

(d) Submit an official final transcript of the applicant's dental coursework with the degree posted.

(2) A faculty limited license holder shall only practice dentistry in conjunction with programs of the dental school where the individual is a faculty member and shall only provide professional services to patients of these programs.

(3) A faculty limited license may be renewed in accordance with Section 11 of this administrative regulation, but shall automatically expire if the licensee leaves their faculty position.

(4) A program employing a faculty limited license holder shall notify the board in writing of the date the licensee leaves his or her faculty position.

Section 7. Requirements for Charitable Limited Dental Licensure.

(1) An individual desiring limited licensure in Kentucky to provide charitable dental services shall:

(a) Understand, read, speak, and write the English language with a comprehension and performance level equal to at least the ninth grade of education, verified by testing as necessary;

(b) Submit a completed and signed Application for Charitable Limited Licensure with an attached applicant photo taken within the past six (6) months;

(d) Not be subject to disciplinary action pursuant to KRS Chapter 313 that would prevent licensure;

(e) Hold a license to practice dentistry in good standing in another state or other United States licensing jurisdiction; and

(f) Provide a written explanation for any positive returns on a query of the National Practitioner Data Bank.

(2) A charitable limited dental license holder shall:

(a) Work only with charitable entities registered with the Cabinet for Health and Family Services that have met the requirements of KRS 313.254 and 201 KAR 8:581;

(b) Only perform procedures allowed by KRS 313.254(4) and (5) which shall be completed within the duration of the charitable event;

(d) Be eligible for the provisions of medical malpractice insurance procured under KRS 304.40-075; and

(e) Perform these duties without expectation of compensation or charge to the individual, and without payment or reimbursement by any governmental agency or insurer.

Section 8. Requirements for Specialty Licensure. An individual desiring initial licensure as a dental specialist in Kentucky as defined by KRS 313.010(9) shall:

(1) Submit a completed and signed Application for Specialty Dental Licensure or online equivalent with an attached applicant photo taken within the past six (6) months;

(2) Pay the fee required by 201 KAR 8:520;

(3) Hold an active Kentucky license to practice general dentistry prior to being issued a specialty license, except as established in Section 4(4) of this administrative regulation; and

(4) Successfully complete a CODA accredited advanced dental education specialty program after graduating from a dental school.

Section 9. Continuing Education Requirements.

(1) A Kentucky licensed dentist shall complete thirty (30) hours of continuing education during the two (2) year licensure period defined by KRS 313.030(2), except in the following cases:

(a) A licensee who was issued a new or reinstated license in the second year of the current biennial license period shall only complete one-half (1/2) the required hours for that period;

(b) A licensee who graduated in the first year of the current biennial license period shall only complete one-half (1/2) the required hours for that period;

(c) A licensee who graduated in the second year of the current biennial license period shall not be required to complete continuing education hours for that period;

(d) A charitable limited license holder shall not be required to complete continuing education hours;

(e) A licensee may be granted a medical hardship waiver or deferment if the written request is submitted to and approved by the board; or

(f) A licensee may be granted a limited practice waiver as established in Section 10 of this administrative regulation.

(2) Acceptable continuing education content shall include:

(a) Competency in treating patients who are medically compromised or who experience medical emergencies during the course of dental treatment;

(b) Pharmaceutical products and proper use protocols of medications;

(d) Awareness of currently accepted methods of infection control;

(e) Basic medical and scientific subjects;

(f) Clinical and technological subjects;

(g) Patient management, safety, and oral healthcare;

(h) Mass casualty or mass immunization situations;

(i) Clinical dentistry performed on a charitable or volunteer basis;

(j) Business operations and best practices; and

(k) Dental association or society business meetings.

(3) The thirty (30) hours of continuing education shall include:

(a) A minimum of ten (10) hours taken in a live, interactive presentation format;

(b) A maximum of ten (10) hours that meet the requirements of subsection (2)(i) - (k) of this section;

(c) A minimum of three (3) hours in the use of the Kentucky All Schedule Prescription Electronic Reporting System (KASPER), pain management, or addiction disorders;

(d) A minimum of one-half (1/2) hour in Pediatric Abusive Head Trauma (PAHT) or Child Abuse and Neglect (CAN); and

(e) A minimum of one (1) hour on the recognition and prevention of pediatric ingestion or inhalation of controlled substances.

(4) Dentists who hold a board-issued sedation permit shall also meet the continuing education requirements of 201 KAR 8:550, Section 8.

(5) All continuing education hours shall be documented by a certificate of completion or attendance bearing:

(a) A signature or other verification of the provider;

(b) The name of the licensee in attendance;

(d) The date of attendance or completion;

(e) The number of hours earned; and

(f) Evidence of the method of delivery if the course was taken in a live interactive presentation format.

(6) The licensee shall be responsible for obtaining the qualifying documentation of continuing education from the provider or sponsoring organization and to retain those documents for a minimum of five (5) years.

(7) During the license renewal process, licensees shall attest to their compliance with the requirements of this section.

(8) Licensees shall be subject to audit of their compliance with the requirements of this section.

Section 10. Limited Practice Continuing Education Waivers

(1) A licensee who has practiced in Kentucky for at least twenty (20) years and desires to continue practicing only in a relief or emergency capacity may receive a limited practice waiver of their general continuing education requirements if the written request is submitted to and approved by the board.

(2) A licensee who has been granted a limited practice waiver shall:

(a) Not be required to complete continuing education hours if practicing for not more than thirty (30) days in a calendar year;

(b) Only complete one-half (1/2) the continuing education hours if practicing more than thirty (30) days, but not more than ninety (90) days in a calendar year; or

(c) Complete the full thirty (30) hours of continuing education if practicing for more than ninety (90) days in a calendar year.

(3)

(a) A limited practice waiver shall:

a. Be issued for a single two (2) year cycle per licensee; and

b. Not be repeated; and

Apply to general continuing education requirements only.

(b) Licensees shall still be required to complete all required hours for CPR certification and sedation permits beyond general licensure.

Section 11. Renewal of a Dental License.

(1) All dental licenses issued by the board shall expire on December 31 of odd-numbered years and shall be renewed to remain active. A licensee desiring renewal of an active general, specialty, student limited, or faculty limited dental license shall:

(a) Submit a completed and signed Application for Renewal of Dental Licensure or online equivalent;

(b) Pay the fee required by 201 KAR 8:520;

(c) Maintain an active certification in CPR or a more comprehensive program that meets or exceeds the American Heart Association Guidelines for CPR and ECC; and

(d) Meet the continuing education requirements in Section 9 of this administrative regulation.

(2) A licensee who has not actively practiced dentistry in the two (2) years preceding the filing of the renewal application shall complete a continuing education plan approved by the board prior to resuming the active practice of dentistry.

(3) A licensee desiring renewal of a charitable limited dental license shall repeat the initial licensure process required by Section 7 of this administrative regulation.

Section 12. Retirement of a Dental License.

(1) A licensee desiring to no longer hold an active dental license in Kentucky shall submit a completed and signed Retirement of License Form or online equivalent.

(2) Upon receipt of this form, the board shall send written confirmation of retirement to the address provided.

(3) A licensee shall not retire a license that has pending disciplinary action against it.

(4) A license that is not properly retired or renewed shall be considered expired for reinstatement purposes.

Section 13. Reinstatement of a Dental License.

(1) A former licensee desiring reinstatement of an expired or properly retired dental license in Kentucky shall:

(a) Submit a completed and signed Application to Reinstate Dental or Dental Hygiene Licensure or online equivalent with an attached applicant photo taken within the past six (6) months;

(b) Pay the fee required by 201 KAR 8:520;

(c) Hold an active certification in CPR or a more comprehensive program that meets or exceeds the American Heart Association Guidelines for CPR and ECC;

(d) Provide verification of any license to practice dentistry obtained in any state or other licensing jurisdiction since the applicant was first licensed in Kentucky;

(e) Submit to a nationwide state and federal criminal background check by fingerprint through the Department of Kentucky State Police; and

(f) Provide a written explanation for any positive returns on a query of the National Practitioner Data Bank.

(2) An applicant who has not actively practiced dentistry in the two (2) years preceding the filing of the reinstatement application shall complete a continuing education plan approved by the board prior to resuming the active practice of dentistry.

(3) A former licensee who applies to reinstate an expired license that was not properly retired shall be subject to:

(a) The expired license reinstatement penalties in 201 KAR 8:520 if applying less than two (2) years from when the license was last active; or

(b) The same reinstatement fees as a properly retired license if applying more than two (2) years from when the license was last active.

Section 14. Verification of Licensure. An individual desiring an official verification of a dental license held currently or previously in Kentucky shall:

(1) Submit a completed and signed Verification of Licensure or Registration Form or online equivalent; and

(2) Pay the fee required by 201 KAR 8:520.

Section 15. Issuance of Initial Licensure. Upon an applicant's completion of all requirements for dental licensure within six (6) months of the date the application was received, the board shall:

(1) Issue a license in sequential numerical order; or

(2) Deny licensure due to a violation of KRS Chapter 313 or 201 KAR Chapter 8.

Section 16. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Charitable Limited Licensure", January 2024;

(b) "Application for Dental Licensure", January 2024;

(d) "Application for Specialty Dental Licensure", January 2024;

(e) "Application to Reinstate Dental or Dental Hygiene Licensure", January 2024;

(f) "Retirement of License Form", January 2024;

(g) "Statement Regarding Faculty Licensure Limitations", January 2024;

(h) "Statement Regarding Student Licensure Limitations", January 2024;

(i) "Verification of Licensure or Registration Form", January 2024; and

(j) "2020 American Heart Association Guidelines for CPR and ECC", 2020.

History

RELATES TO: KRS 39A.350-39A.366, 218A.205, 304.40-075, 313.010(9), 313.030, 313.035, 313.254
STATUTORY AUTHORITY: KRS 218A.205, 313.021(1)(a), (b), (c), 313.035(1), (3), 313.254
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.035 and 218A.205 require the board to promulgate administrative regulations relating to requirements and procedures for the licensure of dentists. This administrative regulation establishes requirements and procedures for licensure of dentists.
History: 201 KAR 008:533. 49 Ky.R. 1859, 2273; eff. 7-24-2023; 50 Ky.R. 1739, 2393; eff. 6-18-2024; 52 Ky.R. 1739, 14; eff. 8-18-2026.

201 KAR 8:540 Dental practices and prescription writing {#sec-201-kar-8-540 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:540}

Section 1. Applicability. A dentist who is authorized to prescribe, dispense or administer a controlled substance shall comply with the standards of acceptable and prevailing dental practice for prescribing, dispensing or administering a controlled substance established in this administrative regulation.

Section 2. Professional Standards for Documentation of Dental Patients.

(1) Each patient's dental records shall be kept by the dentist for a minimum of:

(a) Seven (7) years from the date of the patient's last treatment;

(b) Seven (7) years after the patient's eighteenth birthday, if the patient was seen as a minor; or

(2) Each dentist shall comply with KRS 422.317 regarding the release of patient records.

(3) The dentist shall keep accurate, readily accessible, and complete records which include:

(a) The patient's name;

(b) The patient's date of birth;

(d) The date of treatment;

(e) The areas to be treated;

(f) The material used in treatment;

(g) Local or general anesthetic used, route of administration, and the amount;

(h) Sedation medications used, the amount, monitoring techniques, and the names of qualified personnel that monitor the patient;

(i) Diagnostic, therapeutic, and laboratory results, if any;

(j) The findings and recommendations of the dentist and a description of each evaluation or consultation, if any;

(k) Treatment objectives;

(l) Any and all treatments performed and provided;

(m) All medications, including date, type, dosage, and quantity prescribed or dispensed; and

(n) Any post treatment instructions.

(4) Prior to prescribing or administering a Schedule II or III controlled substance, the dentist shall obtain the signature of the patient or a legal guardian on a consent form authorizing the treatment plan, including the use of controlled substances.

Section 3. Prescribing and Administration of Controlled Substances.

(1) In accordance with KRS 313.035, a dentist may prescribe, dispense, and administer any non-controlled drug necessary within the scope of the dentist's practice if the dentist is licensed pursuant to KRS Chapter 313.

(2) In accordance with KRS 313.035, a dentist may administer and prescribe controlled substances necessary within the scope of the dentist's practice if the dentist:

(a) Has obtained a registration from the Drug Enforcement Administration;

(b) Complies with KRS 218A.202 regarding the use of the Kentucky All Schedule Prescription Electronic Reporting System (KASPER); and

(3) A dentist shall not compound any scheduled drugs or dispense controlled substances for use by the patient outside the office setting.

(4) A dentist shall obtain and document all relevant information in a patient's medical and dental records in a legible manner and in sufficient detail to enable the board to determine whether the dentist is conforming to professional standards.

(5) Prior to the initial prescribing or administration of a Schedule II or III controlled substance, each dentist shall:

(a) Obtain and review a KASPER report for the twelve (12) month period immediately preceding the patient encounter and appropriately utilize that data in the evaluation and treatment of the patient.

(b) Document relevant information in the patient's record;

(c) Consider the available information to determine if it is medically appropriate and safe to administer or prescribe a controlled substance;

(d) Obtain a complete medical history and conduct a physical examination of the oral or maxillofacial area of the patient and document the information in the patient's medical record;

(e) Make a written treatment plan stating the objectives of the treatment and further diagnostic examinations required;

(f) Discuss the risks and benefits of the use of controlled substances with the patient, the patient's parent if the patient is an unemancipated minor child, or the patient's legal guardian or health care surrogate, including the risk of tolerance and drug dependence; and

(g) Obtain written consent for the treatment.

(6) Pursuant to KRS 218A.172, the requirements set forth within this section shall not apply when prescribing or administering a controlled substance:

(a) As part of the patient's hospice or end of life treatment;

(b) To a patient admitted to a licensed hospital as an inpatient, or observation patient, during and as part of a normal and expected part of the patient's course of care at that hospital.

(d) As necessary to treat a patient in an emergency situation; or

(e) To a patient admitted to a long-term care facility.

(7) A dentist shall not issue a prescription for more than a three (3) day supply of a Schedule II or III controlled substance to treat pain as an acute medical condition unless the following conditions have been met:

(a) The dentist, in his or her professional judgment, believes that more than a three (3) day supply of a Schedule II or III controlled substance is medically necessary to treat the patient's pain as an acute medical condition;

(b) The dentist has documented in the patient's dental record the acute medical condition and lack of alternative treatment options which justifies deviation from the three (3) day supply limit established in this subsection; and

(c) The patient and the dentist have attested by signature in the patient's dental record that alternative pain relief methods using non-opioid medications were explained to the patient and that the patient understands the risk of dependency when prescribed more than a three (3) day supply of a Schedule II or III controlled substance. This may occur:

During, and in addition to, the patient's original consultation and consent process as described in subsection (5) of this section; or
As part of a follow-up consultation after the initial three (3) day supply has been prescribed.

(d) A dentist licensed in Kentucky shall not act to avoid the three (3) day supply limit established in subsection (4) of this section by prescribing or administering a Schedule II or III controlled substance to a patient on consecutive or multiple occasions.

(8) A dentist may provide one (1) refill within thirty (30) days of the initial prescription for the same controlled substance for the same amount or less or prescribe a lower schedule drug for the same amount without a clinical reevaluation of the patient by the dentist.

(9) A patient who requires additional prescriptions for a controlled substance shall be clinically reevaluated by the dentist, and the provisions of this section for the prescription of controlled substances shall be followed. If the course of treatment extends beyond three (3) months, the dentist shall obtain and review a new KASPER report. The dentist shall provide any new information about the treatment and modify or terminate treatment as appropriate.

(10) Any violation of this section shall be considered a violation of KRS 218A.205(3), 313.060, and 313.085, and shall constitute a legal basis for disciplinary action pursuant to KRS 313.035.

Section 4. Penalties for Controlled Substances Violations.

(1) A licensee convicted of a felony offense related to a controlled substance shall, at a minimum, be banned from prescribing or dispensing a controlled substance.

(2) A licensee convicted of a misdemeanor offense relating to the prescribing of a controlled substance shall, at a minimum, have a five (5) year ban from prescribing or dispensing a controlled substance.

(3) A licensee disciplined by a licensing board of another state relating to the improper, inappropriate, or illegal prescribing or dispensing of controlled substances shall, at a minimum, have the same disciplinary action imposed by this state or the disciplinary action prescribed in subsection (1) or (2) of this section, whichever is greater.

(4) A licensee who is disciplined in another state or territory for an act or omission which would constitute a violation of this section and fails to notify the board in writing of the disciplinary action within thirty (30) days of the finalization of the action shall be subject to a fine of $1,000 for each failure to report.

(5) If a licensee has been convicted of or has entered a plea of guilt, an Alford plea, or a plea for nolo contendere to any felony offense relating to a controlled substance; has successfully participated in and completed a diversion program; and whose case has been dismissed and the record of that offense expunged; the board may, in its discretion, reinstate the licensee's prescribing and dispensing privileges contingent upon the licensee entering into an agreed order with terms and conditions deemed necessary by the board to implement a minimum five (5) year period of probation.

(6) The board may privately admonish a licensee who fails to register for an account with the Kentucky All Schedule Prescription Electronic Reporting System or who fails to meet the requirements of this administrative regulation. If a licensee is privately admonished by the board under this subsection, the licensee shall be given no more than thirty (30) days to become compliant after which time the dentist may be fined up to $10,000 for failure to be registered with KASPER. A licensee who fails to utilize KASPER prior to prescribing a controlled substance may be fined up to $250 per incident by the board.

(7) The Law Enforcement Committee of the Board shall produce a charging decision on the complaint within 120 days of the receipt of the complaint, unless:

(a) An investigation pertaining to the prescribing or dispensing of a controlled substance make it impossible to timely present the grievance to the designated review committee, person, or Law Enforcement Committee; or

(b) The board holds a complaint pertaining to the prescribing or dispensing of a controlled substance in abeyance to permit a law enforcement agency, upon the agency's request, to perform or complete an investigation.

(c) If a charging decision is not produced within 120 days of the date of receipt of the complaint under this subsection, the investigative report shall plainly state the circumstances pursuant to paragraphs (a) and (b) of this subsection that prevented the timely production of the charging decision.

Section 5. Administration of Neuromodulators and Dermal Fillers.

(1) A licensed dentist who desires to administer neuromodulators shallcomplete at least ten (10) hours of training in a board-approved course that includes a minimum of six (6) hours of didactic and four (4) hours of clinical training in:

(a) The use of neuromodulators that are derived from Clostridium botulinum or that are biosimilar to or the bioequivalent of such a neuromodulator in the treatment of temporomandibular joint disorder and myofascial pain syndrome; and

(b) The use of neuromodulators that are derived from Clostridium botulinum that are biosimilar to or the bioequivalent of such a neuromodulator for dental and facial esthetics.

(2) A licensed dentist who desires to administer dermal fillers shall complete at least ten (10) hours of training in a board-approved course that includes a minimum of six (6) hours of didactic and four (4) hours of clinical training.

(3) The course completion certificate for any training received pursuant to this section shall be maintained by the dentist and made available to the board upon request.

(4) Any licensed dentist who has administered neuromodulators or dermal fillers prior to June 30, 2026 shall have until December 31, 2027 to comply with this section.

Section 6. Infection Control Compliance.

(1) Each licensed dentist in the Commonwealth of Kentucky shall:

(a) Adhere to the standard precautions outlined in the Guidelines for Infection Control in Dental Health-Care Settings published by the Centers for Disease Control and Prevention; and

(b) Ensure that any person under the direction, control, supervision, or employment of a licensee whose activities involve contact with patients, teeth, blood, body fluids, saliva, instruments, equipment, appliances, or intra-oral devices adheres with those same standard precautions.

(2) If the board becomes aware of a violation or a reliable allegation of a violation of this section which may pose imminent public risk, the board or its designee shall perform an infection control inspection of the dental practice or office utilizing the Infection Control Inspection Checklist of the Guidelines for Infection Control in Dental Health-Care Settings or a more comprehensive standard.

(3)

(a) Any dentist who is found deficient upon an initial infection control inspection shall have thirty (30) days to be in compliance with the guidelines and submit a written plan of correction to the board.

(b) The dentist may receive a second inspection after the thirty (30) days have passed and may be required to pay reasonable expenses to the board or its designee to conduct the inspection, not to exceed the amount of the fine required for failure of a second inspection.

(c) If the dentist fails the second inspection, he or she shall be immediately temporarily suspended pursuant to KRS 313.085 until proof of compliance is provided to the board and the dentist pays the fine.

(4) Any licensed dentist, licensed dental hygienist, or dental assistant who performs invasive procedures may seek counsel from the board if he or she tests seropositive for the human immunodeficiency virus, hepatitis B virus, or other bloodborne pathogen.

(5) Upon the request of a licensee or registrant, the executive director of the board or designee shall convene a confidential expert review panel to offer counsel regarding under what circumstances, if any, the individual may continue to perform invasive procedures.

Section 7. Termination of a Patient-Doctor Relationship. In order for a licensed dentist to terminate the patient-doctor relationship, the dentist shall:

(1) Provide written notice to the patient of the termination;

(2) Provide emergency treatment for the patient for thirty (30) days from the date of termination; and

(3) Retain a copy of the letter of termination in the patient records.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Guidelines for Infection Control in Dental Health-Care Settings", December 2003, or the latest version issued by the Centers for Disease Control on Infection Control in Dental Health Care Setting; and

(b) "Infection Control Inspection Checklist", July 2010.

History

RELATES TO: KRS 218A.172, 218A.182, 218A.202, 218A.205(3), 313.035, 313.060, 313.085, 422.317, 42 U.S.C. 300ee-2 note
STATUTORY AUTHORITY: KRS 218A.205(3), 313.060(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.060(1) requires the board to promulgate administrative regulations relating to dental practices that shall include minimal requirements for documentation and Centers for Disease Control and Prevention compliance. 42 U.S.C. 300ee-2 note requires each state to institute the guidelines issued by the United States Centers for Disease Control and Prevention or guidelines that are equivalent to those promulgated by the Centers for Disease Control and Prevention concerning recommendations for preventing the transmission of the human immunodeficiency virus and the hepatitis B virus during exposure-prone invasive procedures. KRS 218A.205(3)(a) and (b) require the board, in consultation with the Kentucky Office of Drug Control Policy, to establish mandatory prescribing and dispensing standards related to controlled substances. This administrative regulation establishes requirements for preventing the transmission of the human immunodeficiency virus and the hepatitis B virus during exposure-prone invasive procedures and includes minimal requirements for documentation and Centers for Disease Control and Prevention compliance. This administrative regulation also establishes mandatory prescribing and dispensing standards related to controlled substances.
History: 201 KAR 008:540. 37 Ky.R. 624; 1629; eff. 2-4-2011; 39 Ky.R. 519; 1381; eff. 2-1-2013; 46 Ky.R. 80, 1177, 1410; eff. 11-18-2019; Crt to Am; Am filed 4-15-2026; 52 Ky.R. 1744, 17; eff. 8-18-2026.

Section 1. Definitions.

(1) "ADA" means the American Dental Association.

(2) "Analgesia" means the diminution or elimination of pain.

(3) "ASA" means American Society of Anesthesiologists.

(4) "Continual" means repeated regularly and frequently in steady succession.

(5) "Continuous" means prolonged without any interruption.

(6) "Deep sedation" means a drug-induced depression of consciousness during which patients cannot be easily aroused but respond purposefully following repeated or painful stimulation. The ability to independently maintain ventilatory function could be impaired. The patient might require assistance in maintaining a patent airway, and spontaneous ventilation could be inadequate. Cardiovascular function is usually maintained.

(7) "Enteral" means a technique of administration in which the agent is absorbed through the gastrointestinal (GI) tract or oral mucosa (oral, rectal, or sublingual).

(8) "General anesthesia" means a drug-induced loss of consciousness during which a patient is not arousable, even by painful stimulation. The ability to independently maintain ventilatory function is often impaired. Patients often require assistance in maintaining a patent airway, and positive pressure ventilation could be required because of depressed spontaneous ventilation or drug-induced depression of neuromuscular function. Cardiovascular function might be impaired.

(9) "Immediately available" means onsite at the facility and available for immediate use.

(10) "Local anesthesia" means the elimination or diminution of sensation, especially pain, in one (1) part of the body by the topical application or regional injection of a drug.

(11) "Maximum Recommended Dose" or "MRD" means the maximum FDA-recommended dose of a drug for minimal sedation, as printed in FDA-approved labeling for unmonitored home use.

(12) "Minimal sedation" means a minimally depressed level of consciousness produced by a pharmacological method that retains the patient's ability to independently and continuously maintain an airway and respond normally to tactile stimulation and verbal command. Although cognitive function and coordination might be modestly impaired, ventilatory and cardiovascular functions are unaffected.

(13) "Moderate sedation" means a drug-induced depression of consciousness during which patients respond purposefully to verbal commands, either alone or accompanied by light tactile stimulation. Intervention is not required to maintain a patent airway, and spontaneous ventilation is adequate. Cardiovascular function is usually maintained. This term includes the enteral administration of drugs exceeding the maximum recommended dose during a single appointment.

(14) "Nitrous oxide sedation" or "N2O sedation" means a technique of inhalation sedation with nitrous oxide and oxygen.

(15) "Operating dentist" means a licensed dentist with primary responsibility for providing dental care during a procedure.

(16) "Pediatric patient" means a patient twelve (12) years of age or younger.

(17) "Qualified anesthesia provider" means a licensed anesthesiologist, Certified Registered Nurse Anesthetist, or dentist with an applicable sedation permit.

(18) "Qualified dentist" means a licensed dentist with an applicable sedation permit.

(19) "Time-oriented anesthesia record" means documentation at appropriate time intervals of drugs administered, doses of drugs administered, and physiologic patient data obtained during patient monitoring.

(20) "Trained individual" means personnel with an active certification in Basic Life Support for Healthcare Providers, who has been trained in monitoring EKG's, pulse oximetry, blood pressures, airway management, and capnography. Training, whether formal or internal, is documented in employee records.

Section 2. Scope and Applicability.

(1) The board shall be committed to the safe and effective use of sedation and anesthesia by licensed, educated, and trained dentists.

(2) Because large doses of local anesthetics, especially in combination with sedative agents, carry the risk of central nervous system depression, each licensed dentist shall be aware of the maximum, safe dosage limits for each patient.

(3) Level of sedation shall be independent of the route of administration. Moderate or deep sedation, or general anesthesia, may be achieved via any route of administration.

(4) Because sedation and general anesthesia are a continuum and it is not always possible to predict how an individual patient will respond, each licensed dentist intending to produce a given level of sedation shall be able to diagnose and manage the physiologic consequences for patients whose level of sedation becomes deeper than initially intended. For all levels of sedation, the qualified dentist shall have the training, skills, drugs, and equipment to identify and manage such an occurrence until either:

(a) Assistance arrives; or

(b) The patient returns to the intended level of sedation without airway or cardiovascular complications.

(5) Because new indications, agents, and techniques lead to changes in anesthesia and sedation practices, the board shall evaluate changes for safety, efficacy, and to what extent changes become accepted practice within the profession of dentistry.

Section 3. Nitrous Oxide Sedation.

(1) Nitrous oxide sedation may be used by a Kentucky-licensed dentist without a sedation permit or by a Kentucky-licensed dental hygienist who is registered to deliver nitrous oxide analgesia under the direct supervision of a dentist pursuant to KRS 313.060(10).

(2) Equipment used in the administration of nitrous oxide sedation shall have functional safeguard measures that:

(a) Limit the minimum oxygen concentration to thirty (30) percent; and

(b) Provide for scavenger elimination of nitrous oxide gas.

(3) The dentist shall:

(a) Ensure that a patient receiving nitrous oxide is constantly monitored; and

(b) Be present in the office while nitrous oxide is being used.

(4) A Kentucky-registered dental assistant shall not independently administer nitrous oxide sedation, but may initiate nitrous oxide sedation if the dentist is in the office and gives the dental assistant specific instructions regarding the mode of administration and the titration, rate, and dosage of the anesthetic agent.

Section 4. Minimal Sedation.

(1) A sedation permit shall not be required for a Kentucky-licensed dentist to provide minimal sedation.

(2) A patient whose only response is reflex withdrawal from repeated painful stimuli shall not be considered to be in a state of minimal sedation.

(3) The enteral administration of drugs exceeding the maximum recommended dose during a single appointment is considered to be moderate sedation, and Section 5 of this administrative regulation shall apply.

(4) Nitrous oxide, if used in combination with a sedative agent, may be considered to produce minimal, moderate, or deep sedation, or general anesthesia.

(5) If more than one (1) drug is administered enterally to achieve the desired sedation effect, with or without the concomitant use of nitrous oxide, Section 5 of this administrative regulation shall apply.

(6) A dentist who administers minimal sedation shall do so within a sufficient margin of safety to avoid an unintended loss of consciousness. The use of the MRD to guide dosing for minimal sedation is intended to create this margin of safety.

(7) If minimal sedation is administered to a patient who is taking another substance known to increase the sedative effects on the patient, Section 5 of this administrative regulation shall apply.

(8) An operating dentist shall not be required to complete additional training to administer minimal sedation.

(9) The administration of minimal sedation by another dentist or qualified anesthesia provider shall require the operating dentist to maintain current certification in Basic Life Support for Healthcare Providers.

(10) Clinical guidelines.

(a) Patient history and evaluation. Patients considered for minimal sedation shall be evaluated prior to the start of any sedative procedure. In healthy or medically stable individuals who are in the patient physical status classification of (ASA I, II) as established in the ASA Physical Status Classification System, this evaluation shall consist of a review of the patient's current medical history and medication use. In addition, patients with significant medical considerations who are in the patient physical status classification of (ASA III, IV) as established in the ASA Physical Status Classification System shall, unless otherwise documented by the provider, require consideration of a consultation with their treating physician prior to being administered minimal sedation.

(b) Pre-operative evaluation and preparation.

The patient or the patient's parent, legal guardian, or caregiver shall be advised regarding the planned procedure and any other anticipated possible procedures associated with the delivery of any sedative agents. Informed consent for the proposed sedation shall be obtained in writing prior to its administration.
Adequate oxygen supply and the equipment necessary to deliver oxygen under positive pressure shall be determined prior to the administration of minimal sedation.
The patient shall be physically examined prior to the administration of minimal sedation. Baseline vital signs including body weight, height, blood pressure, and pulse rate shall be obtained unless rendered impractical by the nature of the patient, procedure, or equipment. Body temperature shall be measured if clinically indicated.
Preoperative dietary restrictions shall be considered based on the sedative technique prescribed.
The patient or the patient's parent, legal guardian, or caregiver, shall be given preoperative verbal and written instructions regarding the patient's sedation and procedure.

Personnel. All clinical staff participating in the care of a minimally sedated patient shall be certified in Basic Life Support for Healthcare Providers.
Equipment.

a. A positive-pressure oxygen delivery system suitable for the patient being treated shall be immediately available.

b. All equipment shall be examined for proper performance prior to each administration of sedation.

c. If inhalation equipment is used, it shall have a fail-safe system that shall be examined and calibrated and a functioning device that shall prohibit the delivery of less than thirty (30) percent oxygen, or a calibrated and functioning in-line oxygen analyzer with audible alarm.

d. A scavenging system shall be used if gases other than oxygen or air are delivered to a patient.

Monitoring and documentation.

a. Monitoring. The dentist or a trained individual chosen by the dentist, shall remain in the treatment room during active dental treatment to monitor the patient continuously until the patient meets the criteria for discharge to the recovery area. The following shall be monitored unless precluded or invalidated by the nature of the patient:

(i) Consciousness. The patient's level of sedation and responsiveness to verbal commands shall be continually assessed;

(ii) Oxygenation. Oxygen saturation by pulse oximetry shall be continually evaluated;

(iii) Ventilation. The patient's chest excursions shall be monitored and respirations shall be verified; and

(iv) Circulation. Blood pressure and heart rate shall be evaluated pre-operatively and postoperatively.

b. Documentation. A sedative record shall be maintained for each patient to whom sedation is administered. The sedative record shall include the names of all drugs administered including local anesthetics, the time administered, the route of administration, dosages, and monitored physiological parameters.

Recovery and discharge.

a. Oxygen and suction equipment shall be immediately available if a separate recovery area is utilized.

b. The dentist or a trained individual chosen by the dentist shall monitor the patient during recovery until the patient is ready for discharge.

c. The dentist shall examine the patient and document the patient's level of consciousness, oxygenation, ventilation, and circulation prior to discharge.

d. The patient, parent, escort, legal guardian, or caregiver shall be given post-operative verbal and written instructions prior to or upon discharge.

(d) Emergency management.

If a patient enters a deeper level of sedation than the dentist is qualified to provide, the dentist shall stop the dental procedure until the patient is returned to the intended level of sedation.
The operating dentist shall be responsible for the sedative management, adequacy of the facility and staff, equipment, protocols, and diagnosis and treatment of emergencies related to the administration of minimal sedation and patient rescue.

Section 5. Moderate Sedation.

(1) A Moderate Sedation Permit issued by the board shall be required for a Kentucky-licensed dentist to administer moderate sedation.

(2) A dentist who administers moderate sedation shall do so within a sufficient margin of safety to avoid an unintended loss of consciousness.

(3) A qualified dentist shall be aware that repeated dosing of an agent before the effects of previous dosing can be fully appreciated could result in a greater alteration of the state of consciousness than intended. A dentist who administers moderate sedation shall refrain from administering an additional drug increment before the previous dose has taken full effect.

(4) A patient whose only response is reflex withdrawal from a painful stimulus shall not be considered to be in a state of moderate sedation.

(5) To qualify for a Moderate Sedation Permit, a dentist shall:

(a) Submit completed and signed Application for Sedation or Anesthesia Permit or online equivalent;

(b) Pay the fee required by 201 KAR 8:520; and

(c) Provide documentation that the dentist meets the educational requirements of subsections (6)(a) and (b) of this section.

(6) Education requirements for moderate sedation.

(a) To administer moderate sedation to an adult patient, a dentist shall have current certifications in Basic Life Support for Healthcare Providers and Advanced Cardiac Life Support, and complete:

A comprehensive training program in moderate sedation that complies with the requirements established in the Moderate Sedation section of the ADA Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students at the time training was commenced; or
An advanced education program accredited by the Commission on Dental Accreditation that provides comprehensive training necessary to administer and manage moderate sedation commensurate with this administrative regulation.

(b) To administer moderate sedation to a pediatric patient, a dentist shall have successfully completed:

An advanced education program accredited by the Commission on Dental Accreditation that provides comprehensive training necessary to administer and manage moderate sedation commensurate with this administrative regulation; and
Current certifications in Basic Life Support for Healthcare Providers and Pediatric Advanced Life Support.

(c) If authorizing a third-party qualified anesthesia provider to administer moderate sedation to an adult patient, the operating dentist shall confirm that at least two (2) members of the onsite care team maintain current certifications in Basic Life Support for Healthcare Providers and Advanced Cardiac Life Support.

(d) If authorizing a third-party qualified anesthesia provider to administer moderate sedation to a pediatric patient, the operating dentist shall confirm that at least two (2) members of the onsite care team maintain current certifications in Basic Life Support for Healthcare Providers and Pediatric Advanced Life Support.

(7) Clinical guidelines; patient history and evaluation.

(a) Patients considered for moderate sedation shall be evaluated prior to the start of any sedative procedure. In healthy or medically stable individuals who are in the patient physical status classification of (ASA I, II) as established in the ASA Physical Status Classification System, this evaluation shall consist of a review of the patient's current medical history, medication use, body mass index, airway evaluation, and ASA status.

(b) Patients with significant medical considerations who are in the patient physical status classification of (ASA III, IV) as established in the ASA Physical Status Classification System shall, unless otherwise documented by the provider, require consideration of a consultation with their treating physician prior to being administered moderate sedation.

(8) Pre-operative evaluation and preparation.

(a) The patient or the patient's parent, legal guardian, or caregiver, shall be advised regarding the planned procedure and any other anticipated possible procedures associated with the delivery of any sedative agents. Informed consent for the proposed sedation shall be obtained in writing prior to its administration.

(b) Adequate oxygen supply and the equipment necessary to deliver oxygen under positive pressure shall be determined prior to the administration of moderate sedation.

(c) The patient shall be physically examined prior to the administration of minimal sedation. Baseline vital signs including body weight, height, blood pressure, and pulse rate shall be obtained unless rendered impractical by the nature of the patient, procedure, or equipment. Body temperature shall be measured if clinically indicated.

(d) Preoperative dietary restrictions shall be considered based on the sedative technique prescribed.

(e) The patient or the patient's parent, legal guardian, or caregiver, shall be given preoperative verbal and written instructions regarding the patient's sedation and procedure, including pre-operative fasting instructions based on the ADA Guidelines for the Use of Sedation and General Anesthesia by Dentists.

(9) Personnel and equipment requirements.

(a) Personnel. All clinical staff participating in the care of a moderately sedated patient shall be certified in Basic Life Support for Healthcare Providers.

(b) Equipment.

A positive-pressure oxygen delivery system suitable for the patient being treated shall be immediately available.
All equipment shall be examined for proper performance prior to each administration of sedation.
If inhalation equipment is used, it shall have a fail-safe system that shall be examined and calibrated and a functioning device that shall prohibit the delivery of less than thirty (30) percent oxygen, or a calibrated and functioning in-line oxygen analyzer with audible alarm.
A scavenging system shall be used if gases other than oxygen or air are delivered to a patient.
Equipment necessary to establish intravascular or intraosseous access and a defibrillator or automated external defibrillator shall be immediately available until the patient meets discharge criteria.

(10) Monitoring and documentation.

(a) Monitoring.

If leaving the room, a qualified dentist shall have at least one (1) month of general anesthesia training and shall select a trained individual to continuously monitor the patient; or
A qualified anesthesia provider shall remain in the treatment room during active treatment until the patient meets the criteria for discharge to the recovery area.

(b) The following shall be monitored:

Consciousness. The patient's level of sedation and responsiveness to verbal commands shall be continually assessed;
Oxygenation. Oxygen saturation by pulse oximetry shall be continually evaluated;
Ventilation: The qualified anesthesia provider shall be responsible for the observation of ventilation and breathing by monitoring end tidal CO2 unless precluded or invalidated by the nature of the patient. In addition, ventilation shall be monitored by continual observation of qualitative signs, which may include auscultation of breath sounds with a precordial or pretracheal stethoscope, or observation of chest excursions;
Circulation. The qualified anesthesia provider shall continually evaluate blood pressure and heart rate unless invalidated by the nature of the patient and noted in the time-oriented anesthesia record; and
The patient's pulse oximetry, heart rate, end tidal CO2, blood pressure, and level of consciousness shall be monitored continually and recorded at least every five (5) minutes.

(c) Documentation. A sedative record shall be maintained for each patient to whom sedation is administered. The sedation record shall include the names of all drugs administered including local anesthetics, the time administered, the route of administration, dosages, and monitored physiological parameters.

(11) Recovery and discharge.

(a) Oxygen and suction equipment shall be immediately available if a separate recovery area is utilized.

(b) When active treatment concludes and the patient recovers to a minimally sedated level, the qualified anesthesia provider or a trained individual chosen by the qualified anesthesia provider shall remain with and continue to monitor the patient until the patient is discharged from the facility. The qualified anesthesia provider shall not leave the facility until the patient is discharged.

(c) The qualified anesthesia provider or a trained individual chosen by the qualified anesthesia provider shall continually monitor the patient's blood pressure, heart rate, oxygenation, and level of consciousness during recovery.

(d) The qualified anesthesia provider shall determine and document the patient's level of consciousness, oxygenation, ventilation, and circulation prior to discharge.

(e) The patient, parent, escort, legal guardian, or caregiver shall be given post-operative verbal and written instructions prior to or upon discharge.

(f) Because re-sedation could occur after the effects of a reversal agent have waned, if a pharmacological reversal agent is administered before the patient's discharge criteria have been met, the patient's escort shall be notified of the risk of re-sedation.

(12) Emergency management.

(a) If a patient enters a deeper level of sedation than the qualified anesthesia provider is qualified to provide, the procedure shall stop until the patient is returned to the intended level of sedation.

(b) The qualified anesthesia provider shall be responsible for the sedative management, adequacy of the facility and staff, equipment, protocols, and diagnosis and treatment of emergencies related to the administration of moderate sedation and patient rescue.

Section 6. Deep Sedation and General Anesthesia.

(1) A Deep Sedation and General Anesthesia Permit issued by the board shall be required for a Kentucky-licensed dentist to administer deep sedation and general anesthesia.

(2) To qualify for a deep sedation and general anesthesia permit, a dentist shall:

(a) Submit a completed and signed Application for Sedation or Anesthesia Permit or online equivalent;

(b) Pay the fee required by 201 KAR 8:520; and

(3) Education requirements.

(a) To administer deep sedation or general anesthesia, a dentist shall have successfully completed:

An advanced education program accredited by the Commission on Dental Accreditation, which provides comprehensive training necessary to administer and manage deep sedation or general anesthesia; and
Current certifications in:

a. Basic Life Support for Healthcare Providers;

b. Advanced Cardiac Life Support if administering sedation to adult patients; and

c. Pediatric Advanced Life Support if administering sedation to pediatric patients.

(b) If authorizing a third-party qualified anesthesia provider to administer deep sedation or general anesthesia, the operating dentist shall confirm that at least two (2) members of the onsite care team maintain current certifications in:

Basic Life Support for Healthcare Providers;
Advanced Cardiac Life Support if sedation is administered to adult patients; and
Pediatric Advanced Life Support if sedation is administered to pediatric patients.

(4) Clinical guidelines; for patient history and evaluation. Each patient considered for deep sedation or general anesthesia shall be suitably evaluated prior to the start of any sedative procedure. In healthy or medically stable individuals who are in the patient physical status classification of (ASA I, II) as established in the ASA Physical Status Classification System, this evaluation shall consist of a review of the patient's current medical history, medication use, body mass index, airway evaluation, nothing by mouth status, and ASA status. In addition, patients with significant medical considerations who are in the patient physical status classification of (ASA III, IV) as established in the ASA Physical Status Classification System shall, unless otherwise documented by the provider, require consideration of a consultation with their treating physician prior to being administered deep sedation or general anesthesia.

(5) Pre-operative evaluation and preparation.

(b) Adequate oxygen supply and the equipment necessary to deliver oxygen under positive pressure shall be confirmed prior to the administration of deep sedation or general anesthesia.

(c) The patient shall be physically examined prior to the administration of deep sedation or general anesthesia. Baseline vital signs including body weight, height, blood pressure, blood oxygen saturation, and pulse rate shall be obtained unless rendered impractical by the nature of the patient, procedure, or equipment. Body temperature shall be measured if clinically indicated.

(d) The patient or the patient's parent, legal guardian, or caregiver, shall be given preoperative verbal and written instructions regarding the patient's sedation and procedure, including pre-operative fasting instructions based on the ASA Summary of Fasting and Pharmacologic Recommendations contained within Appendix 1 of the ASA Practice Guidelines for Preoperative Fasting and the Use of Pharmacologic Agents to Reduce the Risk of Pulmonary Aspiration: Application to Healthy Patients Undergoing Elective Procedures.

(e) An intravenous line shall be established and secured throughout the procedure, except for patients with special needs pursuant to subsection (9) of this section.

(6) Personnel and equipment requirements.

(a) Personnel. All clinical staff participating in the care of a deeply sedated patient or a patient who has been administered general anesthesia shall be certified in Basic Life Support for Healthcare Providers.

(b) A minimum of three (3) individuals shall be present while a patient is being treated with deep sedation or general anesthesia. If a pediatric patient is being treated with deep sedation or general anesthesia, in addition to the operating dentist, a separate qualified anesthesia provider shall manage the patient's anesthesia unless the anesthesia is performed by an oral and maxillofacial surgeon.

A positive-pressure oxygen delivery system suitable for the patient being treated shall be immediately available.
All equipment shall be examined for proper performance prior to each administration of sedation.
If inhalation equipment is used, it shall have a fail-safe system that shall be examined and calibrated and a functioning device that shall prohibit the delivery of less than thirty (30) percent oxygen, or a calibrated and functioning in-line oxygen analyzer with audible alarm.
A scavenging system shall be used if gases other than oxygen or air are delivered to a patient.
Equipment necessary to establish intravenous access and to monitor end tidal CO2 and auscultation of breath sounds shall be immediately available.
Resuscitation medications, a defibrillator, equipment, and drugs necessary to provide advanced airway management and advanced cardiac life support shall be immediately available.

(7) Monitoring and documentation.

(a) Monitoring.

If leaving the room, a qualified dentist shall have at least one (1) month of general anesthesia training and shall select a trained individual to continuously monitor the patient; or
A qualified anesthesia provider shall remain in the treatment room during active treatment until the patient meets the criteria for discharge to the recovery area. The following shall be monitored:
Oxygenation. Oxygen saturation by pulse oximetry shall be continually evaluated;
Ventilation. For an intubated patient, end-tidal CO2 shall be continually monitored and evaluated. For a non-intubated patient, end-tidal CO2 shall be continually monitored and evaluated unless precluded or invalidated by the nature of the patient. In addition, ventilation shall be monitored by continual observation of qualitative signs, which may include auscultation of breath sounds with a precordial or pretracheal stethoscope, or observation of chest excursions;
Circulation. The qualified anesthesia provider shall continually evaluate heart rate and rhythm by ECG throughout the procedure, as well as the patient's pulse rate by pulse oximetry;
Temperature. A device capable of measuring body temperature shall be readily available during the administration of deep sedation or general anesthesia. Equipment necessary to continually monitor body temperature shall be available and used if triggering agents associated with malignant hyperthermia are administered; and
The patient's pulse oximetry, heart rate, end tidal CO2, blood pressure, and level of consciousness shall be monitored continually and recorded at least every five (5) minutes.

(b) Documentation. A sedative record shall be maintained for each patient to whom sedation is administered. The sedative record shall include the names of all drugs administered, including local anesthetics, the time administered, the route of administration, dosages, and monitored physiological parameters.

(8) Recovery and discharge.

(a) Oxygen and suction equipment shall be immediately available if a separate recovery area is utilized.

(d) The qualified anesthesia provider shall determine and document the patient's level of consciousness, oxygenation, ventilation, and circulation prior to discharge.

(e) The patient, parent, escort, legal guardian, or caregiver shall be given post-operative verbal and written instructions prior to or upon discharge.

(9) Patients with special needs.

(a) Because many dental patients undergoing deep sedation or general anesthesia are mentally or physically challenged, it is not always possible to administer a comprehensive physical examination or appropriate laboratory tests prior to sedation. In this circumstance, the dentist responsible for administering the deep sedation or general anesthesia shall document the reasons preventing the examination of the patient in the patient's medical record.

(b) Deep sedation or general anesthesia may be administered without first establishing an indwelling intravenous line if the establishment of intravenous access after deep sedation or general anesthesia is rendered necessary because of poor patient cooperation.

(10) Emergency management. The qualified anesthesia provider shall be responsible for the sedative management, adequacy of the facility and staff, equipment, protocols, and diagnosis and treatment of emergencies related to the administration of patient rescue and deep sedation or general anesthesia.

Section 7. Multiple Application Levels. A dentist with the required education and training to provide more than one (1) level of sedation may mark all levels of qualification on the Application for Sedation or Anesthesia Permit without paying additional application fees.

Section 8. Renewal of a Sedation or Anesthesia Permit.

(1) A qualified dentist applying for renewal of an active permit to administer moderate sedation, or deep sedation or general anesthesia shall:

(a) Submit a completed and signed Application for Renewal of Sedation or Anesthesia Permit or online equivalent;

(b) Pay the fee required by 201 KAR 8:520;

(c) Complete at least four (4) hours of clinical continuing education related to sedation or anesthesia in a live, interactive setting during the two (2) year term of the permit; and

(d) Maintain Advanced Cardiac Life Support or Pediatric Advanced Life Support certification as required by Sections 5 and 6 of this administrative regulation.

(2) The continuing education requirements of this section shall be in addition to the license renewal requirements of 201 KAR 8:533.

(3) Unless properly renewed, each permit issued under this administrative regulation shall expire on December 31 of odd-number years.

Section 9. Location Requirement. A dentist holding a permit in accordance with this administrative regulation shall advise the board of the name and address of each facility where the dentist intends to or has ceased to administer anesthesia and sedation by submitting the completed and signed Sedation or Anesthesia Permit Location Notification Form or online equivalent within ten (10) business days of the change.

Section 10. Facility Certificates.

(1) The owner or operator of a facility shall obtain an Anesthesia or Sedation Facility Certificate from the board for any location at which a dentist holding a sedation or general anesthesia permit provides moderate sedation, deep sedation, or general anesthesia. A facility certificate shall not be required for minimal sedation or nitrous oxide sedation alone.

(2) A facility certificate shall also be required if a dentist allows an independently practicing qualified anesthesia provider to administer sedation or general anesthesia in a dental office.

(3) A facility owner or operator desiring to obtain an Anesthesia or Sedation Facility Certificate shall:

(a) Submit a completed and signed Application for Sedation or Anesthesia Facility Certificate or online equivalent; and

(b) Pay the fee required by 201 KAR 8:520.

(4) The owner or operator of a facility shall not allow an individual to administer anesthesia or sedation unless the individual is permitted to do so as established by this administrative regulation.

(5) The owner or operator of a facility shall maintain for at least seven (7) years, for inspection by the board, the name and license number of each dentist or independently practicing qualified anesthesia provider who has administered anesthesia or moderate sedation at that location.

(6) The owner or operator of a facility shall ensure that the facility remains equipped and staffed for the duration of time that moderate sedation, deep sedation, or general anesthesia is provided at the facility.

(7) The owner or operator of a facility shall ensure that the facility has nonexpired emergency and sedation medications.

Section 11. Renewal of Facility Certificate.

(1) All active facility certificates shall expire on December 31 of odd-numbered years.

(2) To renew a facility certificate, the owner or operator shall:

(a) Submit a completed and signed Application for Renewal of Sedation or Anesthesia Facility Certificate or online equivalent; and

(b) Pay the fee required by 201 KAR 8:520.

Section 12. Facility Criteria.

(1) To qualify for a facility certificate, the owner or operator of a facility shall attest in the completed and signed Application for Sedation or Anesthesia Facility Certificate or online equivalent that the facility has:

(a) An oxygen and gas delivery system with fail-safe backup;

(b) A safety indexed gas system;

(d) An auxiliary lighting system;

(e) An operating room to include:

At a minimum, ten (10) feet by eight (8) feet or eighty (80) square feet in size;
An operating primary light source and secondary portable back-up source, unless a backup generator is available; and
Accessibility by emergency medical staff;

(f) A recovery area, including oxygen, suction, and electronic monitoring, which may be a part of the operating room;

(g) Preoperative medical history and physical evaluation form; and

(h) Anesthesia and monitoring equipment checked to ensure working order and calibration, if applicable.

(2) The following shall be maintained in working order by the facility or by the qualified individual administering sedation or anesthesia at or on behalf of the facility:

(a) Drugs for each procedure, all of which shall be unexpired, including reversal agents and emergency medications;

(b) Devices to maintain an airway with positive pressure ventilation;

(d) Monitoring equipment, including pulse oximeter, blood pressure monitor, and end tidal CO2 monitor. An electrocardiogram (EKG) shall be required for facilities providing deep sedation or general anesthesia;

(e) Defibrillator or automated external defibrillator (AED); and

(f) Precordial stethoscope or pretracheal stethoscope for deep sedation or general anesthesia in pediatric patients.

Section 13. Morbidity and Mortality Incident Reports.

(1) A dentist shall report to the board, in writing, any death caused by, resulting from, or in any way associated with the administration of minimal sedation, moderate sedation, deep sedation, or general anesthesia within seven (7) days after the death.

(2) A dentist shall report to the board, in writing, any incident that occurred at a facility operating under a Sedation or Anesthesia Facility permit that resulted in hospital inpatient admission or emergency room visit caused by, resulting from, or in any way associated with the administration of minimal sedation, moderate sedation, deep sedation, or general anesthesia within thirty (30) days after the hospitalization or emergency room visit.

(3) The written report to the board required in subsections (1) and (2) of this section shall include:

(a) The date of the incident;

(b) The name, age, and address of the patient;

(d) The name and permit number of the dentist and the name and address of all other persons present during the incident;

(e) The address where the incident took place;

(f) The preoperative physical condition of the patient;

(g) The type of anesthesia and dosages of drugs administered to the patient;

(h) The techniques used in administering the drugs;

(i) Any adverse occurrence including:

The patient's signs and symptoms;
The treatment instituted in response to adverse occurrences;
The patient's response to the treatment; and
The patient's condition on termination of any procedures undertaken; and

(j) A narrative description of the incident including approximate times and evolution of symptoms.

(4) The duties established in this section shall apply to every dentist who administers any type of sedation or anesthesia.

Section 14. Registered Dental Assistant Duties while Working with Sedation Permit Holders. A registered dental assistant working with a qualified dentist administering sedation or anesthesia in accordance with this administrative regulation may, under direct supervision:

(1) Apply noninvasive monitors on the patient;

(2) Perform continuous observation of patients and noninvasive monitors appropriate to the level of sedation, during the pre-operative, intra-operative, and post-operative (recovery) phases of treatment;

(3) Report monitoring parameters at pre-determined intervals, and if changes in monitored parameters occur;

(4) Record vital sign measurements in the sedation record;

(5) Establish and remove intravenous lines if the registered dental assistant has completed training in intravenous access;

(6) Assist in the management of a patient emergency; and

(7) Administer medications into an existing intravenous line upon the verbal order and direct supervision of a qualified dentist in accordance with this administrative regulation.

Section 15. Administration by Qualified Anesthesia Provider.

(1) An operating dentist may authorize the administration of sedation or anesthesia by a qualified anesthesia provider.

(2) The administration of anesthesia or sedation by an individual established in subsection (1) of this section shall:

(a) Comply with the requirements of this administrative regulation; and

(b) Not require board review prior to the administration of sedation or anesthesia.

(3) Nothing in this section shall preclude a dentist from working with a qualified anesthesia provider to provide care in an ambulatory care center or hospital.

Section 16. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Sedation or Anesthesia Permit", January 2024;

(b) "Application for Sedation or Anesthesia Facility Certificate", January 2024;

(d) "ASA Physical Status Classification System", December 2020;

(e) "ADA Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students", October 2016;

(f) "ADA Guidelines for the Use of Sedation and General Anesthesia by Dentists", October 2016;

(g) "ASA Practice Guidelines for Preoperative Fasting and the Use of Pharmacologic Agents to Reduce the Risk of Pulmonary Aspiration: Application to Healthy Patients Undergoing Elective Procedures", March 2017;

(h) "Application for Renewal of Sedation or Anesthesia Permit", March 2020; and

(i) "Application for Renewal of Sedation or Anesthesia Facility Certificate", January 2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Dentistry, 312 Whittington Parkway, Suite 101, Louisville, Kentucky 40222, Monday through Friday 8 a.m. through 4:30 p.m. This material is also available on the board's website at http://dentistry.ky.gov.

History

RELATES TO: KRS 313.035, 313.060
STATUTORY AUTHORITY: KRS 313.035(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.035(1) requires the board to promulgate administrative regulations related to anesthesia and sedation permits. The administration of local anesthesia, sedation, and general anesthesia is an integral part of dentistry and the foundation of pain control. This administrative regulation establishes requirements for permits to perform sedation or anesthesia associated with dentistry.
History: 201 KAR 008:550. 37 Ky.R. 2308; 2876; eff. 8-5-2011; 40 Ky.R. 2596; 41 Ky.R. 56; eff. 9-5-2014; 46 Ky.R. 1928, 2646; 47 Ky.R. 42; eff. 7-29-2020; 48 Ky.R. 2864; 49 Ky.R. 600, 759; eff. 10-26-2022; 52 Ky.R. 1747, 19; eff. 8-18-2026.

201 KAR 8:563 Licensure of dental hygienists {#sec-201-kar-8-563 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:563}

Section 1. General Licensure Requirements. An applicant desiring initial licensure in Kentucky as a dental hygienist shall:

(1) Understand, read, speak, and write the English language with a comprehension and performance level equal to at least the ninth grade of education, verified by testing as necessary;

(2) Submit a completed and signed Application for Dental Hygiene Licensure with an attached applicant photo taken within the past six (6) months;

(3) Pay the fee required by 201 KAR 8:520;

(4) Not be the subject of disciplinary action pursuant to KRS Chapter 313 that would prevent licensure;

(5) Complete and pass the board's jurisprudence exam;

(6) Hold an active certification in cardiopulmonary resuscitation (CPR) or a more comprehensive program that meets or exceeds the American Heart Association Guidelines for CPR and ECC;

(7) Submit to a nationwide state and federal criminal background check by fingerprint through the Department of Kentucky State Police;

(8) Provide verification of any license to practice dental hygiene held previously or currently in any state or other licensing jurisdiction;

(9) Hold an Associate's degree or Bachelor's degree in dental hygiene from a school, college, or department of a university accredited by the Commission on Dental Accreditation (CODA);

(10) Successfully complete the National Board Dental Hygiene Examination (NBDHE), conducted by the Joint Commission on National Dental Examinations (JCNDE);

(11) Provide a written explanation for any positive returns on a query of the National Practitioner Data Bank; and

(12) Complete all additional requirements for one (1) of the following:

(a) Licensure by clinical examination; or

(b) Licensure by credentials.

Section 2. Requirements for Licensure by Clinical Examination.

(1) An individual desiring initial licensure in Kentucky as a dental hygienist by clinical examination shall:

(a) Complete all requirements in Section 1 of this administrative regulation; and

(b) Successfully complete all components of one (1) of the following clinical examinations within five (5) years preceding the filing of the application:

The examination of the Council of Interstate Testing Agencies (CITA);
The examination of the Central Regional Dental Testing Service (CRDTS);
The examination of the Commission on Dental Competency Assessments (CDCA);
The examination of the States Resources for Testing and Assessments (SRTA);
The examination of the Western Regional Examining Board (WREB); or
The Dental Hygiene Licensure Objective Structured Clinical Examination (DHLOSCE) of the Joint Commission on National Dental Examinations (JCNDE).

(2) An individual applying more than two (2) years after graduating with an Associate's degree or Bachelor's degree in dental hygiene, shall:

(a) Hold a license to practice dental hygiene in good standing in another state or territory of the United States or the District of Columbia; or

(b) Complete a continuing education plan approved by the board.

(3) An applicant who has taken a clinical examination three (3) times and failed to achieve a passing score shall complete a remediation plan approved by the board.

Section 3. Requirements for Licensure by Credentials. An individual desiring initial licensure in Kentucky as a dental hygienist by credentials shall:

(1) Complete all requirements in Section 1 of this administrative regulation;

(2) Provide proof of having passed a state, regional, or national clinical examination used to determine clinical competency in a state or territory of the United States or the District of Columbia; and

(3) Be licensed and actively practicing dental hygiene in a state or territory of the United States or the District of Columbia for a least five (5) of the six (6) years preceding the filing of the application.

Section 4. Requirements for Charitable Limited Dental Hygiene Licensure.

(1) An individual desiring limited licensure in Kentucky to provide charitable dental hygiene services shall:

(a) Understand, read, speak, and write the English language with a comprehension and performance level equal to at least the ninth grade of education, verified by testing as necessary;

(b) Submit a completed and signed Application for Charitable Limited Licensure with an attached applicant photo taken within the past six (6) months;

(d) Not be the subject of disciplinary action pursuant to KRS Chapter 313 that would prevent licensure;

(e) Hold a license to practice dental hygiene in good standing in another state or territory of the United States or the District of Columbia; and

(f) Provide a written explanation for any positive returns on a query of the National Practitioner Data Bank.

(2) A charitable limited dental hygiene license holder shall:

(a) Work only with charitable entities registered with the Cabinet for Health and Family Services that have met requirements of KRS 313.254 and 201 KAR 8:581. These registered charitable entities are listed at https://www.chfs.ky.gov/agencies/dph/dpqi/hcab/Pages/charitablehc.aspx;

(b) Only perform procedures allowed by KRS 313.254, which shall be completed within the duration of the charitable event;

(d) Perform these duties without expectation of compensation or charge to the individual and without payment or reimbursement by any governmental agency or insurer.

Section 5. Continuing Education Requirements.

(1) A Kentucky licensed dental hygienist shall complete thirty (30) hours of continuing education during the two (2) year licensure period defined by KRS 313.030(2) except that:

(a) A licensee who was issued a new or reinstated license in the second year of the current biennial license period shall only complete one-half (1/2) the required hours for that period;

(b) A licensee who graduated in the first year of the current biennial license period shall only complete one-half (1/2) the required hours for that period;

(c) A licensee who graduated in the second year of the current biennial license period shall not be required to complete continuing education hours for that period;

(d) A charitable limited license holder shall not be required to complete continuing education hours; or

(e) A licensee may be granted a hardship waiver or deferment if the a request is submitted to and approved by the board.

(2) Acceptable continuing education content shall include:

(a) Competency in treating patients who are medically compromised or who experience medical emergencies during the course of dental hygiene treatment;

(b) Pharmaceutical products and proper use protocols of medications;

(d) Basic medical and scientific subjects;

(e) Clinical and technological subjects;

(f) Patient management, safety, and oral healthcare;

(g) Mass casualty or mass immunization situations;

(h) Clinical dental hygiene performed on a charitable or volunteer basis;

(i) Business operations and best practices; and

(j) Dental or dental hygiene association or society business meetings.

(3) The thirty (30) hours of continuing education shall include:

(a) A minimum of ten (10) hours taken in a live interactive presentation format; and

(b) A maximum of ten (10) hours that meet the requirements of subsection (2)(h) - (j) of this section.

(4) Dental hygienists registered to practice under general supervision shall also meet the continuing education requirements of Section 11(8) of this administrative regulation.

(5) Dental hygienists registered to practice as public health hygienists shall also meet the continuing education requirements of Section 14(9) of this administrative regulation.

(6) All continuing education hours shall be documented by a certificate of completion or attendance bearing:

(a) A signature or other verification of the provider;

(b) The name of the licensee in attendance;

(d) The date of attendance or completion;

(e) The number of hours earned; and

(f) Evidence of the method of delivery if the course was taken in a live interactive presentation format.

(7) The licensee shall be responsible for obtaining the qualifying documentation of continuing education from the provider or organization and to retain those documents for a minimum of five (5) years.

(8) During the license renewal process, licensees shall attest to their compliance with the requirements of this section.

(9) Licensees may be audited to determine compliance with the requirements of this section.

Section 6. Renewal of a Dental Hygiene License.

(1) All dental hygienist licenses issued by the board shall expire on December 31 of even-numbered years and shall be renewed to remain active. A licensee desiring renewal of an active dental hygiene license shall:

(a) Submit a completed and signed Application for Renewal of Dental Hygiene Licensure;

(b) Pay the fee required by 201 KAR 8:520;

(c) Maintain an active certification in CPR or a more comprehensive program that meets or exceeds the American Heart Association Guidelines for CPR and ECC; and

(d) Meet the continuing education requirements as established in Section 5 of this administrative regulation.

(2) A licensee who has not actively practiced dental hygiene in the two (2) years preceding the filing of the renewal application shall complete a continuing education plan approved by the board prior to resuming the active practice of dental hygiene.

(3) A licensee desiring renewal of a charitable limited dental hygiene license shall repeat the initial licensure process required by Section 4 of this administrative regulation.

Section 7. Retirement of a Dental Hygiene License.

(1) A licensee desiring to no longer hold an active dental hygiene license shall submit a completed and signed Retirement of License Form.

(2) Upon receipt of this form, the board shall send written confirmation of retirement to the address provided.

(3) A licensee shall not retire a license that has pending disciplinary action against it.

(4) A license that is not properly retired or renewed shall be considered expired for reinstatement purposes.

Section 8. Reinstatement of a Dental Hygiene License.

(1) A former licensee desiring reinstatement of an expired or properly retired dental hygiene license in Kentucky shall:

(a) Submit a completed and signed Application to Reinstate Dental or Dental Hygiene Licensure with an attached applicant photo taken within the past six (6) months;

(b) Pay the fee required by 201 KAR 8:520;

(c) Hold an active certification in CPR or a more comprehensive program that meets or exceeds the American Heart Association Guidelines for CPR and ECC;

(d) Provide verification of any license to practice dental hygiene obtained in any state or other licensing jurisdiction since the applicant was first licensed in Kentucky;

(e) Submit to a nationwide state and federal criminal background check by fingerprint through the Department of Kentucky State Police; and

(f) Provide a written explanation for any positive returns on a query of the National Practitioner Data Bank.

(2) An applicant who has not actively practiced dental hygiene in the two (2) years preceding the filing of the reinstatement application shall complete a continuing education plan approved by the board prior to resuming the active practice of dental hygiene.

(3) A former licensee who applies to reinstate an expired license that was not properly retired shall pay:

(a) The expired license reinstatement fee established in 201 KAR 8:520 if applying less than two (2) years from when the license was last active; or

(b) The same reinstatement fees as a properly retired license if applying more than two (2) years from when the license was last active.

Section 9. Verification of Licensure. An individual desiring an official verification of a dental hygiene license held currently or previously in Kentucky shall:

(1) Submit a signed and completed Verification of Licensure or Registration Form; and

(2) Pay the fee required by 201 KAR 8:520.

Section 10. Requirements for Local Anesthesia Registration.

(1) A licensed dental hygienist who desires to administer infiltration or block anesthesia shall:

(a) Submit a signed and completed Application for Dental Hygiene Special Registrations;

(b) Pay the fee required by 201 KAR 8:520; and

(c) Complete an educational program from a dental or dental hygiene school accredited by the Commission on Dental Accreditation (CODA) that meets or exceeds the requirements established in KRS 313.060(10).

(2) Upon authorizing a licensee to practice pursuant to this section, the board shall issue an updated dental hygiene license indicating registration to administer local anesthesia.

(3) A dental hygienist shall not administer local anesthesia in Kentucky unless the licensee:

(a) Holds a current board-issued registration in local anesthesia; and

(b) Administers local anesthesia under the direct supervision of a dentist.

(4) A licensed dental hygienist holding a local anesthesia registration from the board who has not administered block or infiltration anesthesia for one (1) year shall complete a board-approved continuing education course prior to resuming the practice of that specific technique.

Section 11. Requirements for General Supervision Registration.

(1) A licensed dental hygienist who desires to practice under general supervision shall:

(a) Submit a signed and completed Application for Dental Hygiene Special Registrations;

(b) Obtain at least two (2) years and 3,000 hours of verifiable experience in the practice of dental hygiene; and

(c) Complete a live three (3) hour course approved by the board in the identification and prevention of potential medical emergencies.

(2) Upon authorizing a licensee to practice pursuant to this section, the board shall issue an updated dental hygiene license indicating registration under general supervision.

(3) A dentist who employs a dental hygienist who has met the standards of this administrative regulation and who allows the dental hygienist to provide dental hygiene services pursuant to KRS 313.040(7) shall complete a written order specifying the dental service or procedure to be performed on a specific patient by the dental hygienist and shall retain the original order in the patient's dental record.

(4) The minimum requirements for the written order shall include:

(a) Medical history update;

(b) Radiographic records requested;

(d) Name of the patient;

(e) Date of last oral examination;

(f) Date of the written order; and

(g) Signature of the dentist.

(5) The oral examination of the patient by the supervising dentist shall have been completed within the seven (7) months preceding treatment by the dental hygienist practicing under general supervision.

(6) The supervising dentist shall evaluate and provide to the board written validation of an employed dental hygienist's skills necessary to perform dental hygiene services established in KRS 313.040(7) as part of the Application for Dental Hygiene Special Registrations.

(7) The supervising dentist shall provide a written protocol addressing the medically compromised patients who may or may not be treated by the dental hygienist. The dental hygienist shall only treat patients who are in the ASA Patient Physical Status Classification of ASA I or ASA II as established in ADA Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students, as incorporated by reference in 201 KAR 8:550.

(8) During each biennial license period, a dental hygienist registered in general supervision shall complete a live three (3) hour course approved by the board in the identification and prevention of potential medical emergencies to maintain registration upon license renewal. These hours may be included in the thirty (30) overall continuing education hours required for license renewal.

(9) A dental hygienist shall not practice under general supervision unless the licenseeholds a current board-issued general supervision registration.

Section 12. Requirements for Intravenous Access Line Registration.

(1) A licensed dental hygienist who desires to start intravenous (IV) access lines shall:

(a) Submit a signed and completed Application for Dental Hygiene Special Registrations;

(b) Pay the fee required by 201 KAR 8:520; and

(2) Upon authorizing a licensee to practice pursuant to this section, the board shall issue an updated dental hygiene license indicating registration to start IV access lines.

(3) A dental hygienist shall not start IV access linesin Kentucky unless the licensee:

(a) Holds a current board-issued registration to start IV access lines; and

(b) Starts IV access lines under the direct supervision of a dentist who holds either a Moderate Sedation Permit or Deep Sedation and General Anesthesia Permit issued pursuant to 201 KAR 8:550.

Section 13. Requirements for Laser Debridement Registration.

(1) A licensed dental hygienist who desires to perform laser debridement shall:

(a) Submit a signed and completed Application for Dental Hygiene Special Registrations;

(b) Pay the fee required by 201 KAR 8:520; and

(2) Upon authorizing a licensee to practice pursuant to this section, the board shall issue an updated dental hygiene license indicating registration to perform laser debridement.

(3) A dental hygienist shall not perform laser debridement in Kentucky unless the licensee:

(a) Holds a current board-issued registration to perform laser debridement; and

(b) Performs laser debridement under the direct supervision of a dentist.

Section 14. Requirements for Public Health Registration.

(1) A licensed dental hygienist who desires to practice as a public health registered dental hygienist shall:

(a) Submit a signed and completed Application for Dental Hygiene Special Registrations;

(b) Obtain at least two (2) years and 3,000 hours of verifiable experience in the practice of dental hygiene; and

(c) Complete a live three (3) hour course approved by the board in the identification and prevention of potential medical emergencies.

(2) Upon authorizing a licensee to practice pursuant to this section, the board shall issue an updated dental hygiene license indicating registration to practice as a public health registered dental hygienist.

(3) A public health registered dental hygienist shall only practice public health hygiene in accordance with KRS 313.040(8).

(4) A public health registered dental hygienist shall only treat a patient who is in the ASA Patient Physical Status Classification of ASA I or ASA II as established in the current edition of Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students, as incorporated by reference in 201 KAR 8:550.

(5) Pursuant to KRS 313.040(8)(c), a public health registered dental hygienist shall only perform the following services as defined by the most recent version of Current Dental Terminology as incorporated by reference:

(a) Oral Assessment;

(b) Oral Hygiene Instruction;

(d) Tobacco Counseling;

(e) High Risk Substance Counseling;

(f) Prophylaxis – Adult;

(g) Prophylaxis – Child;

(h) Pit and Fissure Sealants;

(i) Fluoride Treatment; and

(j) Unspecified Preventative Procedure, by Report.

(6) Informed consent shall be obtained by the patient or legal guardian of the patient prior to providing services and shall include:

(a) The name of the public health entity, including the name of the dentist, that assumes responsibility and control;

(b) A request for the patient's current dental provider, if any; and

(7) At the conclusion of each patient visit, the treating public health hygienist shall:

(a) Provide the patient or legal guardian of the patient with a standardized handout of all available community resources; and

(b) Document that the referral to a dental home through the patient or legal guardian has begun within fourteen (14) days of the preventive visit for the patient with obvious dental needs.

(8) This administrative regulation shall not preclude a Kentucky-licensed dentist from directly participating in a public health program as referenced in KRS 313.040(8)(c).

(9) During each biennial license period, a dental hygienist registered in public health dental hygiene shall complete nine (9) hours of continuing education to maintain public health registration upon license renewal.

(a) These hours shall include:

Six (6) hours of continuing education in public health or public dental health; and
Three (3) hours of continuing education in the identification and prevention of potential medical emergencies.

(b) The hours of continuing education required by paragraph (a) of this subsection may be included in the thirty (30) overall continuing education hours required for license renewal.

Section 15. Issuance of Initial Licensure. Upon an applicant's completion of all requirements for dental hygiene licensure, within six (6) months of the date the application was received, the board shall:

(1) Issue a license in sequential numerical order; or

(2) Deny licensure due to a violation of KRS Chapter 313 or 201 KAR Chapter 8.

Section 16. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Charitable Limited Licensure", January 2024;

(b) "Application for Dental Hygiene Licensure", September 2024;

(d) "Application for Renewal of Dental Hygiene Licensure", September 2024;

(e) "Application to Reinstate Dental or Dental Hygiene Licensure", January 2024;

(f) "Retirement of License Form", January 2024;

(g) "Verification of Licensure or Registration Form", January 2024;

History

RELATES TO: KRS 304.40 - 075, 313.010(12), 313.030, 313.040, 313.060, 313.080, 313.130, 313.254
STATUTORY AUTHORITY: KRS 313.021(1)(a), (b), (c), 313.040(1), (2), (7), 313.254
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.040 requires the board to promulgate administrative regulations relating to requirements and procedures for the licensure of dental hygienists. This administrative regulation establishes requirements and procedures for the licensure of dental hygienists.
History: 201 KAR 008:563. 49 Ky.R. 1863, 2276; eff. 7-24-2023; 51 Ky.R. 525, 1084; eff. 2-5-2025; 52 Ky.R. 198, 974, 1115; eff. 1-22-2026.

201 KAR 8:571 Registration of dental assistants {#sec-201-kar-8-571 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:571}

Section 1. Definitions.

(1) "Coronal polishing" means a procedure that is the final stage of a dental prophylaxis on the clinical crown of the tooth after a dentist or a hygienist has verified there is no calcareous material.

(2) "Dental assistant" means a person who is directly involved with the care and treatment of a patient under the direct supervision of a dentist and performs reversible procedures delegated by a dentist licensed in the Commonwealth.

Section 2. Supervision Requirements. A dental assistant operating under this administrative regulation shall be under the direct supervision of a Kentucky licensed dentist at all times while in the performance of patient care and treatment. The supervising dentist shall accept sole responsibility for the actions of the dental assistant.

Section 3. General Registration and Documentation Requirements.

(1) A dentist licensed in the Commonwealth shall register all dental assistants in the dentist's practice on the Application for Renewal of Dental Licensure incorporated by reference in 201 KAR 8:532.

(2) A dental assistant shall maintain certification in cardiopulmonary resuscitation (CPR) that meets or exceeds the American Heart Association CPR Guidelines, as incorporated by reference in 201 KAR 8:532. The supervising dentist shall retain the current CPR certification of each dental assistant in the dental assistant's personnel file.

(3) The supervising dentist shall maintain a statement of the competency of procedures delegated to the dental assistant from the Delegated Duties List that includes the name of the:

(a) Individual trained; and

(b) Licensee attesting to the competency of the dental assistant.

Section 4. Coronal Polishing Requirements.

(1) A registered dental assistant may perform coronal polishing only if the assistant has:

(a) Completed the training described in subsection (2) of this section; and

(b) Obtained a certificate from the authorized institution.

(2) The required training shall consist of an eight (8) hour course taught at an institution of dental education accredited by the Council on Dental Accreditation to include the following:

(a) Overview of the dental team;

(b) Dental ethics, jurisprudence, and legal understanding of procedures allowed by each dental team member;

(d) Infection control, universal precaution, and transfer of disease;

(e) Personal protective equipment and overview of Occupational Safety and Health Administration requirements;

(f) Definition of plaque, types of stain, calculus, and related terminology and topics;

(g) Dental tissues surrounding the teeth and dental anatomy and nomenclature;

(h) Ergonomics of proper positioning of patient and dental assistant;

(i) General principles of dental instrumentation;

(j) Rationale for performing coronal polishing;

(k) Abrasive agents;

(l) Coronal polishing armamentarium;

(m) Warnings of trauma that can be caused by improper techniques in polishing;

(n) Clinical coronal polishing technique and demonstration;

(o) Reading component consisting of the topics established in paragraphs(a) to (n) of this subsection;

(p) Passing score of seventy-five (75) percent or higher on a written comprehensive examination covering the material listed in this subsection; and

(q) Passing score on a clinical competency examination performed on a live patient and supervised by a licensed dentist.

(3) The supervising dentist shall retain in the personnel file for the registered dental assistant a copy of the certificate issued for completion of the Coronal Polishing Course.

Section 5. X-rays by Registered Dental Assistants.

(1) A registered dental assistant may take x-rays only if the assistant has completed ten (10) hours of training that includes:

(a)

A six (6) hour course in dental radiography safety; and
A four (4) hour course in dental radiography technique; or

(b) Four (4) hours of instruction in dental radiography technique under the employment and supervision of the dentist in the office.

(2) The supervising dentist shall retain in the personnel file for the registered dental assistant a copy of the certificates issued for completion of courses in dental radiography safety and technique.

Section 6. Requirements for Starting Intravenous Access Lines.

(1) A registered dental assistant in Kentucky may only start intravenous (IV) access lines if the assistant:

(a) Does so under the direct supervision of a dentist who holds a sedation or anesthesia permit issued by the board; and

(b) Completesa board-approved course in starting IV access lines that includes:

Patient Safety Techniques;
Anatomy and physiology of the patient;
Techniques in starting and maintaining an IV access line; and
Appropriate methods of discontinuing an IV access line.

(2) The supervising dentist shall retain in the personnel file for the registered dental assistant a copy of the certificate issued for completion of the Starting Intravenous Access Lines Course.

Section 7. Incorporation by Reference.

(1) "Delegated Duties List", January 2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Dentistry, 312 Whittington Parkway, Suite 101, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at http://dentistry.ky.gov.

History

RELATES TO: KRS 313.030, 313.045, 313.050, 313.080, 313.130
STATUTORY AUTHORITY: KRS 313.021(1)(a), (b), (c), 313.030(3), 313.045
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.045(1) requires the board to promulgate administrative regulations relating to requirements and procedures for registration, duties, training, and standards of practice for dental assistants. This administrative regulation establishes the requirements and procedures for registration, duties, training, and standards of practice for dental assistants.
History: 37 Ky.R. 1929; 2377; eff. 5-6-2011; 40 Ky.R. 2343; 41 Ky.R. 257; eff. 9-5-2014; 49 Ky.R. 1759; eff. 3-9-2023.

201 KAR 8:581 Charity dental practices {#sec-201-kar-8-581 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:581}

Section 1. Minimum Documentation Standards for All Dental Patients of a Charitable Dental Practice. Each patient record for a dental patient of a charitable dental practice in the Commonwealth of Kentucky shall include at a minimum:

(1) The patient's name;

(2) The patient's date of birth;

(3) The patient's medical history;

(4) The patient's dental history;

(5) The patient's current medications from all healthcare providers;

(6) The date of current treatment;

(7) The diagnosis;

(8) The treatment options presented to the patient;

(9) The tooth number and surfaces to be treated, which shall be included in the progress notes;

(10) The patient's current pulse and blood pressure reading;

(11) Informed consent by the patient; and

(12) Signature or initials of the provider.

Section 2. Documentation of Infection Control Procedures. All charitable dental practices in the Commonwealth of Kentucky shall adhere to the universal precautions outlined in the Guidelines for Infection Control in Dental Health-Care Settings published by the Centers for Disease Control and Prevention and shall retain documentation proving that:

(1) All workers have been educated in the charitable dental practice or post-disaster clinic procedures for infection control;

(2) All workers involved in patient treatment of have received a Hepatitis B vaccination or have signed a waiver;

(3) A policy is in place requiring all staff involved in clinical patient care to wear a fresh set of gloves for each patient;

(4) A policy is in place to assure all staff change gloves between patients;

(5) A policy is in place to assure all staff wears protective clothing during patient care;

(6) A policy is in place to assure all staff wear masks during procedures that may involve spatter;

(7) The charitable dental practice contains the necessary supplies to comply with this administrative regulation;

(8) All hand-pieces are sterilized following each patient treatment by one (1) of the following means:

(a) Autoclave;

(b) Dry heat; or

(9) There is routine verification that sterilization methods are functioning properly;

(10) Individual burs, hand instruments, and rotary instruments are either discarded or sterilized following each use;

(11) A policy is in place that addresses the disinfection of all operatory equipment and surfaces between patients;

(12) All surfaces that are difficult to disinfect shall be covered with a non-penetrable barrier;

(13) A policy is in place requiring that all non-penetrable surfaces are changed between patients;

(14) Disinfectant is used, including the name and type of the disinfectant;

(15) A policy is in place that describes a separate place for the cleaning, disinfecting, and sterilization of items, with a mechanism of separation from the patient treatment area that may be:

(a) An enclosed instrument table;

(b) Curtains or wall separation; or

(16) A policy is in place that provides for the protection of dental records, charts, and radiographs from biohazards while those items are in the patient treatment area, or if no protection exists, charts shall be readily reproducible with limited effort; and

(17) An agreement exists with an agency to properly dispose of all medical waste and biohazardous material, including sharps, instruments, and human tissue.

Section 3. Infection Control Inspections.

(1) The board or its designee may perform an infection control inspection of a charitable dental practice utilizing the Infection Control Inspection Checklist.

(2) A charitable dental practice that is found deficient upon an initial infection control inspection shall not be allowed to continue until the clinic coordinator provides proof to the board that the charitable dental practice is in compliance.

Section 4. General Requirements for Charitable Dental Practices. All charitable dental practices in the Commonwealth shall comply with the following requirements:

(1) The clinic coordinator, who shall supervise and oversee all charitable dental practice functions, shall be a Kentucky licensed dentist;

(2) There shall be a functional radiograph machine on site;

(3) Follow-up care provisions shall be in place for each patient requiring follow-up care;

(4) A written blood-borne pathogen exposure control plan shall be kept on site;

(5) A sharps stick protocol shall be followed in which:

(a) The entity that will collect specimens shall be identified prior to the start of the event; and

(b) The laboratory that will perform blood work analysis shall be identified prior to the start of the event;

(6) Post-operative instructions shall be delivered to the patient prior to the patient leaving;

(7) A dentist shall not supervise more than six (6) students in a charitable dental practice or post-disaster clinic;

(8) All procedures shall be concluded by the end date of the charitable dental practice unless a Kentucky licensed dentist has stated in writing that the licensee shall complete the procedure in a timely manner at his practice;

(9) All charitable dental practices shall notify the board no less than thirty (30) days prior to the start of an event of the dates, locations, and host of the event;

(10) A charitable dental practice shall provide the names and license numbers of all participating dentists and dental hygienists no later than fifteen (15) days post-event;

(11) A prescription for a narcotic shall not be written during an event unless approved by a designated dental prescription coordinator who shall hold a full license to practice dentistry in the Commonwealth of Kentucky. The prescription shall be approved if it is medically appropriate;

(12) A written emergency medical response plan shall be kept on site; and

(13) All charitable dental practices larger than forty (40) chairs shall have at least one (1) portable oxygen tank and emergency response (ER) kit on site for the duration of the event.

Section 5. Registered Dental Assistants and Auxiliary Personnel.

(1) For the purpose of a charitable dental practice an individual performing a duty in the charity event, other than a licensed dentist or licensed dental hygienist, shall be restricted to the duties of a dental auxiliary; and

(2) A radiograph shall not be taken unless the person performing the x-ray has met the requirements of 201 KAR 8:571.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Guidelines for Infection Control in Dental Health-Care Settings", December 2003; and

(b) "Infection Control Inspection Checklist", July 2010.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Dentistry, 312 Whittington Parkway, Suite 101, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at http://dentistry.ky.gov.

History

RELATES TO: KRS 313.254(8)
STATUTORY AUTHORITY: KRS 313.021, 313.060(1), 313.254(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.021(1) requires the board to exercise all of the administrative functions of the Commonwealth in the regulation of the profession of dentistry, KRS 313.060(1) requires the board to promulgate administrative regulations relating to dental practices, and KRS 313.254(8) requires the board to promulgate administrative regulations relating to the charitable practice of dentistry. This administrative regulation establishes requirements for charitable dental practices.
History: 37 Ky.R. 1931; 2378; eff. 5-6-2011; 45 Ky.R. 3244; eff. 9-9-2019; Crt eff. 7-15-2026.

201 KAR 8:590 Teledentistry {#sec-201-kar-8-590 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:590}

Section 1. Definition. "Teledentistry" means the use of electronic and digital communications to provide dentistry and dental hygiene-related information and services.

Section 2. Practice of Teledentistry.

(1) To deliver teledentistry services in Kentucky, one shall have a current, valid dental or dental hygiene license issued by the Board of Dentistry. The practice of dentistry shall occur where the patient is located at the time teledentistry services are initiated.

(2) This administrative regulation shall not be construed to alter the scope of practice of any health care provider or authorize the delivery of health care services in a setting or in a manner not authorized by KRS Chapter 313. Teledentistry encounters shall be held to the same standard of care as a traditional in-person patient encounter.

(3)

(a) A patient shall only be treated via teledentistry by:

A Kentucky licensed dentist; or
A Kentucky licensed dental hygienist who is supervised by, and has delegated authority from, a Kentucky licensed dentist.

(b) Any individual may provide any photography or digital imaging to a Kentucky licensed dentist or Kentucky licensed dental hygienist for the sole and limited purpose of screening, assessment, or examination. Anyone providing photography or digital imaging to a Kentucky licensed dentist or Kentucky licensed dental hygienist shall comply with the same standards required for the recording of photography or digital imaging in accordance with KRS 313.010(11).

(4) A licensee using teledentistry in the provision of dental services to a patient shall establish the licensee-patient relationship and conduct an evaluation and history of the patient.

Section 3. Informed Consent. A licensee shall, to the extent possible:

(1) Confirm the identity of the requesting patient;

(2) Verify and authenticate the patient's health history;

(3) Disclose the licensee's identity, applicable credentials, and contact information, including a current phone number;

(4) Obtain an informed consent from the requesting patient after disclosures have been made regarding the delivery models and treatment methods and limitations, to include any special informed consents regarding the use of teledentistry services. At a minimum, the informed consent shall inform the patient or legal guardian and document acknowledgment of the risk and limitations of:

(a) The use of electronic and communications in the provision of care;

(b) The potential for breach of confidentiality, or inadvertent access, of protected health information using electronic and digital communication in the provision of care;

(d) The types of activities permitted using teledentistry services;

(5) Inform the patient or legal guardian that it is the role of the licensee to determine whether the condition being diagnosed or treated is appropriate for a teledentistry encounter;

(6) State the requirement for explicit patient or legal guardian consent to forward patient-identifiable information to a third party; and

(7) Provide to the patient contact information for the Kentucky Board of Dentistry and a description of, or link to, the patient complaint process.

Section 4. Confidentiality. The licensee shall ensure that any electronic and digital communication used in the practice of teledentistry shall be secure to maintain confidentiality of the patient's medical information as required by the Health Insurance Portability and Accountability Act of 1996 (HIPAA), 42 U.S.C. 1320d-2 – 1320d-8, and all other applicable laws and administrative regulations.

Section 5. Dental Records.

(1) Any dental record made through teledentistry shall be in compliance with 201 KAR 8:540, Section 2(1) and (2).

(2) An informed consent obtained in connection with teledentistry services shall be filed in the patient's dental record.

(3) The release of patient records established during the use of teledentistry shall comply with KRS 422.317.

(4) The licensee shall document or record in the file:

(a) The patient's chief complaint;

(b) The licensee's differential diagnosis;

(d) A description of all services provided by teledentistry.

Section 6. Prescribing.

(1) The indication, appropriateness, and safety considerations for each prescription for medication, laboratory services, or dental laboratory services provided through the use of teledentistry services shall be evaluated by the licensee in accordance with 201 KAR 8:540, Section 3.

(2) A licensee's use of teledentistry carries the same professional accountability as a prescription issued in connection with an in-person encounter.

Section 7. Representation of Services. A licensee using teledentistry to deliver dental services or who practices teledentistry shall not:

(1) Directly or indirectly engage in false, misleading, or deceptive advertising of teledentistry services; or

(2) Allow fee-splitting for the use of teledentistry services.

History

RELATES TO: KRS 313.101(11), 313.021(1)(c), 313.060(9), 422.317, 42 U.S.C. 1320d-2 – 1320d-8
STATUTORY AUTHORITY: KRS 313.021(1)(c), KRS 313.060(8), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.021(1)(c) requires the board to promulgate administrative regulations for any license or registration the board creates. KRS 313.060(8) and (9) require the board to promulgate administrative regulations to provide for the practice of teledentistry in the Commonwealth of Kentucky. This administrative regulation establishes requirements and procedures for the practice of teledentistry.
History: 46 Ky.R. 2355; 47 Ky.R. 52; eff. 7-29-2020.

201 KAR 8:601 Mobile Dental Facilities and Portable Dental Units {#sec-201-kar-8-601 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:601}

Section 1. Definitions.

(1) "Mobile dental facility" means a self-contained facility in which dentistry is practiced and that may be towed, moved, or transported from one (1) location to another.

(2) "Portable dental unit" means a non-facility in which dental equipment used in the practice of dentistry is transported and used on a temporary basis at an out-of-office location.

(3) "Registration holder" means a dentist or employer of a dentist which is the principal operator of a mobile dental facility or portable dental unit registered pursuant to this administrative regulation.

Section 2. Scope and Applicability.

(1) The practice of dentistry and dental hygiene conducted via mobile dental facility or portable dental unit shall be held to the same standard of care and scope of practice requirements as any other patient encounter provided for under KRS Chapter 313 and 201 KAR Chapter 8.

(2) Mobile dental facilities and portable dental units engaged exclusively in charitable dental practices as governed by 201 KAR 8:581 shall be exempt from Sections 3(2)(b) and 7(2)(b) of this administrative regulation.

(3) Public health programs governed by KRS 313.040 (8) and 201 KAR 8:562 Section 15 shall be exempt from the requirements of this administrative regulation.

(4) Any violations of KRS Chapter 313 or 201 KAR Chapter 8 related to the operation of a mobile dental facility or portable dental unit shall be subject to disciplinary action pursuant to KRS 313:080 and 313:100.

Section 3. Registration of Mobile Dental Facilities and Portable Dental Units.

(1) Each mobile dental facility or portable dental unit doing business in Kentucky shall be registered with the board and abide by the provisions of this administrative regulation.

(2) To register a mobile dental facility or portable dental unit, the intended registration holder shall:

(a) Submit a completed and signed Application for Mobile Dental Facility or Portable Dental Unit Registration, which shall contain:

The name of the intended registration holder;
An official business or mailing address of record, which shall not be a post office box;
An official phone number and email address of record; and
The name and license number of any individual(s) licensed with the board who are providing services on behalf of or in partnership with the registration holder.

(b) Pay the fee required by 201 KAR 8:520.

Section 4. Emergency and Follow Up Care.

(1) Unless an accommodation is issued by the board, a mobile dental facility or portable dental unit shall maintain a signed agreement with a fixed general practice or pediatric dental office within seventy (70) miles of the treatment location that will accept timely referrals for follow up and emergency care.

(2) At the conclusion of each patient's visit, the mobile dental facility or portable dental unit shall provide each patient with an information sheet that contains:

(a) Contact information that allows the patient to reach the registration holder or dentist of record for emergency care, follow-up care, access to dental records, or information about treatment received;

(b) The name of the dentist or dental hygienist, or both, who provided services;

(d) A plan for follow-up care, including contact information to a dental office as provided for in subsection (1) of this Section.

(3) A mobile dental facility or portable dental unit that accepts a patient and provides preventive treatment, including prophylaxis, radiographs, and fluoride, but does not provide referral information for comprehensive treatment when such treatment is indicated, shall be considered in violation of this Section.

Section 5. Patient Records and Communications.

(1) Mobile dental facilities and portable dental units shall maintain:

(a) A written or electronic record detailing the location where services are provided, the dates of each session, and the services administered;

(b) Patient records of prior treatment to have readily available during subsequent treatment visits; and

(2) Mobile dental facilities and portable dental units shall maintain a reliable means of communication onsite and at the address of record to:

(a) Contact necessary parties in the event of a medical or dental emergency;

(b) Allow the patient or the parent or guardian of the patient treated to contact the provider for emergency care, follow-up care, or information about treatment received; and

(3) Mobile dental facilities and portable dental units doing business in Kentucky shall not perform services on minors without a signed consent form from the parent or guardian, which shall indicate that:

(a) If the minor already has a dentist, the parent or guardian should continue to arrange dental care through that provider; and

(b) The treatment of the child by the mobile dental facility may affect the future benefits that the child may receive under private and public insurance plans.

Section 6. General Operating Requirements. Mobile dental facilities and portable dental units shall:

(1) Operate under the supervision of a Kentucky-licensed dentist, who shall be responsible for all aspects of patient care.

(2) Display in or on the mobile dental facility or portable dental unit a current valid registration issued pursuant to this administrative regulation in a manner which is readily observable by patients or visitors;

(3) Conform to all applicable federal, state, and local laws, regulations, and ordinances dealing with radiographic equipment, flammability, construction, sanitation, zoning, infectious waste management, universal precautions, Occupational Safety and Health Administration guidelines, and Centers for Disease Control and Prevention protocols; and

(4) Be driven or transported by a driver possessing a valid driver's license appropriate for the operation of the vehicle.

Section 7. Registration Renewal and Reinstatement.

(1) Each mobile dental facility and portable dental unit registration shall expire on December 31 of even-numbered years.

(2) A registration holder desiring renewal of an active mobile dental facility or portable dental unit registration shall:

(a) Submit a completed Application for Renewal of Mobile Dental Facility or Portable Dental Unit; and

(b) Pay the fee required by 201 KAR 8:520.

(3) A registration holder desiring reinstatement of a mobile dental facility or portable dental unit registration that has expired within ninety (90) days shall:

(a) Submit a completed Application for Renewal of Mobile Dental Facility or Portable Dental Unit; and

(b) Pay the fee required by 201 KAR 8:520.

(4) A registration holder desiring reinstatement of a mobile dental facility or portable dental unit registration that has been expired for more than 90 days shall:

(a) Reapply for registration as required by Section 3(2) of this administrative regulation; and

(b) Be subject to disciplinary action pursuant to KRS 313:080 and 313:100.

Section 8. Notification Requirements.

(1) The registration holder shall notify the board of any changes to the information required by Section 3(2)(a) of this administrative regulation within thirty (30) days of the change.

(2) If ownership of the mobile dental facility or portable dental unit changes, the prior registration is invalid, and a new application shall be submitted to the board prior to continued operation of the mobile dental facility or portable dental unit.

(3) If a mobile dental facility or portable dental unit ceases operations, the registration holder shall notify the board within thirty (30) days after the last day of operation and report on the disposition of patient records.

Section 9. Incorporation by Reference.

(1) The following material shall be incorporated by reference:

(a) "Application for Mobile Dental Facility or Portable Dental Unit Registration," Sept. 2021; and

(b) "Application for Renewal of Mobile Dental Facility or Portable Dental Unit Registration," Sept. 2021.

History

RELATES TO: KRS 313.021, 313.022.
STATUTORY AUTHORITY: KRS 218A.205(3), 313.022, 313.060(1).
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.021(1)(a) requires the board to govern mobile dental facilities and portable dental units. KRS 313.021(1)(c) requires the board to promulgate administrative regulations for any license or registration created by the board. KRS 313.022(1) requires the board to promulgate administrative regulations to prescribe a reasonable schedule of fees, charges, and fines. This administrative regulation establishes requirements for the issuance and renewal of registrations for mobile dental facilities and portable dental units by the board.
History: 49 Ky.R. 948, 1761; eff. 3-9-2023.

201 KAR 8:610 Dental community health workers {#sec-201-kar-8-610 omnilex-key=us-ky-regs-official--title-201--201 KAR 8:610}

Section 1. Definitions.

(1) "Certified community health worker" is defined by KRS 309.460(2).

(2) "Dental community health worker" means a certified community health worker engaged in patient management of oral health and dental care.

Section 2. Supervision and Scope.

(1) A dental community health worker operating under this administrative regulation shall be under the oversight and scope of the ordering dentist at all times in the performance of patient management.

(2) While under the direction of the ordering dentist, a dental community health worker shall be authorized to:

(a) Support diverse patient populations by attending dental visits of the dentally vulnerable and support follow-up activities for future care or referrals to other providers;

(b) Provide culturally appropriate dental health education and information to diverse communities;

(c) Provide care coordination, case management, and system navigation services regarding dental care providers and dental insurance coverage and eligibility;

(d) Provide coaching and social support to patients and caregivers regarding oral health practices and behaviors for children, patients with special healthcare needs, and dependent elderly patients; and

(e) Encourage patient and provider participation in community-wide oral health events.

History

RELATES TO: KRS 309.460, 309.462, 309.464, 313.021
STATUTORY AUTHORITY: KRS 313.021(1)(a), 313.060(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 313.021(1)(c) requires the board to promulgate administrative regulations relating to requirements and procedures for registration, duties, training, and standards for any license or registration the board may establish. This administrative regulation establishes the requirements, scope, and procedures for certified community health workers operating in a dental health setting.
History: 51 Ky.R. 607, 1150; eff. 2-5-2025.

Chapter 9 Board of Medical Licensure

201 KAR 9:016 Restrictions on use of amphetamine and amphetamine-like anorectic controlled substances {#sec-201-kar-9-016 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:016}

Section 1. Definitions.

(1) "Board" is defined by KRS 311.550(1).

(2) "Body mass index" means the weight of the patient in kilograms divided by the height in meters, squared.

(3) "Licensee" means a person licensed to practice medicine or osteopathy or to practice as a physician assistant in the Commonwealth of Kentucky and authorized to prescribe, dispense, or administer controlled substances unless otherwise exempted by law.

(4) "Schedule II amphetamine or amphetamine-like controlled substance" means:

(a) Amphetamine, its salts, optical isomers, and salts of optical isomers; or

(b) Methylphenidate.

(5) "Schedule III or IV amphetamine-like controlled substance" means a drug classified as a stimulant pursuant to 902 KAR 55:015, Section 3 or 4.

Section 2. Prior to prescribing, ordering, dispensing, administering, selling, supplying, or giving an amphetamine or amphetamine-like controlled substance, a licensee shall take into account the:

(1) Drug's potential for abuse;

(2) Possibility that a drug may lead to dependence;

(3) Possibility a patient will obtain the drug for a nontherapeutic use;

(4) Possibility a patient will distribute it to others; and

(5) Potential illicit market for the drug.

Section 3. Schedule II Amphetamine or Amphetamine-like Controlled Substances.

(1) The patient's record shall denote the diagnosis that justifies treatment with a Schedule II amphetamine or amphetamine-like controlled substance.

(2) A Schedule II amphetamine or amphetamine-like controlled substance shall be used to treat only:

(a) Narcolepsy;

(b) Attention deficit/hyperactive disorder;

(c) Resistant depressive disorder in combination with other antidepressant medications, or if alternative antidepressants and other therapeutic modalities are contraindicated;

(d) Drug-induced brain dysfunction;

(e) A diagnosis for which the clinical use of the Schedule II amphetamine or amphetamine-like controlled substance is investigational and the investigative protocol has been submitted, reviewed, and approved by the board prior to the clinical use of the drug; or

(f) An adult patient with a moderate to severe binge-eating disorder, if diagnosed according to criteria set forth in the Diagnostic and Statistical Manual of Mental Disorders at the time of diagnosis.

(3) A Schedule II amphetamine or amphetamine-like controlled substance shall not be utilized to treat obesity.

Section 4. Treatment of Obesity with a Schedule III or IV Amphetamine-like Controlled Substance.

(1) Prior to prescribing, administering, dispensing, ordering, selling, supplying, or giving a Schedule III or IV amphetamine-like controlled substance to treat obesity in a patient sixteen (16) years of age or older, the licensee shall:

(a) Establish a licensee /patient relationship;

(b) Determine that the patient is obese or overweight with medical risk factors and is a proper candidate for weight reduction treatment;

(c) Determine and record the extent of prior anorectics or other controlled substances used by the patient. The prescribing licensee shall obtain and review a KASPER report for the twelve (12) month period immediately preceding the patient encounter, before prescribing or dispensing controlled substances to the patient;

(d) Determine that the patient has either:

A body mass index of twenty-seven (27) or more, unless the body mass index is twenty-five (25) to twenty-seven (27) and the patient has a co-morbidity such as a cardiovascular disease, diabetes mellitus, dyslipidemia, hypertension, or sleep apnea;
Body fat greater than or equal to thirty (30) percent in females or greater than or equal to twenty-five (25) percent in males;
Current body weight greater than or equal to 120 percent of a well-documented, long-standing, healthy weight that the patient maintained after age eighteen (18);
A waist-hip ratio or waist circumference at a level indicating that the individual is known to be at increased cardiovascular or co-morbidity risk because of abdominal visceral fat; or
Presence of a co-morbid condition or conditions aggravated by the patient's excessive adiposity; and

(e) Provide the patient with carefully prescribed diet, together with counseling on exercise, behavior modification, and other appropriate supportive and collateral therapies.

(2) During treatment for obesity, a licensee shall:

(a) Maintain a licensee /patient relationship throughout the treatment process;

(b) Maintain an adequate patient record in accordance with subsection (4) of this section; and

(c) Justify in the patient record the use of any Schedule III or IV amphetamine-like controlled substance beyond three (3) months. Before the licensee continues the use of a substance beyond three (3) months, the licensee shall obtain and review a current KASPER report.

(3) A licensee shall terminate the use of Schedule III or IV amphetamine-like controlled substances if:

(a) The patient does not demonstrate weight loss and does not attempt to comply with exercise and dietary changes;

(b) The body mass index of the patient without a co-morbid condition is less than twenty-seven (27) and the percentage of body fat is normal at less than thirty (30) percent in females or less than twenty-five (25) percent in males;

(c) The body mass index of the patient with a co-morbid condition is less than twenty-five (25) and the percentage of body fat is normal at less than thirty (30) percent in females or less than twenty-five (25) percent in males;

(d) The patient has regained the weight lost, using sympathomimetics as part of a complete program and reuse of the medication does not produce loss of the weight gain to help maintain a minimum of five (5) percent weight loss; or

(e) The patient has obtained a Schedule III or IV amphetamine-like controlled substance from another provider without the licensee's knowledge and consent.

(4) The board shall consider the following factors in reviewing the adequacy of a patient record:

(a) Medical history, including:

Illnesses, with particular emphasis on cardiovascular diseases;
Surgery;
Lifestyle;
Medications, including controlled substances;
Eating habits;
Exercise;
Weight gain or loss;
Prior efforts at weight control or reduction;
Prior treatment compliance;
Menstruation or pregnancy; and
Psychiatric history with particular reference to depression, paranoia, psychosis, or chemical dependency;

(b) Social history;

(d) Complete physical examination;

(e) Evaluation of laboratory tests including:

CBC;
Fasting blood sugar;
Thyroid panel or TSH;
Lipid profile;
Serum potassium;
Liver function test; and
Renal function test;

(f) An informed consent signed by the patient that cites the limitations and risk of anorectic treatment including potential dependency or psychiatric illness;

(g)

A signed agreement that the patient has voluntarily agreed to:

a. Have one (1) prescribing licensee for controlled substances;

b. Use one (1) pharmacy to fill prescriptions for controlled substances;

c. Not have early refills on the prescriptions for controlled substances; and

d. Provide full disclosure of other medications taken; or

Documentation that:

a. The licensee requested the patient sign an agreement meeting the requirements of subparagraph 1 of this paragraph;

b. The patient declined to sign the agreement; and

c. Indicates the licensee's clinical reasons for prescribing, or continuing to prescribe, a Schedule III or IV amphetamine-like controlled substance to the patient, in light of the patient's refusal to sign the agreement; and

(h) A record of each office visit, including:

The patient's weight;
The patient's blood pressure;
The patient's pulse;
The presence or absence of medication side effects or complications;
The doses of medications prescribed;
The patient's body mass index; and
Evaluation of the patient's compliance with the total treatment regimen.

Section 5. Waiver. For a legitimate medical purpose, a licensee may apply in writing for a written waiver of any requirement in this administrative regulation. The board may issue a waiver with terms and conditions it deems appropriate.

Section 6. Failure to comply with the requirements of this administrative regulation shall constitute dishonorable, unethical, or unprofessional conduct by a licensee which is apt to deceive, defraud, or harm the public under:

(1) KRS 311.595(9) and 311.597; or

(2) KRS 311.850(1)(s).

History

RELATES TO: KRS 311.550, 311.595(9), 311.597, 311.842, 311.850(1)(s)
STATUTORY AUTHORITY: KRS 311.565(1), 311.842(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of licensees. KRS 311.595(9) and 311.597 authorize disciplinary action against physicians for specified offenses. KRS 311.842(1) requires the board to promulgate administrative regulations establishing prescribing and administering standards for physician assistants. This administrative regulation establishes the requirements governing the use of amphetamine and amphetamine-like anorectic controlled substances.
History: 10 Ky.R. 69; eff. 12-2-1983; Am. 13 Ky.R. 1087; eff. 1-13-1987; 15 Ky.R. 1285; 1645; eff. 12-13-1988; 16 Ky.R. 1223; eff. 2-3-1990; 28 Ky.R. 443; 1794; eff. 2-7-2002; 40 Ky.R. 108; 785; eff. 10-16-2013; 42 Ky.R. 2796; eff. 7-20-2016; 47 Ky.R. 364, 941; eff. 11-196-2020.

201 KAR 9:021 Medical and osteopathic schools approved by the board; denial or withdrawal of approval; application of KRS 311.271; postgraduate training requirements; approved programs; recognition of degrees {#sec-201-kar-9-021 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:021}

Section 1.

(1) Except as provided by subsection (2) of this section:

(a) A license or permit shall not be issued by the board or retained by a licensee if an applicant or licensee has failed to provide the board proof that he is a graduate of a medical or osteopathic school, college, or university that has been approved by the board; and

(b) The requirement for board approval of an educational institution shall not be waived.

(2) An applicant for limited licensure-institutional practice pursuant to KRS 311.571(4) shall be granted a license without prior approval by the board of the medical or osteopathic school, college, or university from which he graduated if he has submitted proof:

(a) Of the educational institution's existence; and

(b) That he is a graduate thereof.

Section 2. Except as provided by Section 4 of this administrative regulation:

(1) A medical or osteopathic school, college, or university located in the United States, its territories or protectorates, or Canada shall be considered approved by the board; and

(2) A license or permit granted by a medical or osteopathic school, college, or university located in the United States, its territories or protectorates, or Canada shall be recognized if written proof is submitted that the educational institution is located in:

(a) The United States, its territories or protectorates, and accredited by the:

Liaison Committee on Medical Education; or
American Osteopathic Association Commission on Osteopathic College Accreditation; or

(b) Canada and approved or accredited by the Canadian Medical Association.

Section 3. Except as provided by Section 4 of this administrative regulation, a medical or osteopathic school, college, or university located outside the United States, its territories or protectorates, or Canada in which an applicant originally enrolled in any academic year through and concluding with academic year 2008-2009 shall be considered approved by the board, and a license or permit issued by a medical or osteopathic school, college, or university located outside the United States, its territories or protectorates, or Canada shall be recognized, if the educational institution:

(1) Is officially recognized in good standing by the country in which it is located;

(2) Is registered as a medical school, college, or university in the:

(a) World Health Organization directory; or

(b) World Directory of Medical Schools; and

(3) Possesses a basic course of clinical and classroom medical instruction that is:

(a) Not less than thirty-two (32) months in length; and

(b) Under the educational institution's direct authority.

Section 4. Except as provided by Section 5 of this administrative regulation, a medical or osteopathic school, college, or university located outside the United States, its territories, or Canada in which an applicant originally enrolled in academic year 2009 - 2010 or any academic year thereafter shall be considered approved by the board, and a license or permit issued by a medical or osteopathic school, college, or university located outside the United States, its territories or protectorates, or Canada shall be recognized, if the educational institution:

(1) Is officially recognized in good standing by the country in which it is located;

(2) Is registered as a medical school, college, or university in the International Medical Educational Directory;

(3) Requires that all courses be completed by physical on-site attendance in the country in which the school is chartered; and

(4) Possesses a basic course of clinical and classroom medical instruction that is:

(a) Not less than thirty-two (32) months in length; and

(b) Under the educational institution's direct authority.

Section 5.

(1) The board shall deny or revoke its approval of a medical or osteopathic school, college, or university that has failed to meet the requirements for approval established by this administrative regulation.

(2) If the board denies or withdraws its approval of a medical or osteopathic school, college, or university, it shall issue an order stating the grounds upon which the denial or approval was based.

Section 6.

(1)

(a) Except as provided by subsection (2) of this section, the degree of an applicant shall not be recognized unless an applicant has met the requirements established by this section.

(b) Except as provided by subsection (2) of this section, clinical clerkships that a medical school located outside the United States, its territories or protectorates, or Canada permits a student to perform in order to satisfy its curriculum's clinical requirements shall be approved if an applicant has established that:

The clinical clerkships he performed were equal in quality and character to the clinical training performed in the United States by students in American medical and osteopathic schools; and
The clinical clerkships he performed had been evaluated and approved by the foreign medical school:

a. Prior to commencement; and

b. As required by the foreign school's established standards for approval of clerkships performed in the United States.

(2) The board shall waive the requirements established by subsection (1) of this section, if an applicant:

(a) Commenced a clerkship prior to February 12, 1985; and

(b) Has verified that he has:

Satisfactorily completed an approved three (3) year post graduate training program at one (1) hospital or institution; or
Been accepted into, or is currently enrolled, in the second or third year of a postgraduate training program approved by the board.

Section 7. The executive director shall recommend for approval by the board the equivalency of premedical or preosteopathic units of study credited by a college or university located outside the United States or Canada on an individual basis.

Section 8. Amount of Postgraduate Training Required. An applicant for licensure shall provide written proof of having completed the postgraduate training required by this administrative regulation.

(1) Pursuant to KRS 311.571(1)(d), an applicant for a regular license shall have satisfactorily completed:

(a) At least two (2) years of prescribed courses of postgraduate training in accordance with this administrative regulation; or

(b) At least one (1) year of prescribed courses of postgraduate training in accordance with this administrative regulation and an Oral and Maxillofacial Surgery program approved by the Commission on Dental Accreditation.

(2) Resident training license.

(a) Except as provided in paragraph (c) of this subsection, a resident in a Kentucky postgraduate training program accredited by the Accreditation Council for Graduate Medical Education or the American Osteopathic Association shall receive a resident training license if the applicant has:

Completed one (1) year of postgraduate training in accordance with this administrative regulation;
Successfully completed:

a. One (1) of the examinations approved under 201 KAR 9:031, Section 2; or

b. One (1) of the combinations of examinations approved under 201 KAR 9:031, Section 1; and

Paid to the board a seventy-five (75) dollar fee.

(b) The resident training license shall permit its holder to practice medicine within the institution or in a setting approved by the postgraduate training program.

(c) The resident training license shall not be issued to a second-year resident without a recommendation by the director of the postgraduate training program and the approval of the board.

Section 9. Postgraduate Training Programs Approved by the Board. The following postgraduate training programs shall meet the postgraduate training requirement for licensure:

(1) All postgraduate training programs in hospitals and institutions located in the United States and approved by the Accreditation Council for Graduate Medical Education;

(2) All postgraduate training programs in hospitals and institutions located in Canada; and

(3) All postgraduate training programs in hospitals and institutions located in the United States or Canada and approved by the American Osteopathic Association.

Section 10. Fellowship Training in the United States or Canada. The board shall consider on an individual basis written proof of satisfactory completion of fellowship training recognized by the board to be of satisfactory quality as substitution for the second year of required postgraduate training approved by the board pursuant to this administrative regulation.

History

RELATES TO: KRS 311.271, 311.550, 311.560, 311.571
STATUTORY AUTHORITY: KRS 311.565(1)(b), 311.571(1)(d), (2)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(b) authorizes the board to promulgate administrative regulations to establish requirements for a regular license to practice medicine or osteopathy in the Commonwealth of Kentucky. This administrative regulation establishes the requirements for board approval of medical or osteopathic schools.
History: 201 KAR 009:021. 11 Ky.R. 309; 553; eff. 10-9-1984; 1063; 1257; eff. 2-12-1985; 12 Ky.R. 668; eff. 1-3-1986; 16 Ky.R. 1225; eff. 2-3-1990; 23 Ky.R. 2836; 3555; eff. 3-19-1997; 27 Ky.R. 1501; 2123; eff. 2-1-2001; 32 Ky.R. 717; eff. 1-6-2006; 34 Ky.R. 1525; 1935; eff. 2-14-2008; 44 Ky.R. 2361, eff. 7-18-2018; Crt eff. 5-27-2025.

201 KAR 9:023 Endorsement {#sec-201-kar-9-023 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:023}

Section 1. "Endorsement" means the written certification of an authorized officer of a recognized entity that:

(1) An applicant is in good standing, and has successfully completed an examination recognized by the board; and

(2) The endorsing state standards are substantially equivalent to those of the Commonwealth of Kentucky.

Section 2. Endorsement shall result in the fulfillment of examination requirement for licensure if the requirements established by 201 KAR 9:031 have been met.

Section 3. Licensure by Reciprocity. Licensure by reciprocity shall be granted if it is established to the satisfaction of the board that the standards for licensure of the endorsing entity are equivalent to the standards established in the Commonwealth of Kentucky.

Section 4. Endorsing Bodies Recognized by the Board. An applicant may fulfill the examination requirement for licensure without further testing in this state upon certified written endorsement that the applicant has successfully completed an examination approved by the board in accordance with the requirements of 201 KAR 9:031 from any of the following entities:

(1) Licensure authority of another state, United States territory or Canadian province;

(2) National Board of Medical Examiners;

(3) National Board of Osteopathic Medical Examiners, Inc.;

(4) Federation of State Medical Boards of the United States, Inc.; or

(5) United States Medical Licensing Examination administered by the National Board of Medical Examiners and the Federation of State Medical Boards.

Section 5. Endorsement by the Board. The board shall not endorse any physician to the licensure authority of another state, United States territory or Canadian province unless the physician holds a valid, current and effective license to practice medicine or osteopathy in the Commonwealth.

History

RELATES TO: KRS 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. The purpose of this administrative regulation is to establish standards for the endorsement of a physician by the licensing authority of another jurisdiction to the board.
History: 11 Ky.R. 311; eff. 10-9-1984; 20 Ky.R. 1652; 2612; eff. 3-14-1994; Crt eff. 3-29-2018; Crt eff. 2-26-2025.

201 KAR 9:024 Application and reregistration forms; personal interviews; hearings {#sec-201-kar-9-024 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:024}

Section 1. Forms. The executive director shall prepare whatever forms are needed to obtain all information necessary for evaluating applicants in regard to the requirements for obtaining, maintaining and reobtaining licenses and permits issued by the board. The executive director may require the production of photographs, fingerprints and other personal history data as necessary. All forms to be signed by the applicant shall be notarized as having actually been signed by the applicant and as being a true and accurate statement of the matters contained therein.

Section 2. Application Effective Upon Completion. An application for a license or permit, for the renewal or registration of a license or permit or for the reregistration of a license will not be effective for purposes of review for approval unless and until the appropriate forms have been satisfactorily completed and all other requested information has been produced. The executive director, in his discretion, may temporarily excuse the satisfactory completion of any form or production of any requested item if it would cause an undue hardship to the applicant or the general public.

Section 3. Personal Interviews. The executive director may require any applicant to appear before him, his designee or the board in regard to any matter relating to the requirements for licensure.

Section 4. Hearings. The board, in its discretion, may direct formal or informal hearings be held in connection with any matter relating to the qualifications for licensure of any applicant or group of applicants.

History

RELATES TO: KRS 311.530-311.610, 311.990
STATUTORY AUTHORITY: KRS 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. The purpose of this administrative regulation is to establish a basis for the gathering of information necessary for the thorough evaluation of an applicant for any license or permit issued by the board.
History: 11 Ky.R. 311; eff. 10-9-1984; Crt eff. 3-29-2018; Crt eff. 2-26-2025.

201 KAR 9:025 Interpretation and application of KRS 311.571(10) {#sec-201-kar-9-025 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:025}

Section 1. Definitions.

(1) "Extraordinary circumstances" means that either one (1) of the Commonwealth's medical schools or an area or group of patients will be specially benefited by the board's granting of licensure to an applicant who has completed qualified education and training comparable in nature to the requirements of KRS 311.571(1) or (2) and is qualified to competently and safely practice medicine or osteopathy within the Commonwealth of Kentucky.

(2) "Exceptional education, training, and practice credentials" means credentials of a character demonstrably comparable to or far beyond those generally presented by applicants seeking licensure, including, at a minimum, verifiable proof that the applicant:

(a) Is a graduate of a medical or osteopathic school of proven quality or has received advanced degrees from reputable graduate study programs in medicine:

(b) Has completed at least three (3) years of postgraduate training recognized by the board to be of high quality; and

Section 2. Application.

(1) In extraordinary circumstances, the board may grant licensure to an applicant upon proof that the applicant possesses exceptional education, training, and practice credentials and that the applicant's practice would be beneficial to the public welfare.

(2) If an applicant requests that the executive director present his or her application for the board's review under KRS 311.571(10), the executive director may, based upon his or her evaluation of the applicant's credentials and the circumstances involved, refuse to present the application to the board. The executive director shall require the applicant to provide written documentation and other verifiable evidence to aid his or her evaluation.

Section 3. Limitation Upon Licensure if Granted. The board may, in its discretion, grant regular or limited licensure or may place restrictions upon the licensure of anyone who is granted licensure pursuant to KRS 311.571(10). The board shall only grant licensure to physicians of whose competency and fitness the board is assured, and, in any circumstance, to only grant licensure sufficient to satisfy the extraordinary circumstances that are present.

History

RELATES TO: KRS 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565, 311.571(10)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. KRS 311.571(10) authorizes the board to waive licensure requirements in extraordinary circumstances if the applicant's practice would benefit the public welfare based on the applicant's exceptional education, training, and practice credentials. This administrative regulation establishes application procedures and limitations for licensure under KRS 311.571(10).
History: 11 Ky.R. 312; eff. 10-9-1984; 42 Ky.R. 2798; 43 Ky.R. 12; eff. 7-20-2016; Cert. eff. 1-11-2023.

201 KAR 9:031 Examinations {#sec-201-kar-9-031 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:031}

Section 1. Basic Requirement; Passing Score.

(1) An applicant for a license or permit issued by the board shall provide written proof that he or she has received a score:

(a) Of seventy-five (75), on each step, part, or component or its numerical equivalent; or

(b) A FLEX weighted average (FWA) of seventy-five (75) in a single sitting.

(2) A passing score for an applicant who has taken Component I and Component II of the Federation Licensing Examination (FLEX) shall be a score of seventy-five (75) on each component.

(3) The board shall recognize a passing score on the examinations listed in subsections (1) and (2) of this section if the applicant obtains a passing score within four (4) attempts for each step, component, part, or level.

(4) A passing score for an applicant who takes Step 1, 2, and 3 of the United States Medical Licensing Examination (USMLE) shall be a score of seventy-five (75) or its numerical equivalent. A passing score for an applicant who takes Levels 1, 2, and 3 of the Comprehensive Osteopathic Medical Licensing Examination (COMLEX-USA ) shall be a score of seventy-five (75) or its numerical equivalent.

(5) For an applicant who takes Parts 1 and 2 of the Medical Council of Canada Qualifying Examination, scores on each component deemed to be a "pass score" by the Medical Council of Canada in the year the examination was taken shall be deemed a passing score.

(6) The board shall recognize the following combinations of examinations only if completed prior to the year 2000:

(a) NBME Part I or USMLE Step 1, plus NBME Part II or USMLE Step 2, plus NBME Part III or USMLE Step 3;

(b) FLEX Component I plus USMLE Step 3; or

Section 2. Examinations Approved by the Board. The following examinations are approved by the board in regard to the fulfillment of the examination requirement for licensure:

(1) Examinations administered prior to 1972 by the licensure authority of another state, United States territory, or Canadian province upon sufficient proof that the examination consisted of comprehensive testing in the basic and clinical sciences;

(2) The examination administered by the Federation of State Medical Boards, (FLEX);

(3) The examination administered by the National Board of Medical Examiners (NBME);

(4) The examination administered by the National Board of Osteopathic Medical Examiners (NBOME) or Comprehensive Osteopathic Medical Licensing Examination (COMLEX-USA);

(5) The examination administered jointly by the Federation of State Medical Boards and National Board of Medical Examiners entitled United States Medical Licensing Examination (USMLE); and

(6) The Medical Council of Canada Qualifying Examination administered by the Medical Council of Canada, if both Parts 1 and 2 have been successfully completed.

Section 3. The board may deny a license or permit if the board determines the examination by which the applicant is seeking to fulfill the examination requirement inadequately tested the applicant's knowledge, education, training and competency.

History

RELATES TO: KRS 311.565(1)(m), (p), (q), (r), (u)
STATUTORY AUTHORITY: KRS 311.565(1)(b), (m), (p), (q), (r), (u)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 authorizes the board to promulgate administrative regulations governing examinations. This administrative regulation establishes standards and requirements relating to examinations.
History: 201 KAR 009:031. 11 Ky.R. 313; eff. 10-9-1984; 1617; eff. 6-4-1985; 13 Ky.R. 1088; eff. 1-13-1987; 16 Ky.R. 1228; eff. 2-3-1990; 18 Ky.R. 88; 991; eff. 9-24-1991; 20 Ky.R. 1653; 2613; eff. 3-14-1994; 32 Ky.R. 1466; 1881; eff. 5-5-2006; 44 Ky.R. 2363; 45 Ky.R. 17; eff. 7-18-2018; Crt eff. 5-27-2025.

201 KAR 9:041 Fee schedule {#sec-201-kar-9-041 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:041}

Section 1. Fee Schedule.

(1) Fee for initial issuance of regular license - $300.

(2) Fee for initial issuance of limited license - seventy-five (75) dollars.

(3) Fee for annual registration or renewal of regular license - $150.

(4) Fee for annual registration or renewal of limited license -sixty-five (65) dollars.

(5) Penalty for late annual registration or renewal:

(a) March 1 - April 1 - fifty (50) dollars.

(b) After April 1 - $100.

(6) Fee for reregistration of inactive license - $250.

(7) Endorsement of licensee to licensing agency of another jurisdiction - fifty (50) dollars.

(8) Certification of licensee's examination grades to licensing agency of another jurisdiction - ten (10) dollars.

(9) Fee for temporary permit (credited to fee for regular license if subsequently issued) - fifty (50) dollars.

(10) Fee for emergency permit - twenty-five (25) dollars.

(11) Fee for duplicate license certificate - ten (10) dollars.

(12) Fee for use of paper renewal application - ten (10) dollars.

(13) Fee for one (1) year subscription to Newsletter (fee waived for licensees) - ten (10) dollars.

(14) Fee for sitting for competency examination administered by board - $275.

(15) Fee for initial issuance of regular license for a graduate of a Kentucky medical school who remains in this state for postgraduate training - $150.

(16) Fee for Federal Bureau of Investigation (FBI) Fingerprint Card - eighteen (18) dollars.

(17) Fee for application for extension of time for completion of continuing medical education requirements - $100.

(18) Verification of licensure to licensing agency of another jurisdiction - ten (10) dollars.

History

RELATES TO: KRS 311.565(1)(a), (u)
STATUTORY AUTHORITY: KRS 311.565(1)(a), (u)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(t) authorizes the board to prescribe and collect reasonable fees and charges for an examination, directory, or the issuance or renewal of a license or permit. KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations necessary to regulate the conduct of a licensee. This administrative regulation establishes a schedule of fees for services rendered by the board.
History: 201 KAR 009:041. 11 Ky.R. 314; 554; eff. 10-9-1984; 1619; eff. 6-4-1985; 13 Ky.R. 1089; eff. 1-13-1987; 15 Ky.R. 1287; eff. 1-7-1989; 16 Ky.R. 1229; eff. 2-3-1990; 18 Ky.R. 89; eff. 8-30-1991; 20 Ky.R. 1655; eff. 3-14-1994; 21 Ky.R. 475; 1028; eff. 9-21-1994; 22 Ky.R. 1482; eff. 4-5-1996; 23 Ky.R. 2838; eff. 3-19-1997; 25 Ky.R. 2927; 26 Ky.R. 370; eff. 8-16-1999; 31 Ky.R. 1436; 1464, eff. 4-22-2005; 33 Ky.R. 853; eff. 11-15-2006; Crt eff. 9-28-2018; Crt eff. 9-10-2025.

201 KAR 9:051 License renewal and registration; reregistration of inactive license {#sec-201-kar-9-051 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:051}

Section 1. Annual Renewal and Registration.

(1) On or about January 1 of each year, the executive director shall mail written notification to all physicians holding a regular license to practice medicine and osteopathy in the Commonwealth that annual registration of their license must be executed on or before March 1. The notification shall indicate the annual registration fee and shall warn the licensee that failure to timely register shall cause his or her license to become inactive.

(2) On or about January 1 of each year the executive director shall mail written notification to all physicians holding a valid and active limited license-institutional practice or limited license-general practice which had been issued to the holder on or before September 1, 1972, that annual renewal of their limited license must be executed on or before March 1. The notification shall indicate the annual renewal fee and shall warn the limited licensee that failure to timely renew shall cause his or her limited license to be cancelled and unreissuable.

(3) On or about thirty (30) days prior to the expiration of a limited license-institutional practice issued pursuant to KRS 311.571(4) or as a training permit under prior law, the executive director shall mail written notification to the physician that his or her limited license shall expire on an indicated date, being one (1) year from the date of issuance. The notification shall inform the holder that he or she must obtain a limited license-institutional practice pursuant to KRS 311.571(3) on or before the expiration date and shall warn the holder that if the physician fails or is unable to obtain such a limited license or a regular license the physician shall no longer have licensure authority to practice in the Commonwealth.

(4) On or about thirty (30) days prior to the expiration of a limited license-institutional practice issued pursuant to KRS 311.571(3) the executive director shall mail written notification to the limited licensee that his or her limited license shall expire unless renewed on or before the expiration date, being one (1) year from the date of issuance. The notification shall indicate the annual renewal fee and shall warn the limited licensee that failure to timely renew shall cause his or her limited license to be cancelled.

Section 2. Questionnaire Concerning Matters of Licensure and Discipline. In conjunction with any notification required to be sent by Section 1 of this administrative regulation, the executive director shall also send the licensee a questionnaire concerning matters of licensure and discipline to allow the board to better evaluate the continued fitness of physicians practicing in the Commonwealth. The questionnaire shall be signed by the licensee and verified by a notary. A license shall not be renewed, registered or reregistered until the questionnaire has been completed to the executive director's satisfaction.

Section 3. Late Registration or Renewal. Any physician holding either a regular license, a limited license-institutional practice pursuant to KRS 311.571(3), a limited license-institutional practice issued prior to September 1, 1972, or a limited license-general practice who fails to register or renew for the coming year on or before the date designated on the notification shall be sent a second notification that shall indicate the annual registration or renewal fee, the penalty fee for late registration or renewal and the time allowed for late registration or renewal which shall not be longer than thirty (30) days beyond the date designated on the first notification for registration or renewal. If the licensee fails to register or renew his or her license by the date designated on the second notification, the license shall be considered inactive or cancelled accordingly and continued practice by the physician shall be considered the unauthorized practice of medicine or osteopathy.

Section 4. Reregistration of Inactive Regular License. Upon failure of a licensee to register his regular license for the year before the expiration of the time allowed for late registration, the license shall become inactive and continued practice by the physician shall be considered the unauthorized practice of medicine or osteopathy. At any subsequent time the holder of an inactive license may seek reregistration of his license by paying the fee for reregistration, and satisfactorily completing the forms necessary for obtaining sufficient information concerning the reregistrant's present fitness to practice.

Section 5. All notifications required to be sent by this administrative regulation shall be mailed to the licensee's last known address of which the board has record. Failure of the licensee to receive notice if mailed to the last known address shall not excuse the licensee from compliance with the statutes or this administrative regulation.

History

RELATES TO: KRS 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. The purpose of this administrative regulation is to establish procedures and rules regarding the annual renewal and registration of licenses and the reregistration of inactive licenses.
History: 201 KAR 009:051. 11 Ky.R. 314; 555; eff. 10-9-1984; 20 Ky.R. 1656; 2615; eff. 3-14-1994; Crt eff. 7-6-2018; Crt eff. 5-27-2025.

201 KAR 9:061 Limited licenses {#sec-201-kar-9-061 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:061}

Section 1. Applicability. An applicant for limited license-institutional practice pursuant to KRS 311.571(3) or 311.571(4) shall not be issued a license or permit until the applicant provides written proof that he or she is officially enrolled in a postgraduate training program in the Commonwealth approved by the board and submits evidence of having successfully passed Component 1 of the Federation Licensing Examination (FLEX), or achieved a passing score on the National Board of Medical Examiners (NBME) Part I and Part II examinations, or achieved a passing score on the United States Medical Licensing Examination (USMLE) Step 1 and Step 2, or is employed as a professor or researcher in medicine by either the University of Kentucky College of Medicine or the University of Louisville School of Medicine.

Section 2. Scope of Practice. A limited license-institutional practice issued to a physician in an approved postgraduate training program shall enable the holder to practice as a physician within the parameters of the training program. A limited license-institutional practice issued to a physician who is employed by one of the Commonwealth's medical schools shall enable the holder to practice as a physician to the extent necessary to perform his responsibilities of employment. The executive director may suspend any such limited license-institutional practice upon evidence that the holder has practiced outside the scope of his licensure. All limited license-institutional practice shall be renewable annually and shall be issued on a medical school academic year, July 1 through June 30. This administrative regulation shall not apply to those physicians in an approved postgraduate training program, who, on the effective date of this administrative regulation, maintain a regular license to practice medicine in the Commonwealth of Kentucky.

Section 3. Applicability and Scope of Limited Licenses Held Prior to September 1, 1972.

(1) All persons who as of the effective date of this administrative regulation hold a valid and current limited license-institutional practice issued to them prior to September 1, 1972, may continue to hold their licenses if annually renewed. The holder may only practice within the confines of the institution for which his limited license is designated.

(2) All persons who as of the effective date of this administrative regulation hold a valid and current limited license-general practice issued to them prior to September 1, 1972, may continue to hold their licenses if annually renewed. The holder may only practice within the confines of the geographical area for which his limited license is designated.

(3) Any limited license held prior to September 1, 1972, which is not timely renewed each year by the holder shall lapse and become void and the limited license shall not be reissued under any circumstance. Practice outside the scope of the limited license shall result in the temporary suspension of the license and possible discipline. The board shall not issue any new limited licenses like those described in this section and a limited license-institutional practice shall not be converted to a limited license-general practice.

Section 4. Extent of Practice Allowed Under Limited License. A physician holding a limited license possesses all the powers of a physician allowed by the laws of the Commonwealth, to practice within the limited scope of his licensure; provided, however, that the holder of a limited license-general practice shall not perform surgery unless expressly authorized by the board.

Section 5. Form of License. All limited licensees shall be issued a certificate which shall state on its face whether it is a limited license-institutional practice (KRS 311.571(3) or 311.571(4)), a limited license-institutional practice (KRS 311.565(15)) or a limited license-general practice (KRS 311.555(15)). The certificate shall also indicate the institution or geographical area to which the holder's practice is limited and any limitations on the holder's scope of practice.

Section 6. Temporary Permit. Upon satisfactory completion of all forms and the submission of all necessary information in connection with an application for limited licensure-institutional practice, the executive director shall issue a temporary permit to the applicant if the executive director believes that the application satisfies all the requirements for limited licensure-institutional practice and is otherwise fit to practice. The temporary permit shall remain in effect until the holder is issued a limited license-institutional practice by the board or until cancelled, but the temporary permit shall not be effective longer than sixty (60) days from the date of issuance. Denial of an application for limited licensure-institutional practice by the board shall cause the cancellation of a temporary permit if held by the applicant. The temporary permit shall not be renewed or reissued.

History

RELATES TO: KRS 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. The purpose of this administrative regulation is to establish standards and guidelines regarding the issuance and renewal of limited licenses.
History: 201 KAR 009:061. 11 Ky.R. 315; 556; eff. 10-9-1984; 16 Ky.R. 1954; eff. 5-13-1990; 20 Ky.R. 1657; 2615; eff. 3-14-1994; Crt eff. 7-6-2018; Crt eff. 5-27-2025.

201 KAR 9:067 Professional standards and procedures for medicinal cannabis practitioners {#sec-201-kar-9-067 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:067}

Section 1. Definitions.

(1) "Board" means the Kentucky Board of Medical Licensure.

(2) "Bona fide practitioner-patient relationship" is defined by KRS 218B.010(1).

(3) "Cabinet" is defined by KRS 218B.010(2).

(4) "Good standing" means a license that is at the time of initial application or renewal:

(a) Active;

(b) Not the subject of a pending board investigation;

(d) Not held by a person who has ever been subject to disciplinary action by a licensing entity of any jurisdiction, including the board or the U.S. Drug Enforcement Administration (DEA), that was based, in whole or in part, on the person's inappropriate prescribing, dispensing, diverting, administering, supplying, or selling a controlled substance or other dangerous drug.

(5) "Immediate family member" means husband or wife; natural or adoptive parent; child or sibling; stepparent, stepchild, stepbrother, or stepsister; father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law; grandparent or grandchild; spouse of a grandparent or grandchild; or any person residing in the same residence as the medicinal cannabis practitioner.

(6) "Licensee" means a person licensed by the board to practice medicine or osteopathy in the Commonwealth of Kentucky.

(7) "Medicinal cannabis" is defined by KRS 218B.010(15).

(8) "Medicinal cannabis practitioner" means a medical or osteopathic physician who is authorized to prescribe controlled substances and who is authorized by the board to provide written certifications pursuant to KRS 218B.050 and this administrative regulation.

(9) "Minor" is defined by KRS 218B.010(19).

(10) "PDMP" means the electronic prescription drug monitoring program system for monitoring scheduled controlled substances and medicinal cannabis currently in use in Kentucky pursuant to KRS 218A.202, including the Kentucky All Schedule Prescription Electronic Reporting (KASPER) System.

(11) "Qualified patient" is defined by KRS 218B.010(25).

(12) "Qualifying medical condition" is defined by KRS 218B.010(26).

(13) "Telehealth" is defined by KRS 211.332(5).

(14) "Use of medicinal cannabis" is defined by KRS 218B.010(37).

(15) "Written certification" is defined by KRS 218B.010(39).

Section 2. Applicability. The procedures and standards established in this administrative regulation shall not apply to a licensee who recommends treatment with cannabis or a drug derived from cannabisin accordance with KRS 218B.050(11).

Section 3. Eligibility for Authorization to Provide Written Certifications. A licensee shall be eligible to provide written certifications for the use of medicinal cannabis, pursuant to KRS 218B.050 within the Commonwealth of Kentucky, if the licensee:

(1) Holds a license issued by the board to practice medicine or osteopathy in the Commonwealth of Kentucky in good standing;

(2) Holds a valid DEA permit;

(3) Is registered to use any PDMP currently in use in the Commonwealth of Kentucky pursuant to KRS 218A.202;

(4) Holds no ownership or investment interest in or compensation agreement with a cannabis business licensed under KRS Chapter 218B;

(5) Pursuant to Section 6 of this administrative regulation, has completed the required number of hours of education in a course or courses approved by the board specific to:

(a) Diagnosing qualifying medical conditions;

(b) Treating qualifying medical conditions with medicinal cannabis; and

(6) Has submitted an initial or renewal application for authorization to provide written certifications for the use of medicinal cannabis and received confirmation of its process pursuant to Sections 4 and 5 of this administrative regulation.

Section 4. Procedures for Submitting an Initial Application for Authorization to Provide Written Certifications.

(1) To become a medicinal cannabis practitioner an initial applicant shall:

(a) Submit to the board a completed Initial Application for Authorization to Provide Written Certifications for the Use of Medicinal Cannabis;

(b) Submit proof of completion of six (6) hours of education established in Section 6 of this administrative regulation; and

(2) Upon receipt of an initial application, the board shall review all application materials submitted and determine whether the licensee meets qualifications to become a medicinal cannabis practitioner.

(a) The board may contact individuals, agencies, or organizations for information about the licensee.

(b) If deemed appropriate by the board or its staff, the board may require a licensee to appear before the board to answer questions or provide additional information deemed appropriate for the board to make an informed decision about the licensee's qualifications.

(c) If the board or its staff determines that the licensee is not qualified to become a medicinal cannabis practitioner or if the board or its staff is unable to independently verify whether the licensee meets the qualifications to become a medicinal cannabis practitioner, the board shall notify the licensee of the grounds upon which the initial application shall not be approved.

(3) A licensee shall become an authorized medicinal cannabis practitioner effective upon written or electronic notification from the board that the initial application has been processed and approved.

(4) Unless initially issued or annually renewed between January 1 and March 1 in accordance with Section 5 of this administrative regulation, the authorization to provide written certifications for the use of medicinal cannabis shall expire on March 1.

(5) If a medicinal cannabis practitioner fails to renew before March 1 of any subsequent year, the practitioner may apply as an initial applicant in accordance with the procedures established in this section.

Section 5. Process and Procedures for Renewing Authorization to Provide Written Certifications.

(1) If a medicinal cannabis practitioner fails to renew his or her medical license and authorization by March 1 of any calendar year following the calendar year of initial application, the authorization shall become inactive.

(2) On or about January 1 of each calendar year after initial issuance, the board shall send notification to all medicinal cannabis practitioners that annual renewal of their authorization shall be executed on or before March 1. The notification shall indicate the annual renewal fee and shall advise the medicinal cannabis practitioner that failure to timely renew by March 1 shall cause his or her authorization to become inactive.

(3)

(a) All notifications required to be sent by this administrative regulation shall be sent:

By mail to the medicinal cannabis practitioner's last known address of which the board has record; or
Electronically to the medicinal cannabis practitioner 's last known email address of which the board has record.

(b) Failure of the medicinal cannabis practitioner to receive notice if sent to the last known address or last known email address shall not excuse the medicinal cannabis practitioner from compliance with KRS Chapter 218B or this administrative regulation.

(4) To renew an authorization to provide written certifications, a medicinal cannabis practitioner shall:

(a) Submit to the board a completed Renewal Application for Authorization to Provide Written Certifications for the Use of Medicinal Cannabis;

(b) Attest to the completion of three (3) hours of education established in Section 6 of this administrative regulation; and

Section 6. Continuing Education.

(1) A medicinal cannabis practitioner shall not issue a written certification for use of medicinal cannabis to any patient unless that licensee has completed the minimum hours of continuing medical education established in this section.

(2) Within the immediate twelve (12) months prior to submitting an initial application, a medicinal cannabis practitioner shall complete at least six (6) hours of continuing medical education certified in Category I specific to:

(a) Diagnosing qualifying medical conditions;

(b) Treating qualifying medical conditions with medicinal cannabis; and

(3) Within the immediate twelve (12) months prior to submitting a renewal application, a medicinal cannabis practitioner shall complete at least three (3) hours of continuing medical education certified in Category I specific to:

(a) Diagnosing qualifying medical conditions;

(b) Treating qualifying medical conditions with medicinal cannabis; and

Section 7. Reasons for which Authorization to Provide Written Certifications for the Use of Medicinal Cannabis may be Suspended or Revoked.

(1) The board may probate, restrict, suspend, or revoke a medicinal cannabis practitioner's authorization to provide written certifications upon proof that the medicinal cannabis practitioner has violated any of the provisions established in KRS 311.595 or committed violations in accordance with KRS 218B.015(3)(b).

(2) The board may probate, restrict, suspend, or revoke a medicinal cannabis practitioner's authorization to provide written certifications upon proof that the medicinal cannabis practitioner has provided a written certification to an immediate family member of the medicinal cannabis practitioner.

(3) Notwithstanding subsections (1) and (2) of this section, the board may issue an emergency order, in accordance with KRS 311.592 and KRS 13B.125, suspending, limiting, or restricting a medicinal cannabis practitioner's authorization to provide written certifications at any time the board has probable cause to believe that:

(a) In accordance with KRS 218B.015(3)(b), the medicinal cannabis practitioner has violated any provision of KRS Chapter 218B;

(b) The medicinal cannabis practitioner has actively engaged in the practice of medicine or osteopathy or operated a motor vehicle while under the influence of or while consuming medicinal cannabis;

(d) The medicinal cannabis practitioner has a medically diagnosable disease that is characterized by chronic, habitual or periodic use of medicinal cannabis resulting in interference with his or her professional, social, or economic functions in the community or the loss of powers of self-control regarding the use of medicinal cannabis;

(e) The medicinal cannabis practitioner has violated the terms of an agreed order or a disciplinary order; or

(f) The medicinal cannabis practitioner's practice constitutes a danger to the health, welfare, and safety of patients or the general public.

(4) A medicinal cannabis practitioner may be ordered by the board to submit to a mental or physical examination, including impairment evaluation, in accordance with KRS 311.599.

Section 8. Minimal Standards of Care for Providing Written Certifications.

(1) A medicinal cannabis practitioner shall only provide a patient with a written certification after the medicinal cannabis practitioner has complied with the requirements established by KRS 218B.050(4).

(2) A bona fide practitioner-patient relationship may be established pursuant to KRS 218B.050(5).

(3) A medicinal cannabis practitioner shall comply with the written certification requirements established by KRS 218B.050(6).

(4) A medicinal cannabis practitioner shall comply with the professional standards established in this subsection.

(a) Prior to providing a written certification, the medicinal cannabis practitioner shall obtain and document all relevant information in a patient's medical record in a legible manner and in sufficient detail to enable the board to determine whether the licensee is conforming to the requirements of KRS Chapter 218B and this administrative regulation. Relevant information shall include as appropriate:

The patient's medical history, including:

a. The patient's mental health and psychiatric history;

b. The patient's history of drug use, including a documented review of the patient's current medication to identify possible drug interactions, including benzodiazepines and opioids;

c. Prior treatments; and

d. Diagnostic, therapeutic, and laboratory results;

A focused physical examination relevant to the patient's medical condition;
Evaluations and consultations;
Diagnosis of the patient's qualifying medical condition;
Treatment objectives with use of medicinal cannabis;
Discussion of risk, benefits, limitations, and alternatives to the of use of medicinal cannabis;
Written informed consent;
Instructions and agreements;
Periodic reviews of the patient's file;
Follow up evaluations; and
Results and analysis of the patient's PDMP information.

(b) Prior to providing an initial written certification or renewing a written certification, the medicinal cannabis practitioner shall query and review a PDMP report for the patient for the twelve (12) month period immediately preceding the written certification and appropriately utilize that information in the evaluation and treatment of the patient.

(c) If the patient is a female of childbearing potential and age, the medicinal cannabis practitioner shall recommend the patient to submit to a pregnancy test and shall factor the results of that test into the clinical decision as to the appropriateness of the use of medicinal cannabis.

(d) Based on evidence or behavioral indications of addiction or drug abuse, the medicinal cannabis practitioner shall obtain a drug screen on the patient. It shall be within the medicinal cannabis practitioner's discretion to decide the nature of the screen and which type of drug to be screened.

(e) A medicinal cannabis practitioner shall be available to provide follow-up care and treatment to the patient, including physical examinations relevant to the patient's condition to determine the efficacy of medicinal cannabis in treating the patient's qualifying medical condition. If the qualifying condition was indicated as a terminal illness in the prior six (6) months, the medicinal cannabis practitioner shall confirm whether the patient's condition continues to be a terminal illness.

(f) A medicinal cannabis practitioner shall terminate or decline to issue a new written certification to a patient, and shall notify the cabinet in writing of the patient's name if:

The patient no longer has the diagnosis of or symptoms of the qualifying medical condition;
The medicinal cannabis practitioner is not authorized to issue a written certification;
The medicinal cannabis practitioner has reason to believe that the patient or a caregiver is abusing or diverting medicinal cannabis; or
The patient is deceased.

(g) If the medicinal cannabis practitioner is unable to conform to the professional standards established in this administrative regulation due to circumstances beyond the licensee's control, or the medicinal cannabis practitioner makes a professional determination that it is not appropriate to comply with a specific standard established in this administrative regulation based upon the individual facts applicable to a specific patient's diagnosis and treatment, the medicinal cannabis practitioner shall document those circumstances in the patient's record and only provide a written certification to the patient if the patient's record appropriately justifies the use of medicinal cannabis under the circumstances.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial Application for Authorization to Provide Written Certifications for the Use of Medicinal Cannabis", 09/2023; and

(b) "Renewal Application for Authorization to Provide Written Certifications for the Use of Medicinal Cannabis", 09/2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Medical Licensure, 310 Whittington Parkway, Suite 1B, Louisville, Kentucky 40222, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at http://kbml.ky.gov.

History

RELATES TO: KRS 13B.125, 218B.015, 218B.050, 218A.202, 218B.202, 311.592, 311.595, 311.599
STATUTORY AUTHORITY: KRS 218B.050(10), 311.565(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. KRS 218B.050(10) requires the board to promulgate administrative regulations to establish procedures for applying for authorization to provide written certifications; the conditions that shall be met to be eligible for authorization to provide written certifications; the process and procedures for renewing authorization to provide written certifications; the continuing education requirements for medicinal cannabis practitioners; the reasons for which authorization to provide written certifications for the use of medicinal cannabis may be suspended or revoked; and the minimal standards of care, including record maintenance and follow up care requirements.
History: 50 Ky.R. 1709, 1871; eff. 3-21-2024.

201 KAR 9:071 Temporary and emergency permits {#sec-201-kar-9-071 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:071}

Section 1. Temporary Permits. Upon satisfactory completion of all forms and the submission of all necessary information in connection with an application for regular licensure to practice medicine or osteopathy, the executive director may issue a temporary permit to the applicant if the executive director believes that the applicant satisfies all the requirements for regular licensure and is otherwise fit to practice. The temporary permit shall enable the holder to practice as allowed pursuant to KRS 311.575 and shall remain in effect until the holder is issued a regular license by the board or until cancelled, but in no event shall the temporary permit be effective longer than six (6) months from the date of issuance. Denial of an application for regular licensure by the board shall cause the cancellation of a temporary permit if held by the applicant. A temporary permit may not be renewed or reissued.

Section 2. Emergency Permits. A physician licensed in good standing in another state or Canadian province may obtain an emergency permit to practice medicine or osteopathy in the Commonwealth for a period not to exceed thirty (30) days when in the executive director's opinion, based on verifiable information, the physician satisfies the requirements for regular licensure pursuant to KRS 311.571(1) or (2) and an actual medical emergency exists. A medical emergency shall be considered to exist if, in the executive director's opinion, a real and substantial threat to public health or the health of an individual exists which cannot be cured except upon the issuance of the emergency permit. The emergency permit may not be renewed or reissued and shall be immediately cancelled if the medical emergency ceases to exist prior to the passage of thirty (30) days from issuance. An emergency permit may be cancelled by the executive director without a prior hearing when in the executive director's opinion, based upon reasonable cause, the continuance of the permit would not be in the best interest of the Commonwealth. An emergency permit does not enable a physician to practice beyond the geographical area or scope of practice encompassed by the medical emergency.

History

RELATES TO: KRS 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. The purpose of this administrative regulation is to establish standards and rules regarding temporary and emergency permits.
History: 201 KAR 009:071. 11 Ky.R. 316; eff. 10-9-1984; Crt eff. 7-6-2018; Crt eff. 5-27-2025.

201 KAR 9:081 Disciplinary proceedings {#sec-201-kar-9-081 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:081}

Section 1. Definitions.

(1) "Applicant" means a person who is applying for an initial license or applying to reregister an inactive license to practice medicine or osteopathy or to practice as a physician assistant in the Commonwealth of Kentucky.

(2) "Board" is defined by KRS 311.550(1).

(3) "Charge" is defined by KRS 311.550(14).

(4) "Complaint" is defined by KRS 311.550(15).

(5) "Executive director" is defined by KRS 311.550(4).

(6) "General Counsel" is defined by KRS 311.550(5).

(7) "Grievance" is defined by KRS 311.550(13).

(8) "Hearing officer" means the person designated and given authority by the board to preside over all proceedings pursuant to the issuance of any complaint or show cause order.

(9) "License" means a license to practice medicine or osteopathy or to practice as a physician assistant.

(10) "Licensee" means a person licensed by the board to practice medicine or osteopathy or a person licensed by the board to practice as a physician assistant in the Commonwealth of Kentucky.

(11) "Relating to a controlled substance" means any conviction or plea to a criminal charge, regardless of adjudication or the title of the offense named in the plea or judgment of conviction, that is determined from all available facts to have been based upon or resulted from, in whole or part, an allegation of conduct involving the improper, inappropriate, or illegal use, possession, transfer, prescribing, or dispensing of a controlled substance.

(12) "Relating to prescribing or dispensing or administering a controlled substance" means any conviction or plea to a criminal charge, regardless of adjudication or the title of the offense named in the plea or judgment of conviction, that is determined from all available facts to have been based upon or resulted from, in whole or part, an allegation of conduct involving the improper, inappropriate, or illegal prescribing, dispensing, or administering of a controlled substance.

(13) "Show cause order" means an order issued pursuant to KRS 311.572.

Section 2. Reception of Grievances; Investigations.

(1)

(a) A grievance may be submitted by any individual, organization, or entity.

(b)

The board shall provide a copy of the Information on Filing a Grievance, the Consumer's Guide to the KBML, the Grievance Form, and the Waiver of Privilege, Agreement to Release Records to a party who wants to register a grievance against a licensee.
Each grievance shall be filed on the Grievance Form; and

a. Include the name and address of the party filing the grievance; or

b. Be filed anonymously, subject to paragraph (d) of this subsection.

(d) If the board receives an anonymous grievance, an investigation shall be conducted if the grievance is accompanied by sufficient corroborating evidence as would allow the board to believe, based upon a totality of the circumstances, that a reasonable probability exists that the grievance is meritorious.

(2)

(a) The board shall initiate each investigation pertaining to prescribing or dispensing or administering of a controlled substance within seventy-two (72) hours of the date of receipt of the grievance.

(b) Except as provided by subsection (1)(d) of this section, each grievance shall be investigated as necessary and as promptly as possible, and presented to the inquiry panel for review.

(c) An investigation pertaining to prescribing or dispensing or administering of a controlled substance shall be presented to the inquiry panel within 120 days of the date of receipt of the grievance unless the circumstances of a particular grievance make it impossible to timely present the grievance to the inquiry panel.

(d)

The executive director may hold an investigation pertaining to prescribing or dispensing or administering of a controlled substance in abeyance for a reasonable period of time in order to permit a law enforcement agency to perform or complete essential investigative tasks, following a request by the requesting law enforcement agency.
If an investigation pertaining to prescribing or dispensing or administering of a controlled substance is not presented to the inquiry panel within 120 days of the date of receipt of the grievance, the investigative report shall plainly state the circumstances of that particular grievance or investigation that made timely presentation to the inquiry panel impossible.

(e) The inquiry panel or executive director shall have the authority to direct any investigation and shall possess any and all powers possessed by the board in regard to investigations as provided by KRS 311.591, 311.605, and 311.850(2).

(f) The inquiry panel shall further be empowered to request the attendance of any person at any meeting of the inquiry panel in regard to the investigation of any grievance or consideration of any disciplinary matter.

(g) The failure, without good cause, of any licensee to appear before the inquiry panel when requested shall be considered unprofessional conduct in violation of KRS 311.595(9) and 311.850(1)(s).

(3) The inquiry panel shall be empowered to request compliance with the reporting requirements of KRS 311.605 or 311.606 and may pursue an investigation, on its own initiative, in regard to an act of noncompliance or any other perceived violation of board statutes.

Section 3. Reports and Recommendations; Petitions.

(1) If the inquiry panel determines that a grievance warrants the issuance of a complaint against a licensee, the inquiry panel shall cause a complaint to be prepared.

(2) If the panel chair determines that a grievance warrants the issuance of a complaint against a licensee and circumstances do not allow the timely presentation of the grievance to the inquiry panel, the panel chair shall cause a complaint to be prepared.

(3) If the inquiry panel determines that a disciplinary matter warrants the issuance of a show cause order against a licensee, the inquiry panel shall cause a proposed order to be prepared.

(4) The board may issue a show cause order against a licensee in regard to any application for licensure, obtaining, retaining, or reobtaining licensure.

Section 4. Complaints. The complaint issued by an inquiry panel shall:

(1) Be signed and dated;

(2) Be styled in regard to the matter of the license to practice in the Commonwealth of Kentucky held by the named licensee and designated with an appropriate case number; and

(3) Set forth:

(a) The board's jurisdiction in regard to the subject matter of the complaint; and

(b) In numerical paragraphs, sufficient information to apprise the named licensee of the general nature of the charges.

Section 5. Show Cause Orders. The show cause order shall:

(1) Be signed and dated by an officer of the board;

(2) Be styled in regard to the license, application for license, or application for renewal, registration, or reregistration of a license to practice in the Commonwealth of Kentucky held by or submitted by the named licensee, appropriately, and designated with an appropriate order number;

(3) Set forth:

(a) The board's jurisdiction in regard to the subject matter of the order; and

(b) In numerical paragraphs, the information which the board accepts to be true and the statutory basis for the board's finding that grounds exist for the discipline of the named licensee's license; and

(4) Direct the named licensee to show cause why disciplinary action should not be taken in view of the matters expressed in the order.

Section 6. Orders to Respond. Upon issuance of a complaint, the inquiry panel shall notify the charged licensee that:

(1) A response is due within thirty (30) days after receiving notice of the complaint; and

(2) Failure to respond within that time period may be taken by the board as an admission of the charges.

Section 7. Notice and Service of Process. Each notice shall be issued as required by KRS 13B.050.

Section 8. Proceedings Pursuant to the Issuance of a Complaint or Show Cause Order.

(1) Appointment of hearing officer. The board shall appoint a hearing officer in accordance with KRS 13B.030 and 13B.040.

(2) Appointment of the prosecuting attorney. The board's general counsel or assistant general counsel shall act as the prosecuting attorney in regard to any disciplinary proceeding, unless the board appoints a special prosecuting attorney. The prosecuting attorney shall not participate in any deliberations of the board pursuant to the issuance of a complaint, show cause order, or order of temporary discipline.

(3) Appointment of advisory counsel. The board may appoint a representative of the Attorney General's office, the board's general counsel, or other attorney to act as advisory counsel to the board in regard to any deliberations of the board pursuant to the issuance of a complaint, show cause order, or order of temporary discipline.

(4) The provisions of KRS Chapter13B shall govern the conduct of each proceeding.

Section 9. Mandatory Reporting; Disciplinary Sanctions; Emergency Action; Expedited Proceedings.

(1)

(a) Except as provided by KRS 431.073(7) and 533.258(2), every applicant shall report upon the applicant's initial application:

Any criminal conviction sustained or any plea of guilt, plea of nolo contendere, or Alford plea the applicant has entered to criminal charges in any state, regardless of adjudication;
any disciplinary action taken or sanction imposed upon the applicant's license to practice in any state, to include surrendering or placing the applicant's license in an inactive or retirement status to resolve a pending investigation by the licensing authority; and
if the applicant is currently under investigation by the licensing authority of any other state for possible violations of the licensing or regulatory statutes of that state.

(b) Failure to report a criminal conviction or plea, or action taken by another licensing board, as required of an applicant by paragraphs (a)1. through 3. of this subsection, shall constitute a violation of the operative licensing statutes and may be grounds for denial of a license.

(c) Upon a finding by the board that the applicant committed a violation, the board shall consider and give weight to the legislative intent expressed in KRS 218A.205(3)(f) when exercising its discretion whether to deny or grant the license or to grant the license subject to terms of restriction or limitation.

(d) If an applicant reports being the subject of a pending criminal investigation or of a pending investigation by a state licensing authority, the board shall defer any action upon that application until it has received official notice that the criminal or state licensing investigation has been completed and official notice of what action was taken as a result of the investigation.

(2)

(a) Every licensee shall report to the board:

any criminal conviction or plea of guilt, nolo contendere, or Alford plea to any criminal charges, regardless of adjudication, within ten (10) days of the entry of judgment of conviction or the entry of the plea, entered into in any state. As part of this reporting, the licensee shall provide a copy of the judgment of conviction or plea documents.
any disciplinary action taken or sanction imposed upon the person's license in any state, including surrendering a license or placing a license into inactive or retired status to resolve a pending licensing investigation, within ten (10) days. As part of this reporting requirement, the licensee shall provide a copy of the order issued by or entered into with the other licensing board.

(b) Failure to report a criminal conviction or plea, or action taken by another licensing board as required of a licensee by paragraphs (a)1. and 2. of this subsection, shall constitute a violation of the operative licensing statutes and may be grounds for discipline of a license.

(c) Upon a finding by the board that the licensee committed a violation, the appropriate panel shall consider and give weight to the legislative intent expressed in KRS 218A.205(3)(f) when exercising its discretion whether to impose discipline, including up to indefinite restriction or revocation, against the license.

(d)

Failure to report a criminal conviction, a plea, or a disciplinary sanction by another licensing board as required by this section shall constitute a violation of law which constitutes an immediate danger to the public health, safety, or welfare.
If the board or one (1) of its panels learns that a licensee has suffered a qualifying criminal conviction or disciplinary sanction and has failed to report it as required by this section, the panel or its chair may immediately issue an emergency order appropriately suspending or restricting the licensee in accordance with this section.
If an emergency order is issued and an emergency hearing is conducted pursuant to KRS 13B.125(3), the hearing officer shall not modify or amend the scope of the emergency order if there is substantial evidence to support the finding that the licensee failed to report a qualifying criminal conviction or disciplinary sanction as required by this section.

(e)

If the only violation charged in a complaint against the licensee is a criminal conviction or disciplinary sanction described in this section, and the conviction or disciplinary action may be proved by accompanying official certification, the board shall take appropriate steps to expedite the resolution of that complaint.
Following receipt of the licensee's response to the complaint, board counsel shall promptly file a motion for summary disposition on the ground that no genuine issues of material fact are in dispute, pursuant to KRS 13B.090(2).
The licensee shall file a response to the motion for summary disposition within twenty (20) days of receipt of the motion.

a. The licensee shall not re-litigate either the criminal conviction or disciplinary sanction.

b. The licensee may offer as defense that the certification of the document is fraudulent.

a. The hearing officer shall issue a ruling upon the motion as soon as possible but no later than thirty (30) days after the motion is submitted for decision.

b. If the hearing officer issues a recommended order, the recommended order shall be presented to the board's hearing panel at its next meeting for resolution and imposition of the sanction permitted by this section.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Information on Filing a Grievance", January 2013;

(b) "Consumer's Guide to the KBML", January 2013;

(d) "Waiver of Privilege, Agreement to Release Records", January 2013.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Medical Licensure, 310 Whittington Parkway, Suite 1B, Louisville, Kentucky 40222, Monday through Friday, 8:00 a.m. to 4:30 p.m.

History

RELATES TO: KRS 218A.205, 311.530-311.620, 311.840-311.862, 311.990
STATUTORY AUTHORITY: KRS 218A.205(3)(d), (e), (f), (5), (6), 311.565(1)(a), (i), 311.595, 311.597, 311.601, 311.842(1), 311.850
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) and (i) and KRS 311.842(1) authorize the board to promulgate administrative regulations to regulate the conduct of licensees and to promote the efficient and fair conduct of disciplinary proceedings. KRS 311.595 and 311.597 authorize disciplinary action against licensees for specified offenses. KRS 311.850 authorizes disciplinary action against physician assistant licensees. KRS 218A.205(3)(d), (e), and (f) require the board to promulgate an administrative regulation establishing procedures for disciplinary action against licensees who are authorized to prescribe controlled substances, including the enforcement of licensure standards to restrict the practice of a licensee or an applicant engaged in improper conduct. KRS 218A.205(6) authorizes the board to allow by administrative regulation an anonymous complaint or grievance. KRS 311.601 authorizes the board to adopt administrative regulations to effectuate and implement the provisions of KRS 311.550 to 311.620 in regard to physicians, and KRS 311.842(1) authorizes the board to adopt administrative regulations to license and regulate the practice of physician assistants in regard to KRS 311.840 to 311.862. This administrative regulation establishes the procedures to be followed in handling formal and informal disciplinary proceedings before the board, to conduct the proceedings with due regard for the rights and privileges of all affected parties.
History: 11 Ky.R. 317; Am. 557; eff. 10-9-1984; 13 Ky.R. 670; eff. 11-11-1986; 16 Ky.R. 1230; eff. 2-3-1990; 20 Ky.R. 1658; 2615; eff. 3-14-1994; 39 Ky.R. 521; 1655; 1997; eff. 3-4-2013; 40 Ky.R. 1130; 1393; eff. 1-15-2014; 42 Ky.R. 2800; 43 Ky.R. 12; eff. 7-20-2016; 47 Ky.R. 1053, 1540; eff. 2-11-2021.

201 KAR 9:082 Informal proceedings {#sec-201-kar-9-082 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:082}

Section 1. Commencement of Informal Proceedings. At any time after the authorized issuance of a complaint or the issuance of a show cause order, the responding physician may seek an informal dispensation of any matter upon signing a waiver that states that the physician waives his or her right to raise any constitutional, statutory or common law objection should the board reject the informal proposal or if informal proceedings are curtailed by the general counsel. The general counsel shall have complete discretion to negotiate with the responding physician concerning stipulations of fact, conclusions of law and proposed discipline. The general counsel shall also have discretion to reject any or all offers of informal dispensation and may commence informal proceedings on his or her own initiative.

Section 2. Presentation of Proposal to Board. Whenever the general counsel believes that an appropriate informal dispensation has been negotiated, he or she shall cause to be presented to the board the responding physician's signed waiver and stipulations of fact, conclusions of law and a proposed order of informal dispensation signed by the responding physician and the general counsel. The documents shall include a line for the signature of an officer of the board and shall become effective upon being accepted by the board, signed by an officer and filed of record.

Section 3. Effect of Rejection. If the board rejects an offer of informal dispensation, the matter shall continue to proceed as a formal proceeding, provided, however, that further informal negotiations may be conducted and subsequent offers of informal dispensation presented to the board. Rejection shall not be taken as a finding or determination of any kind on behalf of the board and no orders or other pleadings shall be filed of record in regard to any rejected proposal.

Section 4. Oral or Written Presentation. The board may allow oral or written presentation before the board in regard to any offer of informal dispensation. Oral presentations shall not be recorded and written presentations shall not be filed of record or included in the board's minutes. All oral and written presentations shall be heard and considered in closed session.

History

RELATES TO: KRS 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565 empowers the State Board of Medical Licensure to exercise all the administrative functions of the state in the prevention of empiricism and in the administrative regulation of the practice of medicine and osteopathy and authorizes the board to establish requirements and standards relating thereto. The purpose of this administrative regulation is to establish rules regarding the institution of informal proceedings pursuant to KRS 311.591(10).
History: 201 KAR 009:082. 11 Ky.R. 320; eff. 10-9-1984; Crt eff. 12-20-2018; Crt eff. 10-24-2025.

201 KAR 9:084 Fee schedule regarding physician assistants {#sec-201-kar-9-084 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:084}

Section 1. Fee Schedule. The board shall charge the following fees:

(1) Application for a license, $100.

(2) Application for a temporary license, fifty (50) dollars.

(3) Conversion from a temporary license to a license, fifty (50) dollars.

(4) Fee for biennial renewal of license, $150.

(5) Penalty fee for late renewal of license, fifty (50) dollars.

(6) Issuance of a duplicate license certificate, ten (10) dollars.

(7) Application by a physician for approval to employ a physician assistant, $100.

(8) Application to transfer the responsibility of the supervising physician to an approved supervising physician agent, fifty (50) dollars.

(9) Fee for emergency permit, fifteen (15) dollars.

(10) Fee for supervising physician of physician assistant holding an emergency permit, fifteen (15) dollars.

(11) Fee for activation of an inactive license, $150.

History

RELATES TO: KRS 311.565(1)(u), 311.842(2)(b), 311.844(1)(a), (3), 311.854(2)
STATUTORY AUTHORITY: KRS 311.842(1), (2)(e)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(u) authorizes the board to prescribe and collect reasonable fees and charges for the issuance or renewal of a license or permit. KRS 311.842(1) authorizes the board to promulgate administrative regulations relating to the licensing and regulation of physician assistants. This administrative regulation establishes a schedule of fees for relating to physician assistants.
History: 201 KAR 009:0843. 13 Ky.R. 808; eff. 11-11-1986; 20 Ky.R. 1661; eff. 3-14-1994; 21 Ky.R. 476; 1028; eff. 9-21-1994; 25 Ky.R. 2422; 26 Ky.R. 370; eff. 8-16-1999; 33 Ky.R. 1430; 1794; eff. 2-2-2007; Crt eff. 9-28-2018; Crt eff. 9-10-2025.

201 KAR 9:086 License renewal and registration; reregistration of inactive license for physician assistants {#sec-201-kar-9-086 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:086}

Section 1. Renewal of an Active License. On or about February 1, every two (2) years, the executive director shall send by electronic communication ("email") notification to all physician assistants ("licensees") holding an active regular license to practice as a physician assistant in the Commonwealth that renewal of their license shall be executed on or before March 31 of that same year. The notification shall indicate the renewal fee and shall warn the licensee that failure to timely renew shall cause his or her license to become inactive.

Section 2. Survey.

(1) In conjunction with the notification required to be sent by Section 1 of this administrative regulation, the executive director shall also send a survey to be completed by the licensee's current or most recent primary supervising physician.

(2) The survey shall ask the supervising physician to evaluate the licensee's reliability, accountability, and fund of medical knowledge and to recommend whether to approve or deny renewal of the licensee's renewal application.

(3) A license shall not be renewed, or an inactive license activated, until the survey has been completed to the executive director's satisfaction.

Section 3. Late Renewal.

(1) Any licensee holding a regular license who fails to renew his or her active license on or before March 31 of the year notified shall be sent a second notification that shall indicate the renewal fee, the penalty fee for late renewal, and the time allowed for late renewal, which shall not be longer than thirty (30) days beyond the date designated on the first notification for renewal.

(2) If the licensee fails to complete a late renewal of his or her active license on or before April 30 of that same year, the license shall be considered inactive or cancelled accordingly and continued practice by the physician assistant shall be considered unauthorized and unlicensed.

Section 4. Activation of Inactive Regular License.

(1) Upon failure of a licensee to renew his or her active license before the expiration of the time allowed for late renewal, the license shall become inactive and continued practice by the physician assistant shall be considered unauthorized and unlicensed.

(2) At any subsequent time, the holder of an inactive license may apply to activate his or her inactive license by paying the fee for activation of an inactive license, and satisfactorily completing the forms necessary for obtaining sufficient information concerning the physician assistant's present fitness to practice.

Section 5. All notifications required to be sent by this administrative regulation shall be sent by email to the licensee's last known self-entered email address of which the board has record. Failure of the licensee to receive notice if emailed to the licensee's last known self-entered email address shall not excuse the licensee from compliance with statutes or this administrative regulation.

History

RELATES TO: KRS 311.842, 311.844
STATUTORY AUTHORITY: KRS 311.565, 311.842(1), 311.842(2)(e)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.842(1) authorizes the board to promulgate administrative regulations relating to the licensing and regulation of physician assistants. This administrative regulation establishes procedures and rules regarding the renewal and activation of inactive licenses held by physician assistants.
History: 201 KAR 009:086. 52 Ky.R. 1485, 1805; eff. 7-16-2026.

201 KAR 9:200 National Practitioner Data Bank reports {#sec-201-kar-9-200 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:200}

Section 1.

(1)

(a) The board shall submit a query to the National Practitioner Data Bank on each applicant for initial licensing within the Commonwealth of Kentucky, to retrieve any relevant data on the applicant.

(b) The board shall not grant an initial license within the Commonwealth unless and until it has received and reviewed the National Practitioner Data Bank report for that applicant.

(2) The board shall promptly report each order issued by its panels, whether a final order or an agreed order, relating to a specific licensee to the National Practitioner Data Bank.

History

RELATES TO: KRS 218A.205, 311.565, 311.571, 311.595, 311.842, 311.850
STATUTORY AUTHORITY: KRS 218A.205(3)(g),(h), 311.565(1)(a), (k), 311.842(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(b) authorizes the board to promulgate administrative regulations establishing moral, physical, intellectual, educational, scientific, technical, and professional qualifications of applicants for licenses and permits that may be issued by the board. KRS 311.842(1) requires the board to promulgate administrative regulations relating to the licensing and regulation of physician assistants. KRS 311.595 establishes the legal grounds for denial for an application for licensing physicians. KRS 311.850 establishes the legal grounds for denial for an application for licensing physician assistants. KRS 218A.205(3)(g) requires the board to promulgate an administrative regulation that establishes a procedure for continuous submission of all disciplinary and other reportable information to the National Practitioner Data Bank. KRS 218A.205(3)(h) requires the board to promulgate an administrative regulation establishing a procedure to submit a query on each applicant for licensure to the National Practitioner Data Bank to retrieve any relevant data on the applicant. This administrative regulation establishes the requirements of obtaining information from and reporting information to the National Practitioner Data Bank.
History: 39 Ky.R. 660; Am. 1660; eff. 3-4-2013; Crt eff. 1-15-2020; Ky.R. 47 366, 943; eff. 11-19-2020.

201 KAR 9:210 Criminal background checks required for all new applicants {#sec-201-kar-9-210 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:210}

Section 1.

(1) The board shall obtain a fingerprint-supported criminal record check conducted by the Department of Kentucky State Police and Federal Bureau of Investigation, on each applicant for initial licensing to practice medicine or osteopathy or to practice as a physician assistant within the Commonwealth of Kentucky.

(2) The board shall not grant an initial license to practice medicine or osteopathy or to practice as a physician assistant within the Commonwealth until it has received and reviewed the criminal background investigations by both the Department of Kentucky State Police and the Federal Bureau of Investigation for that applicant.

History

RELATES TO: KRS 218A.205, 311.565, 311.571, 311.595, 311.850
STATUTORY AUTHORITY: KRS 218A.205(8), 311.565(1)(b), (k), (t), 311.842(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(b) authorizes the board to promulgate administrative regulations establishing moral, physical, intellectual, educational scientific, technical, and professional qualifications of applicants for licenses and permits that may be issued by the board. KRS 311.842(1) requires the board to promulgate administrative regulations relating to the licensing and regulation of physician assistants. KRS 311.595 establishes the legal grounds for denial for an application for licensing physicians. KRS 311.850 establishes the legal grounds for denial for an application for licensing physician assistants. KRS 311.565(1)(t) authorizes the board to require a criminal background investigation of all persons applying for licensure at the time of initial application by means of a fingerprint check by the Department of Kentucky State Police and Federal Bureau of Investigation. KRS 218A.205(8) requires the board to promulgate an administrative regulation establishing a process for obtaining a national and state fingerprint-supported criminal record check for initial applicants of any license that may be authorized to prescribe controlled substances. This administrative regulation establishes the requirement for criminal background checks for all new applicants.
History: 39 Ky.R. 661; Am. 1660; eff. 3-4-2013; Crt eff. 1-15-2020; 47 Ky.R. 368, 943; ’eff. 11-19-2020

201 KAR 9:220 Restriction upon dispensing of Schedule II controlled substances and Schedule III controlled substances containing Hydrocodone {#sec-201-kar-9-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:220}

Section 1.

(1) A physician licensed in Kentucky shall not dispense an amount greater than a forty-eight (48) hour supply of any Schedule II controlled substance or a Schedule III controlled substance containing hydrocodone to any patient, unless the dispensing is done as part of a narcotic treatment program licensed by the Cabinet for Health and Family Services.

(2) A physician licensed in Kentucky shall not act to avoid the limitation upon dispensing established in subsection (1) of this section by dispensing a Schedule II controlled substance or a Schedule III controlled substance containing hydrocodone to a patient on consecutive or multiple occasions.

(3) Any violation of this section shall be considered a violation of KRS 311.595(12) and of 311.595(9), as illustrated by KRS 311.597(1)(b), and shall constitute a legal basis for disciplinary action pursuant to KRS 311.595.

History

RELATES TO: KRS 218A.205(3)(b), 311.595(9), (12), 311.597
STATUTORY AUTHORITY: KRS 218A.205(3)(b), 311.565(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of licensees. KRS 218A.205(3)(b) requires the board to promulgate an administrative regulation to prohibit a practitioner from dispensing greater than a forty-eight (48) hour supply of any Schedule II controlled substance or a Schedule III controlled substance containing hydrocodone unless the dispensing is done as part of a narcotic treatment program licensed by the Cabinet for Health and Family Services. This administrative regulation establishes that prohibition.
History: 39 Ky.R. 661; Am. 1660; eff. 3-4-2013; Crt eff. 1-15-2020.

201 KAR 9:230 Required registration in the KASPER system; legal requirements for prescribing controlled substances in the Commonwealth of Kentucky; enforcement {#sec-201-kar-9-230 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:230}

Section 1.

(1) In order to lawfully prescribe or dispense or administer a controlled substance within the Commonwealth of Kentucky, a licensee shall:

(a) Hold a valid DEA permit to do so; and

(b) Be registered to use the KASPER system as required by KRS 218A.202.

(2) Prescribing, dispensing, or administering a controlled substance without a valid DEA permit or KASPER registration, as required by subsection (1) of this section, shall constitute a violation of KRS 311.595(9) and (12) or 311.850 that constitutes an immediate danger to the public health, safety, or welfare, for the purposes of KRS 311.592, 311.852,and 13B.125.

(3)

(a) If the board receives documentation from the Cabinet for Health and Family Services that a licensee holds a valid DEA permit to prescribe, dispense, or administer controlled substances to humans within the Commonwealth of Kentucky, but is not currently registered with the cabinet to use the KASPER system as required by KRS 218A.202, the board shall immediately send written notice, by certified mail return receipt requested, to the licensee that the licensee is required to register with the Cabinet for Health and Family Services to use the KASPER system within seven (7) days of receipt of the written notice.

(b) At the end of the seven (7) day period, the board shall confirm with the Cabinet for Health and Family Services that the licensee registered with the cabinet to use the KASPER system.

(c) If the licensee failed to register with the Cabinet for Health and Family Services to use the KASPER system within the seven (7) days following receipt of the written notice, the appropriate inquiry panel or its chair shall promptly issue an emergency order restricting that licensee from prescribing, dispensing, or administering controlled substances within the Commonwealth of Kentucky until the licensee has registered with the cabinet to use the KASPER system.

(4)

(a) An emergency order restricting a licensee from prescribing, dispensing, or administering controlled substances within the Commonwealth of Kentucky issued pursuant to subsection (3)(c) of this section shall remain valid and in effect until the board has received written verification from the cabinet that the licensee has registered with the cabinet to use the KASPER system.

(b) Upon receipt of the written verification, the panel or its chair shall immediately issue an order terminating the emergency order issued pursuant to subsection (3)(c) of this section.

(5) If a licensee who is affected by an emergency order issued pursuant to subsection (3)(c) of this section requests an emergency hearing pursuant to KRS 13B.125(3), the hearing officer conducting the emergency hearing shall affirm the emergency order of restriction if presented with a written notification on cabinet letterhead stating that the affected licensee holds a valid DEA permit but is not registered with the cabinet to use the KASPER system as required by KRS 218A.202.

Section 2. If a licensee prescribes, dispenses, or administers a controlled substance within the Commonwealth of Kentucky during any period when the licensee is not registered with the cabinet to use the KASPER system, each instance of prescribing or dispensing or administering shall:

(1) Constitute a separate violation of:

(a) KRS 311.595(12) and (9), as illustrated by KRS 311.597(1)(b); or

(b) 311.850(1); and

(2) Serve as the basis for disciplinary sanctions pursuant to KRS 311.595 or 311.850.

History

RELATES TO: KRS 13B.125, 218A.202, 311.565(1)(a), 311.592, 311.595(9), (12), 311.597, 311.842, 311.850(1), 311.852
STATUTORY AUTHORITY: KRS 311.565(1)(a), 311.842(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) and 311.842(1) authorize the board to promulgate administrative regulations to regulate the conduct of its licensees. KRS 311.595(9) and (12) and 311.597 and 311.850(1) authorize disciplinary action against licensees for specified offenses. This administrative regulation establishes requirements for registration in the KASPER system, prescribing controlled substances in the Commonwealth of Kentucky, and enforcement.
History: 39 Ky.R. 663; Am. 1661; eff. 3-4-2013; Crt eff. 1-15-2020; 47 Ky.R. 369; eff. 11-19-2020.

201 KAR 9:240 Emergency orders and hearings; appeals and other proceedings {#sec-201-kar-9-240 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:240}

Section 1. Authority to Issue Emergency Order; Timing.

(1) An inquiry panel or the panel's chair, acting on behalf of the inquiry panel, may issue an emergency order restricting or suspending a licensee's license to practice within the Commonwealth of Kentucky in accordance with KRS 311.592 and 13B.125.

(2) An inquiry panel shall make this determination following a completed investigation pursuant to KRS 311.591(3) at a regularly scheduled meeting of the inquiry panel.

(3)

(a) An inquiry panel's chair may act on behalf of the inquiry panel and issue an emergency order restricting or suspending a licensee's license to practice within the Commonwealth of Kentucky if the panel chair determines that a basis for an emergency order as established in subsection (1) of this section exists and the circumstances of the specific case warrant emergency action prior to the next regularly scheduled meeting of the inquiry panel.

(b) If an emergency hearing is scheduled prior to the next regularly scheduled meeting of the inquiry panel, the panel chair may act on behalf of the inquiry panel and issue the complaint required to support the continuation of the emergency order.

(c) If the panel chair acts on behalf of the inquiry panel pursuant to paragraph (a) or (b) of this subsection, the panel chair shall report any action to the inquiry panel at its next regularly scheduled meeting.

Section 2. Findings of Fact and Conclusions of Law.

(1) The inquiry panel, or the panel chair acting on the panel's behalf, may consider any evidence or information in making a charging decision pursuant to KRS 311.591(3) or in making the determination to issue an emergency order pursuant to Section 1 of this administrative regulation. The evidence or information may include:

(a) An application for licensing or renewal filed by the licensee with any licensing board;

(b) Any prior or current order issued by the board or one (1) of its panels affecting the licensee's Kentucky license;

(c) Any prior or current order issued by another state's licensing authority affecting the licensee's license in that state;

(d) The records of any criminal proceeding involving the licensee;

(e) A report by or record of any governmental agency, including a law enforcement agency report, a Kentucky All Schedule Prescription Electronic Reporting (KASPER) report or summary, or a reference to a governmental agency or KASPER report;

(f) Patient records maintained by the licensee, or summaries of or references to the contents of those records;

(g) Records or reports issued or maintained by a pharmacy;

(h) Records or reports issued or maintained by a hospital, including a peer review report relating to the licensee or medical records of a patient treated by the licensee in the hospital;

(i) Records or reports issued or maintained by any business;

(j) An investigative report prepared by a board investigator, including any summary of a verbal or written statement by a witness or an evidentiary document reviewed by an investigator;

(k) An investigative report prepared by a board investigator involving another investigation conducted by the board relating to the licensee;

(l) An oral or written statement by the licensee, or the licensee's agent, relating to the investigation;

(m) A report of a clinical skills assessment relating to the licensee, including a report by a board-approved assessor, including the Center for Personalized Education for Physicians (CPEP) or LifeGuard;

(n) A physical, mental, or substance abuse evaluation or assessment of the licensee;

(o) A written report of a patient record review conducted by a consultant under contract with the board to perform reviews; or

(p) A written report of a patient record review conducted by a licensed professional performing a review on behalf of the licensee.

(2) The evidence or information considered by the inquiry panel or panel chair, acting on behalf of the inquiry panel, shall constitute the board's record of proceedings relating to the issuance of an emergency order of restriction or suspension.

(3) If the inquiry panel or the panel chair, acting on behalf of the inquiry panel, issues an emergency order of restriction or suspension against a licensee's license, the emergency order shall be a written order and shall include findings of fact and conclusions of law, supported by the board's record of proceedings, upon which the agency bases the emergency order.

(4) Any emergency order shall be served upon the affected licensee in the manner specified in KRS 13B.050(2). The emergency order shall become effective immediately upon receipt by the affected licensee or the licensee's representative.

Section 3. Authority to Issue Emergency Order of Suspension Upon Felony Indictment.

(1) If a licensee is indicted in any state for a crime classified as a felony in that state and the conduct charged relates to a controlled substance, that licensee's practice shall be considered an immediate danger to the public health, safety, or welfare pursuant to KRS 311.592, 311.852, and 13B.125.

(2) If the board receives verifiable information that a licensee has been indicted in any state for a crime classified as a felony in the state of indictment and the conduct charged relates to a controlled substance, the inquiry panel or panel chair, acting on behalf of the inquiry panel, shall immediately issue an emergency order suspending or restricting that licensee's Kentucky license to prohibit the licensee from prescribing, dispensing, administering, or otherwise utilizing a controlled substance in Kentucky, until further order following the final resolution of the criminal charges in the indictment.

(3) The emergency order of suspension shall remain in effect until:

(a) The criminal charges contained in the indictment are finally resolved; and

(b) The board's hearing panel has finally resolved the matter after receipt of the court documents finally resolving the criminal charges in the indictment.

Section 4. Request for and Timing of Emergency Hearing; Waiver.

(1) A licensee required to comply with an emergency order may request an emergency hearing at any time between the effective date of the emergency order and the effective date of an order finally resolving the underlying complaint.

(2)

(a) A request for an emergency hearing shall be presented to the board in writing, but may be submitted by facsimile or email.

(b) Upon receipt of a written request for an emergency hearing, the board shall schedule the emergency hearing on one (1) of the ten (10) working days following the date of receipt of the written request. The day on which the written request is received by the board shall not be considered one (1) of the ten (10) working days.

(c) A written request shall be considered received on a particular work day if it is received by the board during the board's scheduled operating hours for that day. If the board receives a request for an emergency hearing by facsimile or email received after scheduled operating hours, the request shall be considered to have been received the next scheduled work day of the board.

(3)

(a) A written request for an emergency hearing shall be considered a certification by the affected licensee and the licensee's counsel, if any, that the licensee is available to participate in an emergency hearing on any of the ten (10) working days following the date of the board's receipt of the written request for an emergency hearing.

(b) The refusal of the licensee to accept a hearing date on a date specified by the board within the ten (10) working days shall constitute a waiver of the requirement of KRS 13B.125(3) to conduct the emergency hearing within ten (10) working days of receipt of a request.

(c) If there is a waiver of the ten (10) working day requirement, the hearing officer and parties shall schedule the emergency hearing to commence at the next date available to the hearing officer and both parties.

(4)

(a) Unless there is a waiver of the requirement, the board shall commence the emergency hearing within ten (10) working days of receipt of the written request for an emergency hearing.

(b) If the parties are unable to conclude the emergency hearing on the initial date assigned, the emergency hearing shall resume on the next date available to the hearing officer and both parties and shall continue on dates available to the hearing officer and both parties until concluded.

Section 5. Scope and Conduct of Emergency Hearing; Hearing Officer's Role.

(1) The emergency hearing shall be conducted by the inquiry panel, its panel chair, acting on behalf of the inquiry panel, or by a qualified hearing officer appointed by the board's executive director.

(2) The singular function of the party conducting the emergency hearing shall be to determine whether the findings of fact providing the bases for the emergency order are supported by substantial evidence and, if so, constitute one (1) or more violations of KRS 311.595.

(3) Given the ten (10) working day requirement of KRS 13B.125(3) and the unique nature of the hearing, it shall not be practicable pursuant to:

(a) KRS 13B.125(3) to conduct the emergency hearing in conformity with the provisions of KRS 13B.050;

(b) KRS 13B.060;

(d) KRS 13B.080(2);

(e) KRS 13B.080(3){as it relates to discovery orders} or (4){to the extent it conflicts with this administrative regulation};

(f) KRS 13B.090(1){to the extent it prohibits consideration of hearsay evidence}, (2) {other than the requirement that all testimony shall be made under oath or affirmation}, (3), or (7);

(g) KRS 13B.110; or

(h) KRS 13B.120.

(4) There shall not be a motion practice, prior to or as part of the emergency hearing, relating to the legality or validity of the emergency order under consideration or relating to evidentiary issues.

(5)

(a) The standards of acceptable and prevailing practice within the Commonwealth may be determined by an expert review of a licensee's patient records by a qualified expert.

(b) An expert review may be conducted on the board's behalf by a licensed professional who has entered into a contractual relationship with the board to serve as a board consultant. The contractual relationship shall indicate that the board has determined that the professional is legally qualified to provide an expert opinion regarding the standards of acceptable and prevailing practice within the Commonwealth of Kentucky and whether the affected licensee has violated those standards or committed other professional violations of the board's statutes.

(c) The party conducting the emergency hearing shall not conduct a separate hearing or inquiry into the qualifications of the contractual reviewer who performed the record review on behalf of the board or of a licensed professional who performed a record review on behalf of the affected licensee.

(6) The emergency hearing shall be conducted as required by KRS Chapter 13B and this subsection.

(a) The board shall produce and the hearing officer shall accept the record of the proceedings relating to the issuance of an emergency order under consideration.

(b)

The board shall not be required to produce any further evidence to support the emergency order.
The board may call the affected licensee to testify, as if under cross-examination, regarding the factual accuracy of evidence or information cited in the record of proceedings relating to the issuance of the emergency order.

(c) The affected licensee may testify, produce factual evidence, produce hearsay evidence through documents, or call lay witnesses to the extent that the evidence specifically tends to demonstrate that a factual statement relied upon by the board's contractual reviewer or by the inquiry panel or panel chair, acting on behalf of the inquiry panel, is factually incorrect or false.

(d) The affected licensee may only call the board's contractual reviewer for the purpose of cross-examination if the hearing officer determines on the record that the licensee's evidence has established that one (1) or more factual statements relied upon by the contractual reviewer in the expert report is demonstrably false or incorrect. If the hearing officer makes that determination, the affected party may call the board's contractual reviewer for the purpose of cross-examination under the following conditions:

The cross-examination of the board's contractual reviewer is scheduled at the earliest date available to the reviewer and the parties that does not disrupt the normal operation of the reviewer's professional practice and does not disrupt the care of the reviewer's normal patients;
The cross-examination of the board's contractual reviewer is limited to factual statements and opinions rendered in the reviewer's report, and the effect upon an opinion of a determination that one (1) or more underlying factual statements relied upon by the reviewer is false or factually incorrect; and
Upon completion of the cross-examination, the board and the hearing officer may ask questions of the contractual reviewer relevant to the cross-examination.

(7)

(a) Within five (5) working days of completion of the emergency hearing, the hearing officer shall issue a written decision in which the hearing officer shall:

Affirm the emergency order if there is substantial evidence of a violation of law and the inquiry panel has determined that a violation constitutes an immediate danger to the public health, safety, or welfare. If there is substantial evidence of a violation of law, the hearing officer shall not substitute his or her judgment as to the level of public protection necessary for the emergency order;
Revoke the emergency order if there is no substantial evidence of a violation of law. The findings of fact shall be found to be supported by substantial evidence if there is a factual basis for the findings, even if there is a conflict in the evidence or information considered by the inquiry panel or panel chair, acting on behalf of the inquiry panel. A finding that there is no substantial evidence to support the findings of fact shall require a finding that there is a complete absence of factual basis for the findings; or
Modify the emergency order if the emergency order relied upon multiple violations of law and the hearing officer has determined that there is no substantial evidence to support one (1) or more of those violations. Upon making that finding, the hearing officer may consider each remaining violation for which there is substantial evidence and may modify the level of protection if the modified protection fully protects the public health, safety, or welfare based upon the dangers presented by the licensee's commission of each remaining violation.

(b) The hearing officer shall not include additional findings of fact or conclusions of law in any written decision affirming the emergency order under consideration. The written decision shall be sufficient if it determines that there was substantial evidence of a violation of law and the panel had determined that the violation constituted an immediate danger to the public health, safety, or welfare.

(c) If the hearing officer issues a written decision revoking or modifying the emergency order under consideration, the hearing officer shall include findings of fact and conclusions of law to support the action.

Section 6. Judicial Review. Judicial review of a final order resulting from an emergency hearing shall comply with KRS 13B.140, 13B.150, 13B.160, and 311.593.

History

RELATES TO: KRS Chapter 13B, 218A.205, 311.565(1)(i), 311.591(3), 311.592, 311.593, 311.595, 311.852
STATUTORY AUTHORITY: KRS 311.565(1)(a), (i)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(i) authorizes the board to promulgate administrative regulations to promote the efficient and fair conduct of disciplinary proceedings. This administrative regulation establishes the procedure to be followed in handling emergency proceedings in regard to any licensee before the board.
History: 39 Ky.R. 664; Am. 1662; eff. 3-4-2013; 42 Ky.R. 2804; 43 Ky.R. 15; eff. 7-20-2016; 47 Ky.R. 371; eff. 11-19-2020.

201 KAR 9:250 Registration and oversight of pain management facilities {#sec-201-kar-9-250 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:250}

Section 1. Definitions.

(1) "Board" is defined by KRS 311.550(1).

(2) "In good standing" means an active license to practice medicine or osteopathy that is not currently subject to any final order imposing any disciplinary sanction authorized by KRS 311.595, agreed order, or letter of agreement issued by or entered into with the board.

(3) "Pain management facility" is defined by KRS 218A.175(1), and each separate operating location of a physician's practice that meets the criteria established by this definition shall be considered a separate pain management facility.

(4) "Practitioner" means a licensed or certified health care practitioner who is legally authorized to prescribe or dispense controlled substances.

Section 2. Ownership or Investment Interest.

(1)

(a) A physician who has an ownership or investment interest in a pain management facility during any period when the physician is not licensed to practice medicine or osteopathy within the Commonwealth of Kentucky shall be deemed to be:

In violation of KRS 311.595(12); and
Practicing medicine without a license and subject to criminal sanctions.

(b) If the board determines that a physician has maintained an ownership or investment interest in a pain management facility during a period when that physician was not licensed to practice medicine or osteopathy within the Commonwealth of Kentucky, it may deny an application for licensing filed by that physician or may take appropriate disciplinary action against a license previously issued to the physician.

(2) A physician who maintains an ownership or investment interest in a pain management facility during any period when the physician's Kentucky license is not in good standing shall be in violation of KRS 311.595(12) and subject to disciplinary action by the Board.

Section 3. Registration; Amended Registration; Fee; New Facility Registration.

(1) On or before September 1, 2012 and September 1 of each succeeding year, every pain management facility operating as the private office or clinic of a physician within the Commonwealth of Kentucky shall register with the board, providing the following specific information in writing:

(a) The name, business address, profession, current professional licensing status, and nature and extent of ownership or investment interest of each person who has or maintains an ownership or investment interest in the pain management facility;

(b) The names and addresses of every pain management facility in which the person has an ownership or investment interest;

(c) The hours of operation of every pain management facility in which the person has an ownership or investment interest;

(d) The names and professional status of each employee at each practice location owned and operated by that pain management facility;

(e) The name, professional license number, and practice address of the qualified physician owner or owner's physician designee who will be physically present practicing medicine in the pain management facility for at least fifty (50) percent of the time patients are present at the facility. The facility shall also state its plan for ensuring that the designated physician owner or owner's physician designee will be physically present practicing medicine in the facility and, if the facility owns and operates multiple practice locations, the plan to ensure that a physician owner or owner's physician designee is physically present practicing medicine in each practice location for at least fifty (50) percent of the time that patients are seen at each pain management facility;

(f) For each owner's physician designee who will fulfill the oversight responsibility, an attestation that the physician designee is employed by the owner and the plan for owner supervision of the physician designee; and

(g) An attestation by the physician owner that the owner or owner's physician designee:

Meets one (1) of the requirements established in KRS 218A.175(3) and specifying each qualification met by the physician owner or owner's physician designee; or
Was an owner of that specific pain management facility prior to and continuing through July 20, 2012 and meets one (1) of the following qualifications:

a. Successfully completed a residency program in physical medicine and rehabilitation, anesthesiology, addiction medicine, neurology, neurosurgery, family practice, preventive medicine, internal medicine, surgery, orthopedics, or psychiatry approved by the Accreditation Council for Graduate Medical Education (ACGME) or American Osteopathic Association Bureau of Osteopathic Specialists (AOABOS); or

(i) Registered the ownership or investment interest in that pain management facility with this board on or before September 1, 2012;

(ii) Was eligible for and provided the board with written verification that the licensee registered to complete the certification examination offered by the American Board of Pain Medicine or the American Board of Interventional Pain Physicians in April 2013; and

(iii) Became certified by the American Board of Pain Medicine or by the American Board of Interventional Pain Physicians by September 1, 2013.

(2) If the physician failed the certification examination or failed to become certified by the American Board of Pain Medicine or the American Board of Interventional Pain Physicians by September 1, 2013, the physician shall meet one (1) of the requirements established in KRS 218A.175(3), to continue to be qualified to provide the on-site supervision required by Section 5 of this administrative regulation.

(3) At the time of filing of the registration required by subsection (1) of this section, each pain management facility operating as the private office or clinic of a physician shall pay an annual fee of $500 for each pain management facility to the board to defray the costs of registration and enforcement of this administrative regulation.

(4) If, during the effective period of the annual registration, a new or different physician obtains an ownership or investment interest in the pain management facility, or there is a change in the physician owner or physician designee who will practice on-site at least fifty (50) percent of the time the facility is open to patients, the facility shall file an amended registration with the board identifying these physicians and providing the information required by subsection (1) of this section about the new or different physicians, within fourteen (14) calendar days of that change.

(5) Failure to file the required registration or to pay the annual fee on or before September 1 of each year shall constitute a violation of KRS 311.595(12) and shall serve as a basis for discipline by the board against the license of any physician who has an ownership or investment interest in the facility that failed to file the required registration.

(6) If a new pain management facility operating as the private office or clinic of a physician comes into existence after September 1 of a calendar year but before September 1 of the following calendar year, that new pain management facility shall register with the board within fourteen (14) calendar days of its legal formation, and shall meet each of the registration requirements of this section.

Section 4. Identification and Qualifications of Prescribers Employed by the Facility; Notification of Changes.

(1) As part of its initial or annual registration, the facility shall identify each practitioner, who is employed by the facility in any capacity, who will be prescribing or dispensing controlled substances to patients of the facility.

(2) Each licensed physician who will prescribe or dispense controlled substances to patients of the facility as part of the employment arrangement with the facility shall successfully complete a minimum of ten (10) hours of Category I continuing medical education in pain management during each registration period throughout the employment agreement with the facility. This continuing medical education requirement shall satisfy the requirement of 201 KAR 9:310.

(3) A licensed physician shall not prescribe or dispense controlled substances to patients of the facility if the physician has:

(a) Had an application for a license or certificate to prescribe, dispense, or administer controlled substances denied in any jurisdiction or by any governmental agency;

(b) Had a Drug Enforcement Administration permit to prescribe, dispense, or administer controlled substances revoked;

(c) Had the professional ability or authority to prescribe or dispense controlled substances revoked, restricted, or limited in any manner by a licensing authority of any state, except as provided by subsection (4) of this section; or

(d) Been convicted of or entered a plea of guilt, nolo contendere, or Alford plea, regardless of adjudication, to any felony or misdemeanor relating to controlled substances, in any state or federal court.

(4) The prohibition established in subsection (3)(c) of this section shall not apply if:

(a)

The conduct requiring the revocation, restriction, or limitation was directly related to the physician's impairment as a result of controlled substance abuse or dependence;
The order imposing the revocation, restriction, or limitation is no longer in effect;
The physician has achieved a level of recovery which provides the licensing authority sufficient assurance that the physician will not likely engage in similar conduct while practicing at the pain management facility; and
The board or its panel has specifically approved the physician to practice in that specific pain management facility; or

(b) The physician has entered into an agreed order with terms and conditions requiring only remedial education and monitoring.

(5) The facility shall notify the board in writing within fourteen (14) days of each change in physician staffing of the facility.

Section 5. On-site Supervision.

(1) If the physician owner or qualified designee is not present in each practice location of a pain management facility for at least fifty (50) percent of the time that patients are present at the practice location for any given calendar week as required by KRS 218A.175(3), the facility shall immediately notify the board of that fact in writing and include the reasons.

(2) Any violation of KRS 218A.175(3) or this section shall constitute a violation of KRS 311.595(12) and (9), as illustrated by KRS 311.597(3) and (4) by the physician owner and, if applicable, the qualified designee who was responsible for being present at the practice location during that period.

Section 6. Record-Keeping; Inspection.

(1) Each pain management facility shall document on a weekly basis that a physician owner or an owner's physician designee who is employed by and under the direct supervision of the owner was physically present practicing medicine in the facility for at least fifty (50) percent of the time that patients were present in the facility during that week. This documentation shall include:

(a) The name, practice address, and phone number of the physician owner or physician designee who fulfilled this oversight function for that specific week;

(b) The practice address of each practice location owned and operated by that pain management facility;

(c) The days and hours each practice location of the pain management facility was open to patients during that specific week; and

(d) The days and hours the physician owner or physician designee was present in each practice location for the pain management facility for that specific week.

(2) Each pain management facility shall maintain appropriate records of the patients receiving treatment at that facility so that the board may determine the identity and number of patients treated during any given time period.

(3) The pain management facility shall maintain the weekly reports required by subsection (1) of this section and any daily sign-in sheets maintained by the practice on site in a readily accessible location for a minimum period of six (6) years.

(4) Upon request by an employee or agent of the board, the pain management facility shall permit the board employee or agent to inspect and copy the weekly reports and daily sign-in sheets maintained on site.

(5) For the purpose of enforcing the provisions of this administrative regulation, an agent of the board shall have the power and authority to:

(a) Enter upon professional premises during periods when those premises are otherwise open to patients or the public;

(b) Obtain evidence, including psychiatric or nonpsychiatric patient records, by consent or pursuant to a subpoena or search warrant;

(d) Require the production of books, papers, documents, or other documentary evidence either by consent or pursuant to a subpoena or search warrant.

Section 7. Proof of Operation of a Pain Management Facility.

(1) The board may establish sufficient proof that a clinic, practice, or facility is a pain management facility subject to the provisions of this administrative regulation by establishing that:

(a) The facility has filed a registration with the board as a pain management facility; or

(b)

For any selected thirty (30) day period, the majority of patients receiving medical treatment from the clinic, practice, or facility received controlled substances or a prescription for controlled substances during that period; and
One (1) of the following additional conditions was present during that thirty (30) day period as required by KRS 218A.175(1)(a):

a. A primary component of the practice was the treatment of pain; or

b. The facility advertised in any medium for any type of pain management services.

(2) The board may establish sufficient proof that the majority of patients treated in the facility for any specified thirty (30) day period received controlled substances or a prescription for controlled substances on their visit by comparing the names on the sign-in sheet to the KASPER report for that thirty (30) day period.

Section 8. Violations; Enforcement; Emergency Action.

(1) Any violation of the requirements of this administrative regulation shall constitute a violation of KRS 311.595(12) and (9), as illustrated by KRS 311.597(4) and may constitute a violation of KRS 311.595(9), as illustrated by KRS 311.597(3) given the circumstances.

(2) In order to lawfully prescribe or dispense controlled substances within the Commonwealth of Kentucky while practicing at a pain management facility, a licensee shall practice in a lawful pain management facility.

(3) A pain management facility shall be considered an unlawful pain management facility if it:

(a) Permits an unqualified person to gain or maintain an ownership or investment interest in the pain management facility; or

(b) Fails to ensure that a qualified physician owner or physician designee is physically present practicing medicine in the facility for at least fifty (50) percent of the time that patients are present in the facility.

(4) Prescribing or dispensing controlled substances within the Commonwealth of Kentucky while employed by or practicing in an unlawful pain management facility within the Commonwealth of Kentucky shall constitute a violation of KRS 311.595(9) and (12) which constitutes an immediate danger to the public health, safety, or welfare of the public, for the purposes of KRS 311.592 and 13B.125.

(5) If the board receives proof that a licensed physician is prescribing or dispensing a controlled substance while employed by or practicing in an unlawful pain management facility within the Commonwealth of Kentucky, the appropriate inquiry panel or its chair shall promptly issue an emergency order restricting that licensee from prescribing or dispensing a controlled substance within the Commonwealth of Kentucky until the licensee has provided sufficient proof that the licensee is no longer employed by or practicing in an unlawful pain management facility.

(6) An emergency order restricting a licensee from prescribing or dispensing a controlled substance within the Commonwealth of Kentucky issued pursuant to subsection (5) of this section shall remain valid and in effect until the board has received sufficient proof that the licensee is no longer employed by or practicing in an unlawful pain management facility. Upon receipt of that proof, the panel or its chair shall immediately issue an order terminating the emergency order issued pursuant to subsection (5) of this section.

(7) If a licensee who is affected by an emergency order issued pursuant to subsection (5) of this section requests an emergency hearing pursuant to KRS 13B.125(3), the hearing officer conducting the emergency hearing shall affirm the emergency order if presented with substantial evidence that the licensee was prescribing or dispensing controlled substances within an unlawful pain management facility.

(8) If a licensee prescribes or dispenses a controlled substance within the Commonwealth of Kentucky during any period when the licensee is employed by or practicing in an unlawful facility, each instance of prescribing or dispensing shall constitute a separate violation of KRS 311.595(12) and (9), as illustrated by KRS 311.597(1)(b), and shall serve as the basis for disciplinary sanctions pursuant to KRS 311.595.

Section 9. Periodic KASPER Reviews.

(1) The board shall have the authority pursuant to KRS 218A.202 and 218A.240 to obtain KASPER reports and analyses for each practitioner practicing in a pain management facility.

(2) At least once each year, the board shall obtain a KASPER review and analysis for each physician who has or maintains an ownership or investment interest in, or is employed by, or practices in, a pain management facility to determine whether improper, inappropriate, or illegal prescribing is occurring. If the board determines that there is evidence to indicate that improper, inappropriate, or illegal prescribing is occurring, it shall initiate an investigation of that physician and notify the appropriate agencies of its investigation.

History

RELATES TO: KRS 218A.175, 311.530-311.620, 311.990
STATUTORY AUTHORITY: KRS 311.565(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. This administrative regulation establishes the requirements for registration and oversight for pain management facilities.
History: 39 Ky.R. 667; 1173; 1664; eff. 3-4-2013; 42 Ky.R. 2807; 43 Ky.R. 192; eff. 8-17-2016; Cert. eff. 4-13-2023.

201 KAR 9:260 Professional standards for prescribing, dispensing, and administering controlled substances {#sec-201-kar-9-260 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:260}

Section 1. Applicability.

(1) Any licensee who is authorized to prescribe, dispense, or administer a controlled substance shall comply with the standards of acceptable and prevailing medical practice for prescribing, dispensing, or administering a controlled substance established in this administrative regulation.

(2) A physician assistant shall only prescribe or administer a controlled substance to the extent delegated by the supervising physician in the applications required under KRS 311.854 and 311.858. This administrative regulation, including any exemptions stated herein, shall not alter the prescribing limits established in KRS 311.858 or the requirements for delegation from a supervising physician established in KRS 311.854.

(a) Any change in the supervising physician application, including changes in practice address, scope of practice, or scope of delegated prescriptive authority, required under KRS 311.854 and 311.858 shall be reported in writing to the board within ten (10) days of the change.

(b) If the physician assistant's supervising physician changes or the supervising physician becomes restricted or suspended from the practice of medicine or osteopathy, the physician assistant shall cease prescribing or administering controlled substances until the restriction or suspension is terminated or a new supervising physician is approved.

(c) Prescribing or administering controlled substances without the applications required under KRS 311.854 and 311.858 shall constitute a violation of this administrative regulation and shall be grounds for an emergency order of restriction or suspension.

(3) The professional standards established in this administrative regulation shall not apply to prescribing, dispensing, or administering a controlled substance:

(a) To a patient as part of the patient's hospice or end-of-life treatment;

(b) To a patient admitted to a licensed hospital as an inpatient, outpatient, or observation patient, during and as part of a normal and expected part of the patient's course of care at that hospital;

(d) To a patient who is a registered resident of a long-term-care facility as defined in KRS 216.510;

(e) During the effective period of any period of disaster or mass casualties that has a direct impact upon the physician's practice;

(f) In a single dose to relieve the anxiety, pain, or discomfort experienced by that patient submitting to a diagnostic test or procedure;

(g) That has been classified as a Schedule V controlled substance;

(h) That is a Schedule II controlled substance as part of a narcotic treatment program licensed by the Cabinet for Health and Family Services;

(i) Within seven (7) days of an initial prescribing or dispensing under subsection (1) of this section if the prescribing or dispensing:

Is done as a substitute for the initial prescribing or dispensing;
Cancels any refills for the initial prescription; and
Requires the patient to dispose of any remaining unconsumed medication;

(j) Within ninety (90) days of an initial prescribing or dispensing under subsection (1) of this section if the prescribing or dispensing is done by another physician in the same practice or in an existing coverage arrangement, if done for the same patient for the same medical condition;

(k) To a research subject enrolled in a research protocol approved by an institutional review board that has an active federalwide assurance number from the United States Department for Health and Human Services, Office for Human Research Protections if the research involves single, double, or triple blind drug administration or is additionally covered by a certificate of confidentiality from the National Institutes of Health; or

(l)

To a patient immediately prior to, during, or within the fourteen (14) days following:

a. A major surgery, being any operative or invasive procedure or a delivery; or

b. A significant trauma, being any acute blunt, blast, or penetrating bodily injury that has a risk of death, physical disability, or impairment; and

The usage does not extend beyond fourteen (14) days.

Section 2. Professional Standards for Documentation of Patient Assessment, Education, Treatment Agreement and Informed Consent, Action Plans, Outcomes, and Monitoring.

(1) Each licensee prescribing, dispensing, or administering a controlled substance shall obtain and document all relevant information in a patient's medical record in a legible manner and in sufficient detail to enable the board to determine whether the licensee is conforming to professional standards for prescribing, dispensing, or administering controlled substances and other relevant professional standards. Relevant information shall include as appropriate:

(a) Medical history and physical or mental health examination;

(b) Diagnostic, therapeutic, and laboratory results;

(d) Treatment objectives;

(e) Discussion of risk, benefits, and limitations of treatments;

(f) Treatments;

(g) Medications, including date, type, dosage, and quantity prescribed or dispensed;

(h) Instructions and agreements; and

(i) Periodic reviews of the patient's file.

(2) If a licensee is unable to conform to professional standards for prescribing, dispensing, or administering controlled substances due to circumstances beyond the licensee's control, or the licensee makes a professional determination that it is not appropriate to comply with a specific standard, based upon the individual facts applicable to a specific patient's diagnosis and treatment, the licensee shall document those circumstances in the patient's record and only prescribe, dispense, or administer a controlled substance to the patient if the patient record appropriately justifies the prescribing, dispensing, or administering of a controlled substance under the circumstances.

Section 3. Professional Standards for the Prescribing, Dispensing, or Administering of Controlled Substances for the Treatment of Pain and Related Symptoms Associated with a Primary Medical Complaint. Prior to the initial prescribing, dispensing, or administering of any controlled substance for pain or other symptoms associated with the same primary medical complaint:

(1) The first licensee prescribing, dispensing, or administering a controlled substance shall:

(a) Obtain an appropriate medical history relevant to the medical complaint, including a history of present illness, and:

If the complaint does not relate to a psychiatric condition, conduct a physical examination of the patient relevant to the medical complaint and related symptoms and document the information in the patient's medical record; or
If the complaint relates to a psychiatric condition, perform, or have performed by a psychiatrist or other designated mental health provider, an evaluation appropriate to the presenting complaint and document the relevant findings;

(b) Obtain and review a KASPER report for that patient for the twelve (12) month period immediately preceding the patient encounter, and appropriately utilize that information in the evaluation and treatment of the patient;

(c) After examining the benefits and risks of prescribing, dispensing, or administering a controlled substance to the patient, including nontreatment or other treatment, make a deliberate decision that it is medically appropriate to prescribe, dispense, or administer the controlled substance in the minimum amount necessary to treat the medical complaint;

(d) Not prescribe, dispense, or administer a long-acting or controlled-release opioid for acute pain that is not directly related to and close in time to a specific surgical procedure;

(e) Discuss the risk and benefits of the use of controlled substances with the patient, the patient's parent if the patient is an unemancipated minor child, or the patient's legal guardian or health care surrogate, including the risk of tolerance and drug dependence and explain to the patient that a controlled substance used to treat an acute medical complaint is for time-limited use, and that the patient should discontinue the use of the controlled substance when the condition requiring the controlled substance use has resolved; and

(f) Explain to the patient how to safely use and properly dispose of any unused controlled substance and educate the patient in accordance with Section 8 of this administrative regulation; and

(2) If the controlled substance is a Schedule II, a physician shall also:

(a) Make a written plan stating the objectives of the treatment and further diagnostic examinations required;

(b) Obtain written consent for the treatment; and

(c) Not prescribe or dispense more than a three (3) day supply of a Schedule II controlled substance, unless the physician:

Determines that more than a three (3) day supply is medically necessary; and
Documents the acute medical condition and lack of alternative medical treatment options to justify the amount of the controlled substance prescribed or dispensed.

Section 4. Professional Standards for Commencing Long Term Use of Prescribing, Dispensing, or Administering of Controlled Substances for the Treatment of Pain and Related Symptoms Associated with a Primary Medical Complaint.

(1) Before a licensee commences to prescribe, dispense, or administer any controlled substance to a patient sixteen (16) years or older for pain or other symptoms associated with the same primary medical complaint for a total period of longer than three (3) months, the licensee shall comply with the mandatory professional standards established in subsection (2) of this section. These standards may be accomplished by different licensed practitioners in a single group practice at the direction of or on behalf of the licensee if:

(a) Each practitioner involved has lawful access to the patient's medical record;

(b) There is compliance with all applicable standards; and

(c) Each practitioner performing an action to meet the required standards is acting within the practitioner's legal scope of practice.

(2)

(a) The licensee shall obtain the following information from the patient and record all relevant information in the patient's medical record:

History of present illness;
Past medical history;
History of substance use and any prior treatment for that use by the patient, and history of substance abuse by first degree relatives of the patient;
Past family history of relevant illnesses and treatment; and
Psychosocial history.

(b) The licensee shall conduct an appropriate physical examination of the patient sufficient to support the medical indications for prescribing, dispensing, or administering a controlled substance on a long-term basis.

(c) The licensee shall perform appropriate baseline assessments to establish beginning values to assist in establishing and periodically evaluating the functional goals of any treatment plan.

(d) If a specific or specialized evaluation is necessary for the formulation of a working diagnosis or treatment plan, the licensee shall only continue the use of a controlled substance after determining that continued use of the controlled substance is safe and medically appropriate in the absence of that information.

(e) If the licensee determines that the patient has previously received medical treatment for the presenting medical complaint or related symptoms and that review of the prior treatment records is necessary to justify long-term prescribing, dispensing, or administering of a controlled substance, the licensee shall obtain those prior medical records and incorporate the information therein into the evaluation and treatment of the patient.

(f)

Based upon consideration of all information available, the licensee shall promptly formulate and document a working diagnosis of the source of the patient's medical complaint and related symptoms without simply describing or listing the related symptoms.
If the licensee is unable, despite best efforts, to formulate a working diagnosis, the licensee shall consider the usefulness of additional information, such as a specialized evaluation or assessment, referral to an appropriate specialist, and the usefulness of further observation and evaluation, before attempting again to formulate a working diagnosis.
If the licensee is unable to formulate a working diagnosis, despite the use of an appropriate specialized evaluation or assessment, the licensee shall only prescribe, dispense, or administer long term use of a controlled substance after establishing that its use at a specific level is medically indicated and appropriate.

(g)

To the extent that functional improvement is medically expected based upon the patient's condition, the licensee shall formulate an appropriate treatment plan.
The treatment plan shall include specific and verifiable goals of treatment, with a schedule for periodic evaluations.

(h)

The licensee shall utilize appropriate screening tools to screen each patient to determine if the patient:

a. Is presently suffering from another medical condition which may impact the prescribing, dispensing, or administering of a controlled substance; or

b. Presents a significant risk for illegal diversion of a controlled substance.

If, after screening, the licensee determines that there is a reasonable likelihood that the patient suffers from substance abuse or dependence, or a psychiatric or psychological condition, the licensee shall take the necessary actions to facilitate a referral to an appropriate treatment program or provider. The licensee shall appropriately incorporate the information from the treatment program or provider into the evaluation and treatment of the patient.
If, after screening, the licensee determines that there is a risk that the patient may illegally divert a controlled substance, but determines to continue long term prescribing of the controlled substance, the licensee shall use a prescribing agreement that meets professional standards. The prescribing agreement and informed consent document may be combined into one (1) document.
The licensee shall obtain and document a baseline drug screen.
If, after screening, the physician determines that the controlled substance prescribed or dispensed to the patient will be used or is likely to be used other than medicinally or other than for an accepted therapeutic purpose, the licensee shall not prescribe or dispense any controlled substance to that patient.

(i) After explaining the risks and benefits of long-term use of a controlled substance, the licensee shall obtain the written informed consent of the patient in a manner that meets professional standards and educate the patient in accordance with Section 8 of this administrative regulation.

(j) The licensee shall initially attempt, to the extent possible, or establish and document a previous attempt by another physician, of a trial of noncontrolled modalities and lower doses of a controlled substance in increasing order to treat the pain and related symptoms associated with the primary medical complaint, before continuing with long term prescribing, dispensing, or administering of a controlled substance at a given level.

Section 5. Professional Standards for Continuing Long Term Prescribing, Dispensing, or Administering of Controlled Substances for the Treatment of Pain and Related Symptoms Associated with a Primary Medical Complaint.

(1) If a licensee continues to prescribe, dispense, or administer a controlled substance beyond three (3) months to a patient sixteen (16) years or older for pain and related symptoms associated with the primary medical complaint, the licensee shall comply with the professional standards established in subsection (2) of this section. These standards may be accomplished by different licensed practitioners in a single group practice at the direction of or on behalf of the licensee as established in Section 4(1) of this administrative regulation.

(2)

(a) The licensee shall ensure that the patient is seen at least once a month initially for evaluation and review of progress. The licensee may determine that the patient is to be evaluated less frequently, on a schedule determined by the licensee's professional judgment after the licensee has determined:

The controlled substance prescribed, dispensed, or administered has been titrated to the level appropriate and necessary to treat the medical complaint and related symptoms;
The controlled substance prescribed, dispensed, or administered is not causing unacceptable side effects; and
There is sufficient monitoring in place to minimize the likelihood that the patient will use the controlled substance in an improper or inappropriate manner or divert it for an improper or inappropriate use.

(b) At appropriate intervals, the licensee shall:

Ensure that a current history is obtained from the patient;
Ensure that a focused physical examination is considered, and performed, if appropriate; and
Perform appropriate measurable examinations as indicated in the treatment plan.

(c) At appropriate intervals, the licensee shall evaluate the working diagnosis and treatment plan based upon the information gained to determine whether there has been functional improvement or any change in baseline measures. The licensee shall modify the diagnosis, treatment plan, or controlled substance therapy, as appropriate.

(d) If the licensee determines that the patient presents a significant risk of diversion or improper use of a controlled substance, the licensee shall discontinue the use of the controlled substance or justify its continued use in the patient record.

(e) If the medical complaint and related symptoms continue with no significant improvement in function despite treatment with a controlled substance, and if improvement is medically expected, the licensee shall obtain appropriate consultative assistance to determine whether there are undiagnosed conditions to be addressed in order to resolve the medical complaint.

(f) For a patient exhibiting symptoms suggestive of a mood, anxiety, or psychotic disorder, the licensee shall obtain a psychiatric or psychological consultation for intervention if appropriate.

(g) If a patient reports experiencing episodes of breakthrough pain, the licensee shall:

Attempt to identify the trigger or triggers for each episode;
Determine whether the breakthrough pain may be adequately treated through noncontrolled treatment; and
If the licensee determines that the nonmedication treatments do not adequately address the triggers, and after considering the risks and benefits, determines to add an as-needed controlled substance to the regimen, take appropriate steps to minimize the improper or illegal use of the additional controlled substance.

(h) At least once a year, the licensee shall perform or shall ensure that the patient's primary treating physician performs a preventive health screening and physical examination appropriate to the patient's gender, age, and medical condition.

(i)

At least once every three (3) months, the licensee shall obtain and review a current KASPER report, for the twelve (12) month period immediately preceding the request, and appropriately use that information in the evaluation and treatment of the patient.
If the licensee obtains or receives specific information that the patient is not taking the controlled substance as directed, is diverting a controlled substance, or is engaged in any improper or illegal use of a controlled substance, the licensee shall immediately obtain and review a KASPER report and appropriately use the information in the evaluation and treatment of the patient.
If a KASPER report discloses that the patient is obtaining a controlled substance from another practitioner without the licensee's knowledge and approval, in a manner that raises suspicion of illegal diversion, the licensee shall promptly notify the other practitioner of the relevant information from the KASPER review.
The licensee shall obtain consultative assistance from a specialist if appropriate.

(j) If appropriate, the licensee shall conduct random pill counts and appropriately use that information in the evaluation and treatment of the patient.

(k)

During the course of long-term prescribing, dispensing, or administering of a controlled substance, the licensee shall utilize drug screens, appropriate to the controlled substance and the patient's condition, in a random and unannounced manner at appropriate times. If the drug screen or other information available to the licensee indicates that the patient is noncompliant, the licensee shall:

a. Do a controlled taper, consistent with subparagraph 3 of this paragraph;

b. Stop prescribing, dispensing, or administering the controlled substance immediately; or

c. Refer the patient to an addiction specialist, mental health professional, pain management specialist, or drug treatment program, depending upon the circumstances.

The licensee shall discontinue controlled substance treatment or refer the patient to addiction management if:

a. There has been no improvement in function and response to the medical complaint and related symptoms, if improvement is medically expected;

b. Controlled substance therapy has produced significant adverse effects, including instances such as an overdose or events leading to hospitalization or disability;

c. The patient exhibits inappropriate drug-seeking behavior or diversion; or

d. The patient is taking a high-risk regimen, such as dosages ≥ fifty (50) MME/day or opioids with benzodiazepines, without evidence of benefit.

The licensee shall:

a. Taper controlled substances in a manner slow enough to minimize symptoms and signs of opioid withdrawal; and

b. Collaborate with other specialists as needed to optimize nonopioid pain management and psychosocial support for anxiety related to the taper.

A licensee shall stop prescribing, dispensing, or administering any controlled substance diverted by or from the patient or taken less frequently than once a day.

Section 6. Professional Standards for the Prescribing, Dispensing, or Administering of Controlled Substances in an Emergency Department. In addition to complying with the standards for the initial prescribing, dispensing, or administering of a controlled substance as established in Sections 3 and 7 of this administrative regulation, a licensee prescribing, dispensing, or administering a controlled substance for a specific medical complaint and related symptoms to a patient in an emergency department shall not routinely:

(1) Administer an intravenous controlled substance for the relief of acute exacerbations of chronic pain, unless intravenous administration is the only medically appropriate means of delivery;

(2) Provide a replacement prescription for a controlled substance that was lost, destroyed, or stolen;

(3) Provide a replacement dose of methadone, suboxone, or subutex for a patient in a treatment program;

(4) Prescribe a long-acting or controlled-release controlled substance, such as OxyContin, fentanyl patches, or methadone or a replacement dose of that medication;

(5) Administer Meperidine to the patient; or

(6) Prescribe, dispense, or administer more than the minimum amount medically necessary to treat the patient's medical condition until the patient can be seen by the primary treating physician or another practitioner, with no refills. If the controlled substance prescription exceeds seven (7) days in length or exceeds three (3) days if a Schedule II controlled substance, the patient record shall justify the amount of the controlled substance prescribed.

Section 7. Professional Standards for the Prescribing, Dispensing, or Administering of Controlled Substances for the Treatment of Other Conditions.

(1) Before initially prescribing, dispensing, or administering a controlled substance to a patient for a condition other than pain, the licensee shall comply with the standards as established in Section 3 of this administrative regulation.

(2) If the licensee continues to prescribe, dispense, or administer a controlled substance to a patient for the same medical complaint and related symptoms, the licensee shall fully conform to the standards of acceptable and prevailing practice for treatment of that medical complaint and for the use of the controlled substance.

(3) If a licensee receives a request from an established patient to prescribe, dispense, or administer a limited amount of a controlled substance to assist the patient in responding to the anxiety or depression resulting from a nonrecurring single episode or event, the licensee shall:

(a) Obtain and review a KASPER report for that patient for the twelve (12) month period immediately preceding the patient request and appropriately utilize the information obtained in the evaluation and treatment of the patient;

(b) Make a deliberate decision that it is medically appropriate to prescribe, dispense, or administer the controlled substance in the amount specified, with or without requiring a personal encounter with the patient to obtain a more detailed history or to conduct a physical examination; and

(c) If the decision is made that it is medically appropriate to use a controlled substance, prescribe, dispense, or administer the minimum amount of the controlled substance to appropriately treat the situational anxiety or depression.

Section 8. Responsibility to Educate Patients Regarding the Dangers of Controlled Substance Use.

(1) A licensee prescribing, dispensing, or administering a controlled substance shall:

(a) Take appropriate steps to educate a patient receiving a controlled substance; and

(b) Discuss with each patient the effect the patient's medical condition and medication use may have on the patient's ability to safely operate a vehicle in any mode of transportation.

(2) Educational materials relating to these subjects may be found on the board's Web site, www.kbml.ky.gov.

Section 9. Violations.

(1) Any violation of the professional standards established in this administrative regulation shall constitute a violation of KRS 311.595(12) and (9) or KRS 311.850(1)(p) and (s), which may result in the imposition of disciplinary sanctions by the board, pursuant to KRS 311.595 or KRS 311.850.

(2) Each violation of the professional standards established in this administrative regulation shall be established by expert testimony by one (1) or more physicians retained by the board, following a review of the licensee's patient records and other available information including KASPER reports.

History

RELATES TO: KRS 218A.172, 218A.205, 311.530-311.620, 311.990, 311.840-311.862
STATUTORY AUTHORITY: KRS 218A.205(3)(a), (b), 311.565(1)(a), 311.842(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. KRS 218A.205(3)(a) and (b) require the board, in consultation with the Kentucky Office of Drug Control Policy, to establish mandatory prescribing and dispensing standards related to controlled substances, and in accordance with the Centers for Disease Control and Prevention (CDC) guidelines, to establish a prohibition on a practitioner issuing a prescription for a Schedule II controlled substance for more than a three (3) day supply if intended to treat pain as an acute medical condition, unless an exception applies. KRS 311.842(1)(b) requires that the board promulgate administrative regulations establishing professional standards for prescribing and administering controlled substances by physician assistants. This administrative regulation establishes the professional standards for prescribing and dispensing controlled substances for any licensee authorized to prescribe, dispense, or administer controlled substances.
History: 39 Ky.R. 671; 1177; 1668; 2002; eff. 3-4-2013; 44 Ky.R. 265, 736, 905; eff. 11-15-2017; 45 Ky.R. 743; eff. 12-12-2018; 47 Ky.R. 374, 944; eff. 11-19-2020.

201 KAR 9:270 Professional standards for prescribing, dispensing, or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone {#sec-201-kar-9-270 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:270}

Section 1. Applicability.

(1) Any licensee who prescribes, dispenses or administers Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone shall comply with the standards of acceptable and prevailing medical practices established in this administrative regulation.

(2) A physician assistant shall only prescribe or administer Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone to the extent delegated by the supervising physician in the applications required by KRS 311.854 and 311.858. This administrative regulation, including any exemptions stated herein, shall not alter the prescribing limits established in KRS 311.858 or the requirement for delegation from a supervising physician established in KRS 311.854.

(b) If the physician assistant's supervising physician changes or the supervising physician becomes restricted or suspended from the practice of medicine or osteopathy, the physician assistant shall cease prescribing or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone until the restriction or suspension is terminated or a new supervising physician is approved.

(c) Prescribing or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone without the applications required by KRS 311.854 and 311.858 shall constitute a violation of this administrative regulation and shall be grounds for an emergency order of restriction or suspension.

(3) The professional standards established in this administrative regulation shall not apply to prescribing, dispensing, or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone:

(a) To a patient as part of the patient's hospice or end-of-life treatment;

(b) To a patient who has an active and substantiated cancer diagnosis and is suffering from cancer-related pain, if prescribed or dispensed by a board-certified oncologist;

(c) To a patient who is receiving palliative care for cancer-related pain, if prescribed or dispensed by a board-certified palliative care specialist;

(d) To a patient admitted to a hospital-based or hospital-affiliated emergency department while the patient is admitted therein;

(e) To a patient admitted to a licensed hospital, during and as part of a normal and expected part of the patient's course of care at that hospital;

(f) To a patient who is admitted to an American Society of Addiction Medicine (ASAM) level 3.5 or higher inpatient residential treatment facility with an on-sight medical director who is certified by the American Board of Addiction Medicine, the American Board of Preventive Medicine in addiction medicine, the American Board of Medical Specialties (ABMS) in addiction medicine, or an American Osteopathic Association (AOA) certifying board in addiction medicine, during and as part of a normal and expected part of the patient's course of care at that facility;

(g) To a patient who is a registered resident of a long-term care facility as defined in KRS 216.510; or

(h) For up to fourteen (14) days, to a patient who has undergone a major surgery, being any operative or invasive procedure or delivery, or has suffered a significant physical trauma, being any acute, blunt, blast or penetrating bodily injury that has a risk of death, physical disability or impairment.

Section 2. Minimum Qualifications.

(1) A licensee shall not prescribe, dispense, or administer Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone unless that licensee possesses the minimum qualifications established in this section.

(2) The licensee shall successfully complete the approved educational programs required by this subsection.

(a) The prescribing licensee shall be a DEA-licensed prescriber of controlled substances, including Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone, and shall have completed any and all courses deemed necessary by the DEA.

(b) For each three (3) year continuing education cycle, each DEA-licensed prescriber of Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone shall complete at least twelve (12) hours of continuing medical education certified in Category I specific to addiction medicine as part of the required continuing medical education hours set forth in 201 KAR 9:310 and 201 KAR 9:360.

Section 3. Professional Standards for Prescribing, Dispensing, or Administering Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone for Medically-Supervised Withdrawal or the Treatment of Opioid Use Disorder.

(1)

(a) Except as provided in paragraph (b) of this subsection, transmucosal Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone shall only be prescribed, dispensed, or administered for medically-supervised withdrawal or as a maintenance treatment for a patient diagnosed with opioid use disorder.

(b) Except as established inSection 1(3)(a), (b) and (c), Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone shall not be used for the treatment of pain or any other condition, unless delivered in a Federal Drug Administration (FDA) approved form and for an FDA approved purpose.

(2) Buprenorphine-Mono-Product shall not be prescribed, dispensed, or administered for medically-supervised withdrawal or as a maintenance treatment for a patient diagnosed with opioid use disorder, except:

(a) To a pregnant patient;

(b) To a patient with demonstrated hypersensitivity to naloxone;

(c) As administered under supervision in a physician's office or other healthcare facility, including hospitals, urgent care settings, surgical care centers, residential treatment facilities, and correctional facilities; or

(d) To a patient transitioning from a full opioid agonist to buprenorphine, limited to a period of no longer than thirty (30) days.

(3) If Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone is prescribed, dispensed, or administered to a patient who is also being prescribed other controlled substances or other substances subject to abuse or misuse beyond a period of three (3) months, then the licensee shall obtain and document a formal provider-to-provider or patient-to-provider consultation of a physician who is certified by the American Board of Addiction Medicine, the American Board of Preventive Medicine in addiction medicine, the American Board of Medical Specialties (ABMS) in addiction medicine, or an American Osteopathic Association (AOA) certifying board in addiction medicine or a physician who has completed an addiction psychiatry fellowship.

(4) Each licensee who prescribes, dispenses, or administers Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone for medically-supervised withdrawal or for the treatment of opioid use disorder shall fully comply with the professional standards established in this subsection.

(a) Prior to or at least within two (2) weeks of initiating treatment, the prescribing, dispensing, or administering licensee shall:

Obtain and record a complete and appropriate evaluation of the patient which shall at a minimum include:

a. The patient's history of present illness;

b. The patient's history of substance use;

c. The patient's social and family history;

d. The patient's past medical and psychiatric histories;

e. A focused physical examination of the patient;

f. Offeringscreening with counseling for HIV and hepatitis serology; and

g. Arranging appropriate laboratory tests, which shall include a CBC, a drug screen, and a CMP;

Obtain the patient's consent and authorizations in order to obtain the patient's prior medical records.

a. Upon receipt of the medical records, the prescribing, dispensing, or administering licensee shall review and incorporate the information from the records into the evaluation and treatment of the patient.

b. If the prescribing, dispensing, or administering licensee is unable, despite a good faith effort, to obtain the patient's prior medical records, the licensee shall document those efforts in the patient's chart;

Obtain and review a KASPER report for that patient for the twelve (12) month period immediately preceding the initial patient encounter and appropriately utilize that information in the evaluation and treatment of the patient;
Explain treatment alternatives and the risks and the benefits of treatment with Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone to the patient;
Obtain written informed consent from the patient in a manner that meets professional standards; and
If the patient is a female of child-bearing age and ability, the licensee shall offer to screen for pregnancy and provide counseling as to the risk of neonatal abstinence syndrome which shall be consistent with current SAMHSA guidance. If the patient is pregnant, the prescribing, dispensing, or administering licensee shall refer the patient to an obstetrician or maternal-fetal medicine specialist for prenatal care, unless the licensee assumes management of the prenatal care.

(b) Except as provided by paragraph (d) of this subsection, while initiating treatment with Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone, the licensee shall comply with the requirements of this paragraph.

The licensee shall recommend to the patient an in-office observed initiation protocol, particularly if the patient is on fentanyl or methadone.

a. Except as provided in clause b. of this subparagraph, the licensee shall supervise the in-office observed initiation protocol and shall ensure that resources are available to manage precipitated withdrawal.

b. If an in-office observed initiation does not occur, the licensee shall appropriately record the circumstances in the patient chart and shall educate the patient about the potential for precipitated withdrawal. The licensee shall be responsible for the coordination and implementation of a plan to manage precipitated withdrawal outside of an in-office observed initiation.

The licensee shall assess for and document the presence or absence of opioid withdrawal before the first dose is given by using a standardized instrument, such as the clinic opioid withdrawal scale (COWS) or other similarly recognized instrument.
The licensee shall initiate treatment with a dose not to exceed the dose equivalency of four (4) milligrams buprenorphine generic tablet, which:

a. May be followed by subsequent doses; and

b. Shall not exceed the dose equivalency of sixteen (16) milligrams buprenorphine generic tablet on the first day of treatment.

(c) If the patient is transferred from another treatment provider and has previously experienced withdrawal without a relapse and has not had a lapse in treatment, the licensee shall:

Not rely solely on the patient's self-reported history but shall comply with the standards established in Section 3(4) of this administrative regulation;
Make reasonable attempts to obtain records from the prior treatment provider;
Educate the patient about the potential for precipitated withdrawal; and
Make an informed and independent clinical decision to continue maintenance treatment of the patient on the same or less dosage as established by the previous treatment provider and then as provided in paragraph (e) of this subsection.

(d) After initial initiation of Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone, the licensee shall meet the requirements established in this paragraph.

If the licensee prescribes, dispenses, or administers Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone medication, the licensee shall implement a treatment plan that requires objective behavioral modification by the patient. The behavioral modification shall include the patient's participation in a behavioral modification program that may include counseling or a twelve (12) step facilitation.
The licensee shall prescribe, dispense, or administer to the patient an amount of Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone that:

a. Is necessary to minimize craving and opiate withdrawal;

b. Does not produce opiate sedation;

c. Is to be taken no more frequently than twice daily; and

d. Is able only to supply the patient until the next licensee visit, which shall be scheduled as required by subparagraph 3. of this paragraph.

a. The licensee shall ensure that the patient is seen by a licensed clinical healthcare professional with prescribing authority:

(i) No later than ten (10) days after initiation and then at intervals of no more than ten (10) days for the first month after initiation; and

(ii) At intervals of no more than fourteen (14) days for the second month after initiation.

(i) If the patient demonstrates objective signs of treatment progress, the licensee shall ensure that the patient is seen at least once monthly thereafter.

(ii) If two (2) years after initiation of treatment, the patient is being prescribed Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone for opioid use disorder and the patient has demonstrated objective signs of treatment progress, including documented evidence that the patient has been compliant with the treatment plan and all treatment directives for at least two (2) years, then the licensee may require that the patient be seen only by the licensee at least once every three (3) months.

(iii) The licensee shall see the patient in shorter intervals if the patient demonstrates any noncompliance with the treatment plan.

c. If extenuating circumstances arise that require a patient to unexpectedly reschedule a physician visit, the licensee shall make best efforts to see the patient as soon as possible and document the circumstances in the patient chart.

At least every three (3) months after initiation of treatment, the licensee shall evaluate the patient to determine whether the patient's dosage should be continued or modified and shall appropriately document that evaluation and clinical reasoning in the patient's chart.
At least once every three (3) months, the licensee shall obtain KASPER reports to help guide the treatment plan.

a. If the KASPER indicates any unexpected findings, the licensee shall incorporate those findings into appropriate clinical reasoning to support the continuation or modification of treatment and shall accurately document the same in the patient record.

b. Appropriate clinical reasoning may include adjustment of dose strength, adjustment of frequency of visits, increased drug screening, a consultation with a specialist, or an alternative treatment.

c. Every twelve (12) months following initiation of treatment, if a patient's prescribed daily therapeutic dosage exceeds the dose equivalency of sixteen (16) milligrams buprenorphine generic tablet per day and the licensee is not certified by the American Board of Addiction Medicine, the American Board of Preventive Medicine in addiction medicine, the American Board of Medical Specialties (ABMS) in psychiatry, or an American Osteopathic Association (AOA) certifying board in addiction medicine or psychiatry, then the licensee shallrefer the patient for a formal consultation with a physician who is certified by the American Board of Addiction Medicine, the American Board of Preventive Medicine in addiction medicine, the American Board of Medical Specialties (ABMS) in psychiatry, or an American Osteopathic Association (AOA) certifying board in addiction medicine or a physician who has completed an addiction psychiatry fellowship for an opinion as to whether continued treatment and dosage is appropriate and shall accurately document the results of that consultation in the patient chart. The formal consultation may occur via telehealth if it would meet the same standards of acceptable and prevailing evaluative practices of a physical in-person evaluation.

d. The licensee shall adjust dosages according to the individual patient's condition and within acceptable and prevailing medical standards, with the goal of improving the patient's quality of life and ability to function in the community.

e. Every twelve (12) months following initiation of treatment, the licensee shall evaluate for and document the medical necessity for continued treatment at the established dose.

f. The licensee shall ensure that the patient is drug tested. A patient in early stages of treatment shall be tested at least once weekly and as the patient becomes more stable in treatment, the frequency of drug testing may be decreased, but shall be performed at least on a monthly basis. Individual consideration may be given for less frequent testing if a patient is in sustained remission. If the patient returns to substance use after a period of abstinence, the licensee shall resume the early treatment testing schedule, in conjunction with an adapted or intensified treatment plan.

(i) Except as established in this subclause, each drug screen shall at a minimum screen for buprenorphine, methadone, opioids, THC, benzodiazepines, amphetamines, and cocaine. On intake and at least once a year thereafter, the licensee shall obtain a random and unannounced comprehensive drug screen that shall also screen for gabapentin and illicit substances commonly used in the geographical region.

(ii) If a drug screen indicates any unexpected findings, the licensee shall incorporate those findings into appropriate clinical reasoning to support the continuation or modification of treatment and shall accurately document the same in the patient record.

(iii) Appropriate clinical reasoning may include adjustment of dose strength, adjustment of frequency of visits, increased drug screening with urine confirmation, a consultation with a specialist, or an alternative treatment.

If at any time during treatment, the licensee observes patterns of unexpected results in the patient's urine drug screens or KASPER data, then the licensee shall:

a. Refer the patient out to a higher level of care; or

b. Increase the intensity of treatment and continue to monitor for unexpected urine drug screen results and KASPER data.

The licensee shall document a plan for handling any lost or stolen medication, which shall not provide for the automatic replacement of medication prior to the specified interval date.

Section 4. Professional Standards for Documentation of Patient Assessment, Education, Treatment Agreement and Informed Consent, Action Plans, Outcomes, and Monitoring.

(1) Each licensee prescribing, dispensing, or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-With-Naloxone shall obtain and document all relevant information in a patient's medical record in a legible manner and in sufficient detail to enable the board to determine whether the licensee is conforming to professional standards for prescribing, dispensing, or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-With-Naloxone and other relevant professional standards established in this administrative regulation.

(2) If a licensee is unable to conform to professional standards for prescribing, dispensing, or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-With-Naloxone as set forth in this administrative regulation due to circumstances beyond the licensee's control, or the licensee makes a professional determination that it is not appropriate to comply with a specific standard, based upon the individual facts applicable to a specific patient's diagnosis and treatment, the licensee shall document those circumstances in the patient's record and only prescribe, dispense, or administer Buprenorphine-Mono-Product or Buprenorphine-Combined-With-Naloxone to the patient if the patient record appropriately justifies the prescribing, dispensing, or administering of Buprenorphine-Mono-Product or Buprenorphine-Combined-With-Naloxone under the circumstances and in accordance with SAMHSA guidelines as set forth in: Substance Abuse and Mental Health Services Administration, Medications for Opioid Use Disorder, Treatment Improvement Protocol (TIP) Series 63, Publication No. PEP21-01-002, Rockville, MD: Substance Abuse and Mental Health Services Administration, 2021.

Section 5. Violations. Failure to comply with or a violation of the professional standards established in this administrative regulation shall constitute a "departure from, or failure to conform to the standards of acceptable and prevailing medical practice within the Commonwealth of Kentucky," in violation of KRS 311.850(1)(p) and (s), KRS 311.595(12) and (9), as illustrated by KRS 311.597(4), and may constitute a violation of KRS 311.595(9), as illustrated by KRS 311.597(3), subjecting the licensee to sanctions authorized by KRS 311.595 and 311.850.

Section 6. Incorporation by Reference.

(1) Substance Abuse and Mental Health Services Administration, "Medications for Opioid Use Disorder, Treatment Improvement Protocol (TIP) Series 63, Publication No. PEP21-01-002", 2021, is incorporated by reference.

(3) This material may also be obtained on the board's website at kbml.ky.gov.

History

RELATES TO: KRS 216.510, 218A.205, 311.530-311.620, 311.840-311.862, 311.990
STATUTORY AUTHORITY: KRS 218A.205(3), 311.565(1)(a), 311.842(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. KRS 218A.205(3)(a) and (b) require the board to establish mandatory prescribing and dispensing standards related to controlled substances. KRS 311.842(1)(b) requires that the board promulgate administrative regulations establishing professional standards for prescribing and administering controlled substances by physician assistants. This administrative regulation establishes the professional standards for any board licensee who prescribes, dispenses, or administers Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone in the Commonwealth of Kentucky. Nothing within this administrative regulation shall be interpreted to grant physician assistants authority to dispense Buprenorphine-Mono-Product or Buprenorphine-Combined-With-Naloxone, unless otherwise authorized by KRS 311.842.
History: 201 KAR 009:270. 41 Ky.R. 1257; 1670; 1975; eff. 4-3-2015; 42 Ky.R. 1907; eff. 6-3-2016; 43 Ky.R. 1435; 1777; eff. 6-2-2017; 46 Ky.R. 1928, 2646; 47 Ky.R. 42; eff. 8-26-2020; 47 Ky.R. 2424; 48 Ky.R. 833, 1113’; eff. 10-20-2021; 51 Ky.R. 1872, 52 Ky.R. 402, 703, 945; eff. 1-22-2026.

201 KAR 9:290 Athletic trainers; interpretation and application of KRS 311.901(1) and 311.903(2) {#sec-201-kar-9-290 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:290}

Section 1. Definitions.

(1) "Athletic injury" is defined by KRS 311.900(2).

(2) "BLS" means basic life support.

(3) "Board" means the Kentucky Board of Medical Licensure.

(4) "BOC" means National Athletic Trainers Association Board of Certification, Inc.

(5) means the insertion of a dry solid filiform needle, without medication, into a trigger point with the goal of releasing or inactivating the trigger points for the treatment of myofascial or musculoskeletal pain or soft tissue dysfunction.

(6) "IM" means intramuscular.

(7) "IV" means intravenous.

(8) "Legend drug" or "legend medication" means any drug, except for Schedule II, III, IV, or V drugs as defined in the Controlled Substances Act, 21 U.S.C. secs. 801 et seq., approved by the U.S. Food and Drug Administration that can be dispensed to the public only with a prescription from a medical doctor or other licensed practitioner.

(9) "OTC" means an over-the-counter medication and is any medicine sold directly to a consumer without a requirement for a prescription from a healthcare professional.

(10) "SubQ" means subcutaneous.

(11) "Supervising physician" is defined by KRS 311.900(6).

(12) "Supervision" is defined by KRS 311.900(7).

Section 2. Eligibility and Credentialing for US-trained and Foreign-Trained Athletic Trainers. In order to be eligible for licensure as an athletic trainer in the Commonwealth of Kentucky, regardless of whether trained in the United States or abroad, an applicant shall satisfy the requirements established in KRS 311.905.

Section 3. Renewal and Reinstatement. The procedures for renewal and reinstatement shall be as established in KRS 311.905 and 201 KAR 9:305 and 9:307.

Section 4. Procedures for complaints and disciplinary actions. All grievances, complaints and disciplinary proceedings against an athletic trainer shall be conducted in accordance with the provisions of KRS 311.591, 311.592, 311.593, 311.599, and 311.911; KRS Chapter 13B; and any related administrative regulations in 201 KAR Chapter 9 that apply to physicians shall also apply to athletic trainers.

Section 5. Ethical Standards. An athletic trainer licensed to practice in the Commonwealth of Kentucky shall conform to the National Athletic Trainers' Association's Code of Ethics (March 2018).

Section 6. Standards of Practice. The standards of practice of an athletic trainer licensed to practice in the Commonwealth of Kentucky shall conform to BOC Standards of Professional Practice (October 2017), unless otherwise excluded by Kentucky statute or administrative regulation including those under 201 KAR Chapter 9.

Section 7. Objectives of Athletic Training. An athletic trainer licensed to practice in the Commonwealth of Kentucky shall practice with the intent of preventing, recognizing, evaluating, managing, disposing, treating, reconditioning, or rehabilitating athletic injuries.

Section 8. Name and Contact Information Changes.

(1) Any person licensed to practice as an athletic trainer in the Commonwealth of Kentucky shall report, in writing, to the Board:

(a) His or her full and official name, maiden name, and any aliases;

(b) The primary address or addresses at which he or she maintains an office or practices athletic training and may be served correspondence from the Board;

(d) His or her supervising physician or physicians.

(2) If unknown at the time of initial licensure, any new licensee shall make the report required in subsection (1) of this section within thirty (30) days after commencing the practice of athletic training within this state.

(3) Every athletic trainer who, after notifying the Board of the information required in subsections (1) and (2) of this section, moves, changes, or obtains a new name, address, electronic address, or supervising physician, shall notify the Board, in writing, within ten (10) business days thereof.

Section 9. Documentation Standards. An athletic trainer licensed to practice in the Commonwealth of Kentucky shall maintain an appropriate and reasonable medical record of patients receiving athletic training services, which may include:

(1) Record of the athletic trainer's evaluation of the patient;

(2) Inclusion of pertinent medical history;

(3) Record of oral orders from a referring or supervising physician;

(4) A description of services provided by the athletic trainer;

(5) A plan of care including referral to other medical providers;

(6) Record of follow up care and/or ongoing treatment; and

(7) Documentation of significant changes in patient status, if any.

Section 10. Formulary of Legend Medications that may be Obtained, Transported, Provided, and Administered if Providing Athletic Training Services.

(1) An athletic trainer licensed to practice in the Commonwealth of Kentucky may, in coordination with a supervising physician, obtain, transport, provide, and administer the following legend drugs:

(a) Albuterol for administration via meter dose inhaler;

(b) Albuterol Nebule for administration via small volume nebulizer or oxygen-driven nebulizer prepackaged;

(d) Oxygen;

(e) Nitroglycerin for administration via spray or tab;

(f) Epinephrine 1:1000 for administration via IM or Epi-Pen for treatment of anaphylaxis;

(g) The following fluids for IV administration:

Normal Saline; and
Lactated Ringers;

(h) Naloxone for IM or nasal administration;

(i) Glucagon for IM administration in the event of a diabetic emergency;

(j) D50-Dextrose 50% and D25- Dextrose 25% for IV administration in the event of a diabetic emergency;

(k) Flu Vaccine to any person nine (9) years of age or older;

(l) Lidocaine (1% or 2%) for administration via injection, with or without Epinephrine;

(m) Bupivacaine (.5%) for administration via injection, with or without Epinephrine;

(n) Lidocaine Topical; and

(o) Dermabond tissue adhesive.

(2) An athletic trainer licensed to practice in the Commonwealth of Kentucky may, in coordination with a supervising physician, obtain, transport, provide, and administer OTC medications in accordance with the manufacturer's recommendations or upon order of a supervising physician.

(3) Unless there is a risk of death, physical disability, or impairment to the athlete, an athletic trainer licensed to practice in the Commonwealth of Kentucky shall not administer a legend drug or an OTC medication to a person under the age of eighteen (18) years without express parental or guardian consent and physician oversight.

Section 11. Invasive Procedures.

(1) An athletic trainer licensed to practice in the Commonwealth of Kentucky may, in coordination with a supervising physician, perform the following invasive procedures:

(a) Rectal thermometry;

(b) IM, IV or SubQ medication administration injections;

(d) Dry needling, if:

The athletic trainer has completed at least fifty-four (54) classroom hours of BOC-approved dry needling training, which includes instruction in the clinical application of dry needling;
The procedure is ordered by a supervising physician; and
The treatment is administered in a designated room or facility separate from a gymnasium, locker room, sports field, or sideline;

(e) Phlebotomy;

(f) Capillary finger sticks for purpose of testing blood glucose levels;

(g) Repair or closure of superficial lacerations involving only skin or subcutaneous tissues, if performed in a designated room or facility separate from a gymnasium, locker room, sports field, or sideline; and

(h) Draining of blisters.

(2) Unless there is a risk of death, physical disability, or impairment to the athlete, an athletic trainer licensed to practice in the Commonwealth of Kentucky shall not perform an invasive procedure on a person under the age of eighteen (18) years without express parental or guardian consent and physician oversight.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) The "National Athletic Trainers' Association's Code of Ethics", March 2018; and

(b) "BOC Standards of Professional Practice", October 2017.

(3) This material may also be obtained on the board's Web site at kbml.ky.gov.

History

RELATES TO: KRS Chapter 13B, 311.591-311.593, 311.599, 311.900, 311.901(1), 311.903(2), 311.905, 311.911
STATUTORY AUTHORITY: KRS 311.901(1), 311.903(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.901(1) and 311.903(2) require that the Kentucky Board of Medical Licensure promulgate administrative regulations relating to the licensure and regulation of athletic trainers, including procedures for eligibility and credentialing, procedures for license renewal and reinstatement, procedures for complaints and disciplinary actions, a code of ethical standards, standards of practice, objectives of athletic training, procedures for name and contact information changes, procedures of licensure renewal and reinstatement of active duty military individuals, procedures for documentation standards, requirements for foreign-trained athletic trainers, a formulary of legend medications that may be obtained, transported, provided, and administered when providing athletic training services, and requirements for invasive procedures. This administrative regulation establishes the procedures for eligibility and credentialing of US-trained and foreign-trained athletic trainers, procedures for license renewal and reinstatement including for active duty military individuals, procedures for complaints and disciplinary actions, a code of ethical standards, standards of practice, objectives of athletic training, procedures for name and contact information changes, procedures for documentation standards, a formulary of legend medications that may be obtained, transported, provided, and administered when providing athletic training services, and requirements for invasive procedures.
History: 47 Ky.R. 2495; 48 Ky.R. 770; eff. 10-20-2021.

201 KAR 9:305 License renewal and registration; reregistration of inactive licenses; and continuing education requirements for athletic trainers {#sec-201-kar-9-305 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:305}

Section 1. Definition. "CEU" means the completion of ten (10) hours of educational courses approved by the:

(1) Kentucky Board of Medical Licensure; or

(2) Board of Certification, Inc.

Section 2. An athletic trainer licensed to practice in the Commonwealth of Kentucky shall complete six (6) CEUs during each three (3) year renewal cycle.

Section 3. Renewal of an Active License. On or about May 1, every three (3) years, the executive director shall send by electronic communication ("email") notification to all athletic trainers ("licensees") holding an active regular license to practice as an athletic trainer in the Commonwealth that renewal of their license shall be executed on or before June 30 of that same year. The notification shall indicate the renewal fee and shall warn the licensee that failure to timely renew shall cause his or her license to become inactive.

Section 4. Failure to Timely Renew. If a licensee holding a regular license fails to renew his or her active license on or before June 30 of the year notified, the license shall be considered inactive or cancelled accordingly and continued practice by the athletic trainer shall be considered unauthorized and unlicensed.

Section 5. Activation of Inactive Regular License.

(1) Upon failure of a licensee to renew his or her active license before the expiration of the time allowed, the license shall become inactive and continued practice by the athletic trainer shall be considered unauthorized and unlicensed.

Section 6. All notifications required to be sent by this administrative regulation shall be sent by email to the licensee's last known self-entered email address of which the board has record. Failure of the licensee to receive notice if emailed to the licensee's last known self-entered email address shall not excuse the licensee from compliance with statutes or this administrative regulation.

History

RELATES TO: KRS 311.901(1), 311.905
STATUTORY AUTHORITY: KRS 311.565 (1)(b), 311.901(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.901(1) requires the Kentucky Board of Medical Licensure to promulgate administrative regulations relating to the licensure and regulation of athletic trainers, including procedures for licensure renewal and reinstatement and continuing education requirements. KRS 311.565(1)(b) authorizes the board to promulgate reasonable administrative regulations establishing qualifications of applicants for licenses and permits issues by the board. This administrative regulation establishes the continuing education requirements and the renewal and reinstatement processes for the continued licensure of athletic trainers.
History: 201 KAR 009:305. 18 Ky.R. 211; Am. 996; eff. 9-24-1991; 40 Ky.R. 2591; 41 Ky.R. 12; eff. 8-1-2014; 42 Ky.R. 460; 1464; eff. 11-18-2015; 49 Ky.R. 369, 1041; eff. 11-15-2022; 52 Ky.R. 1396, 1806; eff. 7-16-2026.

201 KAR 9:307 Fee schedule regarding athletic trainers {#sec-201-kar-9-307 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:307}

Section 1. Fee Schedule for Athletic Trainers.

(1) The fee for initial issuance of a regular license shall be $100.

(2) The fee for renewal of a license, valid for a three (3) year period, shall be fifty (50) dollars.

(3) The fee for activation of an inactive license shall be fifty (50) dollars.

(4) The fee for issuance of a duplicate wallet card shall be five (5) dollars.

(5) The fee for issuance of a duplicate wall license shall be ten (10) dollars.

(6) The fee for verification of a state license to another licensing agency shall be ten (10) dollars.

History

RELATES TO: KRS 311.901(1), 311.905(1)(a), (3)
STATUTORY AUTHORITY: KRS 311.901(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.901(1) requires the Kentucky Board of Medical Licensure to promulgate administrative regulations necessary to establish fees relating to the licensure and regulation of athletic trainers. This administrative regulation establishes a schedule of fees for services rendered by the board.
History: 33 Ky.R. 1468; Am. 1794; eff. 2-2-2007; 40 Ky.R. 2592; 41 Ky.R. 13; eff. 8-1-2014; Crt eff. 3-26-2021.

201 KAR 9:310 Continuing medical education {#sec-201-kar-9-310 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:310}

Section 1. Continuing Medical Education. Except as provided in Section 4 of this administrative regulation, at the time a licensee seeks to renew his or her license, the licensee shall submit verification of satisfactory completion of a program of continuing medical education using the Continuing Medical Education Certification Form by the renewal deadline established in 201 KAR 9:051.

Section 2. In order to meet the continuing medical education requirements, a licensee shall:

(1) Submit evidence that thirty (30) of the sixty (60) hours were certified in Category I by an organization accredited by the:

(a) Accreditation Council on Continuing Medical Education; or

(b) The American Osteopathic Association;

(2) Submit evidence that:

(a) The licensee has received the American Medical Association's "physician recognition award", or the American Osteopathic Association's "osteopathic physicians' recognition award"; and

(b) The award is in effect at the time the license is renewed;

(3) Submit verification that the:

(a) Licensee has completed continuing medical education requirements of any specialty organization which is recognized by the American Medical Association or American Osteopathic Association as at least equivalent to their recognition awards; and

(b) Certification is in effect at the time a license is renewed; or

(4) Submit verification that the licensee is in, or has been in, an approved postgraduate training program. Each year of postgraduate training shall be equivalent to fifty (50) hours of continuing medical education.

Section 3. Required Hours of Continuing Education.

(1)

(a) For each three (3) year continuing education cycle, a licensee shall complete a total of sixty (60) hours of continuing medical education, if his or her license has been renewed for each year of a continuing medical education cycle.

(b) If the license has not been renewed for each year of a continuing medical education cycle, a licensee shall complete twenty (20) hours of continuing medical education for each year for which the license has been renewed.

(c) A licensee whose initial licensure was granted the first year of the continuing education cycle for which verification is submitted shall complete sixty (60) hours of continuing medical education before the end of the cycle.

(d) A licensee whose initial licensure was granted the second year of the continuing education cycle for which verification is submitted shall complete forty (40) hours of continuing medical education before the end of the cycle.

(e) A licensee whose initial licensure was granted the third year of the continuing education cycle for which verification is submitted shall complete twenty (20) hours of continuing medical education before the end of the cycle.

(2) Upon renewal of licensure following the end of a three (3) year continuing education cycle, a licensee shall certify that he or she has met the continuing medical education requirements for the cycle as provided by this section.

(3) Verification of completion of continuing medical education requirements shall be submitted upon request by the board.

Section 4. Extensions of Time.

(1) To request an extension of time, the licensee shall submit:

(a) A completed Request for Extension to Complete Required CME Hours; and

(b) The fee required by 201 KAR 9:041, Section 1(17).

(2) The board may grant an extension of time to a physician who for sufficient cause has not yet received continuing medical education certification, following the submission of the items required by subsection (1) of this section. For the purposes of this subsection, sufficient cause includes situations such as the following:

(a) An illness;

(b) Any event meeting the Family Medical Leave Act (FMLA) of 1993, 29 U.S.C. 2601 et seq., Pub.L. 103-3 criteria, and the federal regulations implementing the act, 29 C.F.R. Part 825;

(d) Practice circumstances making it prohibitive to attend the courses.

Section 5.

(1) For each three (3) year continuing education cycle beginning on January 1, 2015, a licensee who is authorized to prescribe or dispense controlled substances within the commonwealth at any time during that cycle shall complete at least four and one-half (4.5) hours of approved continuing education hours relating to the use of KASPER, pain management, addiction disorders, or a combination of two (2) or more of those subjects. A licensee may satisfy this requirement by completing a single approved program of four and one-half (4.5) hours or longer or by completing multiple approved programs for a total of four and one-half (4.5) hours or longer for that cycle.

(2) Each physician licensed to practice medicine or osteopathy within the Commonwealth of Kentucky who is authorized to prescribe or dispense controlled substances within the commonwealth from July 20, 2012 through the end of the three (3) year continuing education cycle beginning on January 1, 2012 and ending on December 31, 2014 shall complete at least four and one-half (4.5) hours of approved Category I Credit continuing medical education hours relating to the use of KASPER, pain management, addiction disorders, or a combination of two (2) or more of those subjects on or before December 31, 2014. The licensee may satisfy this requirement by completing a single approved program of four and one-half (4.5) hours or longer or by completing multiple approved programs for a total of four and one-half (4.5) hours or longer for this cycle.

(3) Each physician licensed to practice medicine or osteopathy within the Commonwealth of Kentucky who is authorized to prescribe or dispense controlled substances during the calendar years 2013 and 2014, but not during any portion of 2012, shall complete at least three (3) hours of approved Category I Credit continuing medical education hours relating to the use of KASPER, pain management, addiction disorders, or a combination of two (2) or more of those subjects on or before December 31, 2014. The licensee may satisfy this requirement by completing a single approved program of three (3) hours or longer or by completing multiple approved programs for a total of three (3) hours or longer for those two (2) years.

(4) Each physician licensed to practice medicine or osteopathy within the Commonwealth of Kentucky who is authorized to prescribe or dispense controlled substances during calendar year 2014, but not during any portion of 2012 or 2013, shall complete at least one and one-half (1.5) hours of approved Category I Credit continuing medical education hours relating to the use of KASPER, pain management, addiction disorders, or a combination of two (2) or more of those subjects on or before December 31, 2014. The licensee may satisfy this requirement by completing a single approved program of one and one-half (1.5) hours or longer or by completing multiple approved programs for a total of one and one-half (1.5) hours or longer for that calendar year.

(5)

(a) To qualify as approved continuing education under this section, the educational program shall have been approved in advance for the specified number of continuing education hours by the board.

(b) The board may approve an educational program that:

Consists of a live presentation;
Is presented by a live or recorded webinar; or
Is presented through an online module.

(c) The board shall maintain a current listing of approved continuing education programs on its official Web site, www.kbml.ky.gov.

(6)

(a) In order to lawfully prescribe or dispense controlled substances within the Commonwealth of Kentucky, a licensee shall complete the required number of continuing education hours for each period designated in this section.

(b) Failure to complete the required number of continuing education hours for the required period or to submit the required written verification within the time specified shall constitute a violation of KRS 311.595(9) and (12), which shall constitute an immediate danger to the public health, safety, or welfare, for the purposes of KRS 311.592 and 13B.125.

(c) If the board determines that a licensee has failed to complete the required continuing education hours within the time specified or has failed to provide the written verification of completion within the time specified, the appropriate inquiry panel or its chair shall promptly issue an emergency order restricting that licensee from prescribing or dispensing controlled substances within the Commonwealth of Kentucky until the licensee has completed the required continuing education hours for that period and has provided written verification of completion to the board.

(d) An emergency order restricting a licensee from prescribing or dispensing controlled substances within the Commonwealth of Kentucky issued pursuant to paragraph (c) of this subsection shall remain valid and in effect until the board has received written verification that the licensee has successfully completed the required continuing education hours for the time period specified. Upon receipt of the written verification, the panel or its chair shall immediately issue an order terminating the emergency order issued pursuant to this section.

(e) If a licensee who is affected by an emergency order issued pursuant to this section requests an emergency hearing pursuant to KRS 13B.125(3), the hearing officer conducting the emergency hearing shall affirm the emergency order if presented with written notification on board letterhead stating that the board has not received the required written verification that the licensee completed the required continuing education hours for the continuing medical education cycle by the deadline date for the cycle.

(7) If a licensee prescribes or dispenses a controlled substance within the Commonwealth of Kentucky during any period after the licensee has failed to complete the required continuing education hours within the time specified or has failed to provide written verification of completion within the time specified, each instance of prescribing or dispensing of a controlled substance shall constitute a separate violation of KRS 311.595(12) and (9), as illustrated by KRS 311.597(1)(b), and shall serve as the basis for disciplinary sanctions pursuant to KRS 311.595.

Section 6. Each licensee practicing in the specialty of pediatrics, radiology, family medicine, or emergency medicine and each licensee practicing in an urgent care practice environment shall complete at least one (1) hour of continuing medical education regarding the recognition and prevention of pediatric abusive head trauma in a course approved by the board pursuant to KRS 620.020, prior to December 31, 2017, or within five (5) years of initial licensure.

Section 7. A licensee may obtain Category I continuing medical education credit for documented service to the board as a medical or osteopathic consultant. The service shall be credited at the rate of one (1) hour of continuing medical education per two (2) hours of service as a consultant, not to exceed twenty (20) hours continuing medical education credit in a three (3) year continuing education cycle.

Section 8. The board may randomly require physicians submitting certification of continuing medical education to demonstrate satisfactory completion of the continuing medical education requirements stated in the certification.

Section 9.

(1) A licensee shall be fined $200 or more, if he or she fails to:

(a) Certify timely completion of the continuing medical education requirements; or

(b) Obtain an extension of time for completion of the continuing medical education requirements.

(2)

(a) A licensee who obtains an extension of time shall be granted an extension of six (6) months to come into compliance.

(b) If a licensee has not completed the continuing medical education requirements within the six (6) month extension established by this subsection, his or her license shall:

Be immediately suspended; and
Remain suspended until the licensee has submitted verifiable evidence that he or she has completed the continuing education requirements.

Section 10. A waiver of the requirements established by the provisions of this administrative regulation shall not be granted.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Continuing Medical Education Certification Form", January 2013; and

(b) "Request for Extension to Complete Required CME Hours", January 2013.

History

RELATES TO: KRS 214.610, 214.620, 218A.205, 311.565(1)(b), 311.601, 620.020
STATUTORY AUTHORITY: KRS 311.565(1)(a), (b), 311.601(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.601(1) authorizes the board to promulgate an administrative regulation that establishes requirements to ensure the continuing professional competency of licensees. This administrative regulation establishes continuing medical education requirements for physicians in Kentucky, including requirements for courses relating to the use of KASPER, pain management, and addiction disorders required for physicians who prescribe or dispense controlled substances in the Commonwealth of Kentucky.
History: 20 Ky.R. 163; 744; eff. 10-13-1993; 23 Ky.R. 2840; 3557; eff. 3-19-1997; 28 Ky.R. 2243; 2570; eff. 6-14-2002; 39 Ky.R. 526; 1676; eff. 3-4-2013; 41 Ky.R. 1132; 1783; eff. 2-26-2015; 42 Ky.R. 461; 1464; eff. 11-18-2015; 44 Ky.R. 1871; eff. 5-4-2018; Crt eff. 2-26-2025.

201 KAR 9:350 Expungement {#sec-201-kar-9-350 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:350}

Section 1. Definition. "Expungement" means that:

(1) The affected records shall be sealed;

(2) The proceedings to which they refer shall be deemed to have not occurred; and

(3) The affected party may properly represent that no record exists regarding the matter expunged.

Section 2. Minor Violations and Expungement Procedure.

(1) The following violations are to be considered minor in nature:

(a) Failure to timely renew a license or certificate;

(b) Failure to timely obtain required continuing medical education; and

(2) A licensee or certificate holder seeking expungement of a record of a disciplinary action resulting from a violation designated in subsection (1) of this section shall, in accordance with KRS 311.275:

(a) Submit a written request to the board, no sooner than three (3) years following completion of any disciplinary sanctions imposed under the action sought to be expunged;

(b) Certify that the licensee or certificate holder has not been disciplined for any subsequent violation of KRS Chapter 311 during that three (3) year period; and

(3) The board shall consider each request and may, if the conditions of subsection (2) of this section are satisfied, expunge all records relating to the disciplinary action being expunged.

History

RELATES TO: KRS 311.530-311.620
STATUTORY AUTHORITY: KRS 311.275, 311.565
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.275 and 311.565 authorize the board to promulgate administrative regulations regarding the expungement of records of its licensees or certificate holders. This administrative regulation establishes the violations that may be expunged and the criteria and procedure for expungement.
History: 201 KAR 009:350. 30 Ky.R. 769; 1204; eff. 11-19-2003; Crt eff. 12-20-2018; Crt eff. 10-24-2025.

201 KAR 9:360 Continuing education requirements for physician assistants {#sec-201-kar-9-360 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:360}

Section 1. Continuing Medical Education.

(1) At the time a licensee seeks to renew his or her license, the licensee shall certify that he or she has met the continuing education requirements for the two (2) year continuing education cycle using the Continuing Education Certification Form provided by the board and submitting it by the renewal deadline.

(2) The board may randomly require licensees submitting certification of continuing education to demonstrate satisfactory completion of the continuing education hours stated in the certification by providing verification documentation. If requested, the licensee shall provide verification within ten (10) days of receiving the request from the board.

Section 2. Required Hours of Continuing Education.

(1) For each two (2) year renewal period and continuing education cycle, a licensee shall complete a minimum of 100 hours of continuing education approved by the following:

(a) The American Medical Association;

(b) The American Osteopathic Association;

(d) The American Academy of Physician Assistants; or

(e) Another entity approved by the board.

(2) If the licensee is authorized to prescribe or administer controlled substances, for each two (2) year continuing education cycle, the licensee shall complete, as part of the required 100 continuing education hours, a minimum of seven and one-half (7.5) hours of board-approved continuing education relating to:

(a) Controlled substance diversion;

(b) Pain management;

(d) The use of KASPER; or

(e) Any combination of two (2) or more of these subjects.

(3) If the licensee is authorized to prescribe or administer Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone, the licensee shall complete, as part of the required 100 continuing education hours, a minimum of twelve (12) hours of board-approved continuing education relating to addiction medicine for each two (2) year continuing education cycle.

(4) A licensee shall not be granted authorization for prescriptive authority of controlled substances or Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone until he or she submits to the board proof of completion of the minimum hours of continuing education in subsections (2) and (3) of this section within the prior two (2) years.

(5)

(a) To qualify as board-approved continuing education under subsections (2) and (3) of this section, the educational program shall have been approved in advance for the specified number of continuing education hours by the board.

(b) The board may approve an educational program that:

Consists of a live presentation;
Is presented by a live or recorded webinar; or
Is presented through an online module.

(c) The board shall maintain a current listing of approved continuing education programs on its official website, www.kbml.ky.gov.

Section 3. Continuing education related to pediatric abusive head trauma.

(1) Each licensee shall complete at least one and one-half (1.5) hours of continuing education regarding the recognition and prevention of pediatric abusive head trauma in a course approved by the board pursuant to KRS 620.020, within the first two (2) years of initial licensure or prior to the expiration of first renewal cycle after the promulgation of this administrative regulation. These hours shall be counted toward the 100 continuing education hours required in Section 2 of this administrative regulation.

(2) Licensees may submit pediatric abusive head trauma course curriculum taught in their physician assistant graduate education to count toward the required one and one-half (1.5) hours for approval.

Section 4. Continuing education related to Alzheimer's and other forms of dementia.

(1) Each licensee shall complete at least one (1) hour of continuing education regarding Alzheimer's and other forms of dementia as set forth in subsection (2) of this section within the first two (2) years of initial licensure or prior to the expiration of first renewal cycle after the promulgation of this administrative regulation. These hours shall be counted toward the 100 continuing education hours required in Section 2 of this administrative regulation.

(2) The course topics shall include but not be limited to:

(a) The warning signs and symptoms of Alzheimer's disease and other forms of dementia;

(b) The importance of early detection, diagnosis, and appropriate communication techniques for the discussion of memory concerns with the patient and his or her caregiver;

(d) The variety of tools used to assess a patient's cognition; and

(e) Current treatments that may be available to the patient.

(3) Licensees may submit Alzheimer's disease and other forms of dementia course curriculum taught in their physician assistant graduate education to count towards the required one (1) hour for approval.

Section 5. Sanctions.

(1) Failure to complete the required number of continuing education hours for the required period or to submit the required written verification within the time specified within this administrative regulation shall constitute a violation of KRS 311.850(1)(p) and (s), which shall constitute an immediate danger to the public health, safety, or welfare, for the purposes of KRS 311.852 and 13B.125.

(2) If the board determines that a licensee has failed to complete the required continuing education hours within the time specified or has failed to provide the written verification of completion within the time specified, the appropriate inquiry panel or its chair shall promptly issue an emergency order suspending the licensee from practice or restricting that licensee from prescribing or administering controlled substances within the Commonwealth of Kentucky until the licensee has completed the required continuing education hours for that period and has provided written verification of completion to the board.

(3) An emergency order issued pursuant to subsection (2) of this section shall remain valid and in effect until the board has received written verification that the licensee has successfully completed the required continuing education hours for the time period specified. Upon receipt of the written verification, the panel or its chair shall immediately issue an order terminating the emergency order issued pursuant to this section.

(4) If a licensee who is affected by an emergency order issued pursuant to this section requests an emergency hearing pursuant to KRS 13B.125(3), the hearing officer conducting the emergency hearing shall affirm the emergency order if presented with written notification on board letterhead stating that the board has not received the required written verification that the licensee completed the required continuing education hours for the continuing medical education cycle by the deadline date for the cycle.

Section 6. Extensions of Time.

(1) To request an extension of time, the licensee shall submit:

(a) A completed Request for Extension to Complete Required CE Hours; and

(b) The fee established in 201 KAR 9:041, Section 1(17).

(2) The board may grant an extension of time to a licensee who for sufficient cause has not yet received continuing education certification, following the submission of the items required by subsection (1) of this section. For the purposes of this subsection, sufficient cause shall include situations such as:

(a) An illness;

(b) Any event meeting the Family Medical Leave Act (FMLA) of 1993, 29 U.S.C. 2601 et seq., Pub.L. 103-3 criteria, and the federal regulations implementing the act, 29 C.F.R. Part 825;

(d) Practice circumstances making it prohibitive to attend the courses.

(3)

(a) A licensee who obtains an extension of time shall be granted an extension of six (6) months to come into compliance.

(b) If a licensee has not completed the continuing education requirements within the six (6) month extension established by this subsection, his or her license shall:

Be immediately suspended; and
Remain suspended until the licensee has submitted verifiable evidence that he or she has completed the continuing education requirements.

Section 7. A waiver of the requirements established by this administrative regulation shall not be granted.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Continuing Education Certification Form", 112025; and

(b) "Request for Extension to Complete Required CE Hours", 072020.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Medical Licensure, 310 Whittington Parkway, Suite 1B, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's website at: http://kbml.ky.gov.

History

RELATES TO: KRS 13B.125(3), 214.610, 214.620, 218A.205, 311.565(1)(b), 311.601, 311.842(1), 311.844, 311.850(1)(p), (s), 311.852, 620.020
STATUTORY AUTHORITY: KRS 218A.205(3)(i), 311.565(1)(a), (b), 311.601(1), (2), 311.842(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.601(1) authorizes the board to promulgate an administrative regulation that establishes requirements to ensure the continuing professional competency of licensees. KRS 311.842(1) requires the board to promulgate administrative regulations relating to the licensing and regulation of physician assistants. This administrative regulation establishes continuing medical education requirements for physician assistant licensees in Kentucky, including requirements for courses relating to the use of KASPER, pain management, and addiction disorders required for licensees who prescribe or dispense controlled substances in the Commonwealth of Kentucky, pediatric abusive head trauma, and Alzheimer's and other forms of dementia.
History: 201 KAR 009:360. 39 Ky.R. 671; 1177; 1668; 2002; eff. 3-4-2013; 44 Ky.R. 265, 736, 905; eff. 11-15-2017; 45 Ky.R. 743; eff. 12-12-2018; 47 Ky.R. 473, 948; eff. 11-19-2020; 52 Ky.R. 1189, 1687; eff. 6-16-2026.

201 KAR 9:400 Fee schedule regarding surgical assistants {#sec-201-kar-9-400 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:400}

Section 1. Fee Schedule for Surgical Assistants.

(1) Fee for initial issuance of regular certificate - fifty (50) dollars.

(2) Fee for annual renewal of certificate (due before September 1) - twenty-five (25) dollars.

(3) Fee for late renewal between September 1 and November 29 - thirty-seven (37) dollars and fifty (50) cents.

(4) Fee for late renewal between November 30 and August 30 - fifty (50) dollars.

(5) Issuance of duplicate wallet card - one (1) dollar.

(6) Issuance of duplicate wall certificate - ten (10) dollars.

(7) Verification of state certificate to another licensing agency - ten (10) dollars.

History

RELATES TO: KRS 311.870(1)(f)
STATUTORY AUTHORITY: KRS 311.870(1)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.870(1)(f) authorizes the board to promulgate administrative regulations necessary to establish fees relating to the certification and regulation of surgical assistants. This administrative regulation establishes a schedule of fees for services rendered by the board.
History: 201 KAR 009:400. 33 Ky.R. 1469; eff. 2-2-2007; Crt eff. 9-28-2018; Crt eff. 9-10-2025.

201 KAR 9:450 Fee schedule regarding acupuncturists {#sec-201-kar-9-450 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:450}

Section 1. Fee Schedule for Acupuncturists.

(1) The fee for initial issuance of a regular license shall be $150.

(2) The fee for biennial renewal of a license shall be $150.

(3) The penalty fee for late renewal of a license shall be fifty (50) dollars.

(4) The fee for issuance of a duplicate wallet card shall be five (5) dollars.

(5) The fee for issuance of a duplicate wall certificate shall be ten (10) dollars.

(6) The fee for verification of a state license to another licensing agency shall be ten (10) dollars.

History

RELATES TO: KRS 311.671, 311.673(1)
STATUTORY AUTHORITY: KRS 311.673(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.673(1) authorizes the board to promulgate administrative regulations necessary to establish fees relating to the licensure and regulation of acupuncturists. This administrative regulation establishes a schedule of fees for services rendered by the board.
History: 33 Ky.R. 1470; eff. 2-2-2007; Am. 1135; eff. 2-26-2015; Cert. eff. 2-23-2022.

201 KAR 9:460 Written plan {#sec-201-kar-9-460 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:460}

Section 1. The written plan developed by each licensed acupuncturist shall include the following information:

(1) Consultation.

(a) The acupuncturist shall identify the protocol to be used to determine whether a potential patient suffers from one of the potentially serious disorders or conditions listed in KRS 311.680(3), and to determine the identity of the physician treating the patient for the disorder or condition.

(b) The acupuncturist shall identify the telephone, facsimile, letter, or electronic mail as the means of communication to be used to:

Notify the treating physician that the patient is seeking treatment by acupuncture and has disclosed that he or she is being treated for a potentially serious disorder or condition; and
Obtain verification that the patient is under the care of the physician.

(c) The acupuncturist shall identify the method that will be used to document the consultation and verification made pursuant to paragraph (b)2 of this subsection. If notification and verification are accomplished by telephone, the documentation shall include, at a minimum, the name of the staff member in the physician's office providing the verification.

(d) The acupuncturist shall specify how many attempts he or she will make to obtain verification from the treating physician that the patient is under the care of before initiating treatment by acupuncture. A minimum of two (2) attempts is required before treatment is initiated, but the acupuncturist may choose a higher number of attempts.

(e) While verifying whether the patient is under the physician's care for a potentially serious disorder or condition, if the physician identifies possible contraindications for the use of acupuncture in the particular patient or recommends against the use of acupuncture, the acupuncturist may use her or his professional judgment to determine if it is reasonable to provide acupuncture treatment to that particular patient, considering all available facts.

(f) A potential patient shall be considered to be "under the care of a physician" if receiving regular or recurring treatment from the physician or from a physician assistant being supervised by the physician or from an advanced registered nurse practitioner who is practicing in association with the physician.

(2) Emergency transfer.

(a) The licensed acupuncturist shall identify the nearest emergency room facility by name, address and telephone number.

(b) The licensed acupuncturist shall identify the protocol for emergency transfer of patients which shall include, at a minimum, the requirement that the acupuncturist will utilize the "911" emergency notification system to arrange for emergency transfer of the patient.

(3) Referral to appropriate health-care facilities or practitioners.

(a) The acupuncturist shall identify, by name, address and telephone number, at least two (2) physicians who have agreed to consult with and accept referrals from the acupuncturist.

(b) If applicable, the acupuncturist shall also identify health-care facilities that have agreed to accept referrals from the acupuncturist.

History

RELATES TO: KRS 311.671, 311.673(1), 311.680
STATUTORY AUTHORITY: KRS 311.673(1), 311.680(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.680(1) requires each licensed acupuncturist to develop a written plan for consultation, emergency transfer, and referral and requires the board to promulgate an administrative regulation establishing requirements for the plan. This administrative regulation establishes requirements for the written plan.
History: 33 Ky.R. 4269; Am. 34 Ky.R. 231; eff. 8-16-2007; 41 Ky.R. 1136; 1784; eff. 2-26-2015; Cert. eff. 2-23-2022.

201 KAR 9:470 Standardized medical order for scope of treatment form {#sec-201-kar-9-470 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:470}

Section 1. Definition. "MOST form" means the medical order for scope of treatment form defined in KRS 311.621(12).

Section 2. Format of the MOST form.

(1) The MOST form maintained in the patient's medical chart may be electronic or printed.

(2) If printed, it shall be:

(a) Printed on a single double-sided eight and a half (8.5) x eleven (11) inch piece of paper; and

(b) In a typed font of a size and style sufficient to include the information mandated by KRS 311.6225(1) and (3).

(3) The acceptable and prevailing medical practice shall be for a licensee to use the standardized MOST form developed and adopted by the board.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "MOST, Medical Orders for Scope of Treatment", June 2022; and

(b) "MOST Form Spanish", June 2022.

(3) An electronically fillable version of the MOST form shall be available for print or download on the board's Web site at http://kbml.ky.gov.

History

RELATES TO: KRS 311.530-311.620, 311.621 - 311.643, 311.990
STATUTORY AUTHORITY: KRS 311.565(1)(a), 311.6225(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.565(1)(a) authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. KRS 311.6225(2) requires the board to promulgate administrative regulations to develop the format for a standardized medical order for scope of treatment form to be approved by the board. This administrative regulation establishes the format of the standardized medical order for scope of treatment form approved by the board and authorized for use by board licensees practicing within the Commonwealth of Kentucky.
History: 42 Ky.R. 1668; 2323; eff. 3-4-2016; 49 Ky.R. 13444; eff. 3-9-2023.

201 KAR 9:480 Fee schedule regarding genetic counselors {#sec-201-kar-9-480 omnilex-key=us-ky-regs-official--title-201--201 KAR 9:480}

Section 1. Fee Schedule for Genetic Counselors.

(1) The fee for a temporary license or initial issuance of a regular license shall be $150.

(2) The fee for renewal of a regular license shall be $150.

(3) The fee for reinstatement of an inactive license shall be the current renewal fee, plus ten (10) dollars.

(4) The fee for issuance of a duplicate wallet card shall be five (5) dollars.

(5) The fee for issuance of a duplicate wall license shall be ten (10) dollars.

(6) The fee for verification of a state license to another licensing agency shall be (10) dollars.

History

RELATES TO: KRS 311.695, 311.697, 311.699
STATUTORY AUTHORITY: KRS 311.699
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.699 requires the board to promulgate administrative regulations relating to the licensing and regulation of genetic counselors and to establish fees relating to the issuance and renewal of genetic counselor licenses. This administrative regulation establishes a schedule of fees for services rendered by the board.
History: 44 Ky.R. 1725; 1970; eff. 3-15-2018; Crt eff. 2-26-2025.

Chapter 10 Board of Landscape Architects

201 KAR 10:010 Board personnel {#sec-201-kar-10-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:010}

Section 1. Duties of Board Personnel.

(1) The board shall appoint an executive director who shall be responsible:

(a) For accurate and complete records of all transactions of the board; and

(b) For the administrative functioning of the board.

(2) The executive director shall inform each applicant of the addresses of the web pages where applications, board administrative regulations, and KRS Chapter 323A are accessed.

History

RELATES TO: KRS 323A.210
STATUTORY AUTHORITY: KRS 323A.210(2)(b)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.210(1)(b) requires the board to keep complete and accurate records. This administrative regulation requires the executive director to be responsible for accurate and complete records of all board transactions, and administrative functioning of the board.
History: 201 KAR 010:010. 1 Ky.R. 592; eff. 4-9-75; Am. 16 Ky.R. 1234; eff. 2-3-90; 24 Ky.R. 131; 561; eff. 11-14-97; 29 Ky.R. 1002; 1520; eff. 12-18-02; Crt eff. 1-16-2020; 52 Ky.R. 422; eff. 3-3-2026.

201 KAR 10:030 Code of ethics {#sec-201-kar-10-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:030}

Section 1. Code of Ethics.

(1) A violation of this code of ethics shall be considered unprofessional conduct pursuant to KRS 323A.110(2).

(2)

(a) The landscape architect shall conduct the landscape architect's practice in order to protect the life, health, property, and welfare of the public and shall at all times recognize that his or her primary obligation is to protect the life, health, property, and welfare of the public in the performance of his or her professional duties.

(b) If his or her landscape architectural judgment is overruled under circumstances involving the safety, health, and welfare of the public being endangered, the landscape architect shall inform his or her employer of the possible consequences and notify another proper authority of the situation, as may be appropriate.

(3) The landscape architect shall perform his or her services only in areas of the landscape architect's competence.

(a) The landscape architect shall perform landscape architectural assignments only if qualified by education or experience in the specific technical field of professional landscape architecture involved;

(b) The landscape architect may accept an assignment requiring education or experience outside of his or her own field of competence, but only to the extent that his or her services shall be restricted to those phases of the project in which he or she is qualified. All other phases of that project shall be performed by qualified associates, consultants, or employees;

(c) The landscape architect shall not affix his or her signature or seal to any landscape architectural plan or document dealing with subject matter to which he or she lacks competence by virtue of education or experience, or to any plan or document not prepared under his or her direct supervisory control; and

(d) It shall be the responsibility of the licensee to demonstrate competence in the specific technical field in which the licensee is practicing.

(4) The landscape architect shall be completely objective and truthful in all professional reports, and shall include all relevant and pertinent information in those reports.

(5) The landscape architect shall avoid conflicts of interest:

(a) The landscape architect shall avoid all conflicts of interest with his or her employer or client and shall promptly inform his or her employer or client of any business association, interests, or circumstances which may influence his or her judgment or the quality of his or her services;

(b) The landscape architect shall not accept compensation, financial or otherwise, from more than one (1) party for services pertaining to the same project, and the circumstances shall be fully disclosed to, and agreed to, by all interested parties;

(c) The landscape architect shall not solicit or accept financial or other valuable considerations from material or equipment suppliers for specifying their products;

(d) The landscape architect shall not solicit or accept financial or other valuable considerations, directly or indirectly, from contractors, their agents, or other parties dealing with his or her client or employer in connection with work for which he or she is responsible;

(e) If in public service as a member, advisor, contractor, or employee of a governmental body or department, the landscape architect shall not participate in considerations or actions with respect to services provided by the landscape architect or his or her organization in related private landscape architectural projects, and shall not perform private landscape architectural work in exchange for financial or other valuable considerations received from the governmental body or department;

(f) The landscape architect shall not solicit or accept a landscape architectural contract from a governmental body on which a principal or officer of his or her organization serves as a member; or

(g) The landscape architect shall not attempt to supplant another landscape architect after definite steps have been taken by a client toward the latter's employment, or accept a commission for tasks for which another landscape architect has been employed, without first conclusively determining that the latter's employment has been terminated.

(6) The landscape architect shall solicit or accept work only on the basis of his or her qualifications.

(a) The landscape architect shall not offer to pay, either directly or indirectly, any commission, political contribution, or a gift, or other consideration in order to secure work, exclusive of the hiring of qualified bona fide employees to perform essential tasks necessary for the completion of the project.

(b) The landscape architect shall seek professional employment on the basis of qualification and competence for proper accomplishment of the work.

(c) The landscape architect shall not falsify or permit misrepresentation of the landscape architect's, or his or her associates', academic or professional qualifications. He or she shall not misrepresent or exaggerate his or her degree of responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, associates, joint ventures, or the landscape architect's or their past accomplishments with the intent and purpose of enhancing his or her qualifications and his or her work.

(7) In the practice of landscape architecture, a landscape architect shall associate only with reputable persons or organizations.

(a) The landscape architect shall not knowingly associate with or permit the use of his or her name or firm in a business venture by any person or firm which he or she knows, or has reason to believe, is engaging in business or professional practices of a fraudulent or dishonest nature, or in violation of 201 KAR Chapter 10; or

(b) If the landscape architect has knowledge or reason to believe that another person or firm may be in violation of 201 KAR Chapter 10 or KRS Chapter 323A, he or she shall present that information to the board in writing and shall cooperate with the board in furnishing any further information or assistance as may be required by the board.

(8)

(a) A landscape architect who has an active license issued by the board shall self-report any felony convictions to the board in writing, including felony convictions where a plea of nolo contendere or no contest is the basis of the conviction; and

(b) The self-report shall be filed within thirty (30) days of the date of entry of the conviction and shall include a true and complete copy of the record of conviction and a letter of explanation.

(9)

(a) A landscape architect who has an active license issued by the board shall self-report in writing to the board if any professional or business license that is issued to the landscape architect by any agency of the Commonwealth or any other jurisdiction is subject to disciplinary action; and

(b) The self-report shall be filed within thirty (30) days of the date of entry of the disciplinary action and shall include a true and complete copy of the disciplinary action and a letter of explanation.

History

RELATES TO: KRS 323A.110
STATUTORY AUTHORITY: KRS 323A.210(2)(b)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.110(2) authorizes the board to discipline a licensee for unprofessional conduct. KRS 323A.210(2)(b) authorizes the board to promulgate reasonable administrative regulations consistent with KRS Chapter 323A that are necessary to carry out the provisions of KRS Chapter 323A. This administrative regulation establishes the code of ethics intended to provide guidelines for the determination of unprofessional conduct by landscape architects practicing in the state and for the protection of the public they will be serving.
History: 201 KAR 010:030. 1 Ky.R. 593; eff. 4-9-1975; Am. 16 Ky.R. 1234; eff. 2-3-1990; 29 Ky.R. 1003; 1521; eff. 12-1820-02; Cert eff. 1-16-2020; 50 Ky.R. 1744; eff. 7-30-2024; 52 Ky.R. 423, 949; eff. 3-3-2026.

201 KAR 10:040 Applications {#sec-201-kar-10-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:040}

Section 1. Application for Initial License.

(1) An applicant for a license as a landscape architect shall file a completed Application for License to Practice Professional Landscape Architecture. The application shall be submitted and signed electronically by the applicant certifying that the application and attachments, if any, are true and complete and the applicant is familiar with and agrees to abide by the provisions of KRS Chapter 323A and the administrative regulations in 201 KAR Chapter 10.

(2)

(a) An applicant shall take and pass the Landscape Architect Registration Examination (LARE).

(b) The applicant shall cause the results of the LARE to be sent to the board by the exam administrator.

(3) The application fee prescribed in 201 KAR 10:050, Section 1(3), shall accompany the application.

Section 2. Verification of Work Experience.

(1) An applicant shall cause a Verification of Work Experience form to be submitted electronically by a former or present employer. The former or present employer shall submit the form directly to the board.

(2) Military experience shall be acceptable if it has been gained in landscape architecture as defined by KRS 323A.010(3).

(3) The sale or installation of a product such as landscape materials (plants and construction) shall not be considered professional experience.

(4) A plan or sketch drawn by a person solely for the promotion or sale of that person's products shall not be considered professional experience.

Section 3. Reciprocity.

(1) An applicant who seeks a license pursuant to KRS 323A.050(1) shall electronically submit:

(a) Satisfactory proof of a license in good standing in a state or country in which the applicant is licensed; and

(b) Proof of successful completion of the LARE.

(2)

(a) An applicant for licensure by reciprocity who was educated in the United States shall have graduated from a school that is accredited by the Landscape Architectural Accreditation Board (LAAB).

(b) An applicant for licensure by reciprocity who was educated outside the United States shall provide documentation electronically from an educational assessment organization approved by the board that the applicant's education is equal to an accredited landscape architecture curriculum approved by the board. The applicant shall be responsible for any fee charged by the organization.

Section 4. Board Consideration of Applications for Licensure.

(1) Each applicant for reinstatement, reactivation, or initial licensure by the board shall be considered and voted on by the board.

(2) Approval of an applicant shall require a majority vote of a voting quorum of the board.

(3) The action taken by the board shall be recorded in the board minutes.

(4) A copy of the letter from the board notifying an applicant of the board's decision regarding application shall be placed in the applicant's file.

Section 5. Renewal.

(1) A licensee shall renew a license annually by July 1 by completing the online renewal form and paying the renewal fee required by 201 KAR 10:050. An active license may be renewed as active, inactive, or retired status. An inactive or retired license may only be renewed as an inactive or retired license. An active, inactive, or retired status license shall expire if not renewed by July 1 each year.

(2) An active licensee who completes the online renewal application seeking active license status shall also complete the online Continuing Education Approval Request and Affidavit Form (Form #CE-1).

Section 6. Inactive License.

(1) A licensee may choose to inactivate the license. To do so, the licensee shall notify the board electronically.

(2) An inactive license shall be renewed annually to maintain inactive license status.

(3) During the period a license is inactive, a licensee shall:

(a) Be exempt from the provisions of 201 KAR 10:080; and

(b) Not practice landscape architecture.

Section 7. Reinstatement and Reactivation.

(1) Prior to reinstatement of a suspended or expired license or reactivation of an inactive or retired license, a licensee shall file a completed Application for Reinstatement/Reactivation of License to Practice Professional Landscape Architecture. The application shall be submitted and signed electronically by the applicant certifying that the application and attachments, if any, are true and complete and the applicant is familiar with and agrees to abide by the provisions of KRS Chapter 323A and the administrative regulations in 201 KAR Chapter 10.

(2) Prior to reinstatement of a suspended or expired license or reactivation of an inactive or retired license, the applicant shall demonstrate compliance with the continuing education requirements established in 201 KAR 10:080, Section 10, or the testing requirement established in KRS 323A.100(5).

(3) The application for reinstatement or reactivation shall be accompanied by the reinstatement or reactivation fee required by 201 KAR 10:050.

(4) The application for reinstatement or reactivation shall also be accompanied by either electronic submission of a Continuing Education Approval Request and Affidavit Form (Form #CE-1), or the results of the LARE to be sent to the board by the exam administrator.

Section 8. Retired License.

(1) A licensee who has retired from the practice of landscape architecture may request a retired license by notifying the board electronically.

(2) The request shall be accompanied by the renewal fee required by 201 KAR 10:050, and a retired license shall be renewed annually to maintain retired license status.

(3) When initially requesting retired license status, the licensee shall provide evidence of retirement, such as social security benefits or a public or private pension.

(4) During the period a license is retired, a licensee shall:

(a) Be exempt from the provisions of 201 KAR 10:080; and

(b) Not practice landscape architecture.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for License to Practice Professional Landscape Architecture", 1/2025;

(b) "Verification of Work Experience", 1/2025;

(d) "Continuing Education Approval Request and Affidavit Form (Form #CE-1)", 1/2025;

(e) "Application for Annual Inactive Renewal", 1/2025;

(f) "Application for Reinstatement/Reactivation of License to Practice Professional Landscape Architecture", 1/2025; and

(g) "Application for Annual Retired Renewal", 1/2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Landscape Architects, 1714 Perryville Road, Suite 200, Danville, Kentucky 40422, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available at https://kbla.ky.gov/Pages/Resources.aspx.

History

RELATES TO: KRS 323A.010, 323A.040, 323A.050, 323A.060, 323A.105
STATUTORY AUTHORITY: KRS 323A.210(2)(b)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.210 authorizes the board to promulgate administrative regulations necessary to implement KRS Chapter 323A. This administrative regulation establishes the procedures for the filing and processing of an application for licensure as a landscape architect.
History: 201 KAR 010:040. 1 Ky.R. 594; eff. 4-9-1975; Am. 16 Ky.R. 1236; eff. 2-3-1990; 24 Ky.R. 132; 561; eff. 11-14-1997; 29 Ky.R. 1005; 1760; eff. 1-16-2003; Cert eff. 1-16-2020; 50 Ky.R. 1745; eff. 7-30-2024; 52 Ky.R. 425, 950; eff. 3-3-2026.

201 KAR 10:050 Fees {#sec-201-kar-10-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:050}

Section 1. Fees. The following nonrefundable fees shall apply:

(1) Renewal fees:

(a) Active license: $250;

(b) Inactive license: sixty (60) percent of the active license renewal fee established in paragraph (a) of this subsection;

(c) Retired license: twenty-five (25) percent of the active license renewal fee established in paragraph (a) of this subsection;

(2) Duplicate license: twenty-five (25) dollars;

(3) Application fee: $250;

(4) Reinstatement fee:

(a) A reinstatement fee shall be based upon both the length of time that has passed since expiration or suspension, and whether active, inactive or retired licensure is sought.

(b)

If seeking active licensure, the reinstatement fee shall be as follows:

a. If reinstatement is sought within thirty (30) days of expiration or suspension, 120% of the license renewal fee established in subsection (1)(a) of this section;

b. If reinstatement is sought within thirty-one (31) to sixty (60) days of expiration or suspension, 140% of the license renewal fee established in subsection (1)(a) of this section;

c. If reinstatement is sought within sixty-one (61) days to one (1) year of expiration or suspension, 200% of the license renewal fee established in subsection (1)(a) of this section; and

d. If reinstatement is sought more than one (1) year after expiration or suspension, 300% of the license renewal fee established in subsection (1)(a) of this section.

If seeking inactive licensure, the reinstatement fee shall be as follows:

a. If reinstatement is sought within thirty (30) days of expiration or suspension, 120% of the license renewal fee established in subsection (1)(b) of this section;

b. If reinstatement is sought within thirty-one (31) to sixty (60) days of expiration or suspension, 140% of the license renewal fee established in subsection (1)(b) of this section;

c. If reinstatement is sought within sixty-one (61) days to one (1) year of expiration or suspension, 200% of the license renewal fee established in subsection (1)(b) of this section; and

d. If reinstatement is sought more than one (1) year after expiration or suspension, 300% of the license renewal fee established in subsection (1)(b) of this section.

If seeking retired licensure, the reinstatement fee shall be as follows:

a. If reinstatement is sought within thirty (30) days of expiration or suspension, 120% of the license renewal fee established in subsection (1)(c) of this section;

b. If reinstatement is sought within thirty-one (31) to sixty (60) days of expiration or suspension, 140% of the license renewal fee established in subsection (1)(c) of this section;

c. If reinstatement is sought within sixty-one (61) days to one (1) year of expiration or suspension, 200% of the license renewal fee established in subsection (1)(c) of this section; and

d. If reinstatement is sought more than one (1) year after expiration or suspension, 300% of the license renewal fee established in subsection (1)(c) of this section.

(5) Reactivation fee: equal to the active license renewal fee established in subsection (1)(a) of this section.

Section 2. The fees listed in Section 1(1) of this administrative regulation shall be paid annually.

History

RELATES TO: KRS 323A.040, 323A.050, 323A.060, 323A.100(1), (4), 323A.105
STATUTORY AUTHORITY: KRS 323A.060, 323A.100(1), 323A.210(2)(b)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.060 requires the board to promulgate administrative regulations to establish fees for services. This administrative regulation establishes fees for landscape architect licensees.
History: 201 KAR 010:050. 1 Ky.R. 594; eff. 4-9-1975; Am. 6 Ky.R. 493; eff. 5-7-1980; 15 Ky.R. 33; 950; eff. 9-9-1988; 18 Ky.R. 3497; 19 Ky.R. 1068; eff. 10-30-1992; 23 Ky.R. 170; eff. 9-11-1996; 25 Ky.R. 1432; eff. 2-12-1999; 29 Ky.R. 1006; 1522; eff. 12-18-2002; 35 Ky.R. 1834; eff. 7-6-2009; 37 Ky.R. 1510; 1970; eff. 3-4-2011; 41 Ky.R. 2131; eff. 7-6-2015; Cert eff. 1-16-2020; 46 Ky.R. 1607; eff. 5-5-2020; 50 Ky.R. 1748; eff. 7-30-2024; 52 Ky.R. 428; eff. 3-3-2026.

201 KAR 10:070 Seals {#sec-201-kar-10-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:070}

Section 1. Licensees' Seal. The seal required by KRS 323A.080 shall:

(1) Be two (2) inches in diameter; and

(2) Contain in the impression of the seal:

(a) The words "State of Kentucky" at the top between the two (2) knurled circles;

(b) The words "Licensed Landscape Architect" in a like position at the bottom;

(d) The individual's license number placed horizontally beneath the name.

Section 2.

(1) The seal shall be:

(a) An individual embossing seal;

(b) A rubber stamp seal; or

(2) An electronically generated seal shall be used only if:

(a) It is a unique identification of the landscape architect;

(b) It is verifiable;

(d) It is linked to a document in a manner so that changes are readily determined and visually displayed if any data contained in the document file was changed subsequent to the electronically generated seal having been affixed to the document;

(e) Changes to the document after affixing the electronically generated seal cause the seal to be removed or altered in a way as to invalidate the seal; and

(f) Once the seal is applied to the document, the document shall be available in a view-only format.

History

RELATES TO: KRS 323A.080
STATUTORY AUTHORITY: KRS 323A.080, 323A.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.080 requires that a licensed landscape architect secure an embossed circular seal of the design prescribed by the administrative regulation of the board and that a working drawing, specification or report prepared by, or under the supervision of, the individual, partnership, or firm bear the imprint of the seal. This administrative regulation prescribes the design and size of the required seal.
History: 1 Ky.R. 594; eff. 4-9-1975; Am. 24 Ky.R. 133; 563; eff. 11-14-1997; Cert eff. 1-16-2020; 50 Ky.R. 1749; eff. 7-30-2024.

201 KAR 10:080 Continuing education {#sec-201-kar-10-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:080}

Section 1. Definitions.

(1) "Annually" or "continuing education year" means a twelve (12) month period from July 1 of a calendar year through June 30 of the following calendar year.

(2) "Board" is defined by KRS 323A.010(1).

(3) "Continuing education hour" means a minimum of fifty (50) minutes of actual instruction.

(4) "Self-directed course" means a course of study that a licensee independently creates.

(5) "Sponsor" means an individual, organization, association, institution, or other entity that provides educational activity for the purpose of fulfilling the continuing education requirements of this administrative regulation.

(6) "Tour" means a review or inspection of a landscape architectural element specified in the definition of "practice of landscape architecture" established by KRS 323A.010(3).

Section 2. General Statement. Continuing education obtained by a licensee shall maintain, improve, or expand skills and knowledge obtained prior to initial licensure or develop new and relevant skills and knowledge that contribute to the health, safety, and welfare of the public.

Section 3. Continuing Education Requirements.

(1) An active licensee shall acquire twelve (12) hours of continuing education annually.

(2) A licensee may be credited for a maximum of six (6) hours of continuing education for a tour annually.

(3) A licensee may carry forward a maximum of twelve (12) hours of continuing education to meet the subsequent year's requirements.

Section 4. Approval of Continuing Education Programs.

(1) The board shall:

(a) Approve a continuing education program that it determines:

Is relevant to the practice of landscape architecture;
Furthers the competence of a licensee; and
Contributes to the health, safety, and welfare of the public; and

(b) Determine the number of continuing education hours allowed.

(2)

(a) Before the continuing education program is offered, a sponsor may submit a Continuing Education Preapproval Request and Affidavit (Form #CE-2) electronically, with an electronic copy of the hand-out materials, agenda, and a description of the topic as well as the presenter, teacher, or speaker.

(b) A sponsor shall not offer, present, or advertise a program as a continuing education program that meets the continuing education requirements for a licensee unless it has obtained the approval of the board.

(3) A licensee who completes an educational program that has not been submitted to the board for prior approval shall receive continuing education credit if:

(a) The licensee submits to the board a Continuing Education Preapproval Request and Affidavit (Form #CE-2) electronically, with an electronic copy of the course materials, agenda, a description of the course, qualifications of the presenter, examination if one (1) was given; and

(b) The board determines that the program meets the requirements of a continuing education program.

(4) Self-directed courses, including those completed online, audibly, or by video, that meet the requirements of this administrative regulation shall be accepted.

(5) Continuing education credits shall be given for one-half (1/2) the number of hours, not to exceed six (6) hours, of a tour if the licensee has submitted to the board a description of the tour and the board determines that the tour meets the requirements of a continuing education program.

Section 5.

(1) Continuing education activities may include a college or university course that is beyond the basic curriculum for a landscape architect and pertains to the practice of landscape architecture. The conversion of university credits to continuing education hours shall be:

(a) One (1) university quarter hour of credit shall equal twelve (12) continuing education hours.

(b) One (1) university semester hour of credit shall equal fifteen (15) continuing education hours.

(2)

(a) A landscape architect who presents a continuing education course shall be credited with twice the number of hours equal to the time spent teaching the course.

(b) Credit shall not be given for repeated instruction of the same course.

Section 6. Reporting of Continuing Education Activities.

(1) Upon license renewal, a licensee shall report continuing education activities online via the board website for the continuing education period ending June 30.

(2) The report of continuing education activities shall include:

(a) Name of activity;

(b) Date of activity;

(d) Continuing education hours earned.

(3) The report of continuing education activities shall be made online via the Continuing Education Approval Request and Affidavit Form (Form #CE-1), incorporated by reference in 201 KAR 10:040.

(4) A licensee shall maintain for two (2) continuing education years documentation verifying successful completion of the annual requirement.

Section 7. Verification of Continuing Education Activities.

(1) Following each renewal period, the board shall require between five (5) and fifteen (15) percent of the licensees, chosen randomly, to furnish electronic documentation of the completion of the appropriate number of continuing education hours for the previous renewal period, including hours carried forward from the previous year.

(2) Documentation of attendance and participation in a continuing education activity shall be made by electronic submission of a true and complete copy of an official document, including a:

(a) Transcript;

(b) Certificate of attendance;

(d) Summary of attendance and participation in electronic format.

(3) If not previously approved, the board shall determine whether the continuing education program submitted is relevant to the practice of landscape architecture and furthers the competence of the licensee.

(a) If the activity qualifies as continuing education, the board shall include the number of hours earned for that activity in determining if the applicant obtained the required twelve (12) hours of continuing education.

(b) If the activity does not qualify as continuing education, the board shall deduct the number of hours claimed for that activity from the total number of hours earned by the licensee. After this calculation, if a licensee does not have the required twelve (12) hours of continuing education, the board shall send written notification to the licensee that:

The licensee did not meet the continuing education requirements because an activity listed on the applicant's form as a continuing education activity did not qualify for continuing education credit; and
The board shall suspend his or her license if the requirements of subsection (4) of this section are not met.

(4) The license of the licensee shall be suspended if the licensee fails to:

(a) Complete the required number of continuing education hours within sixty (60) days of the notification from the board; and

(b) Submit online to the board a completed and updated electronic Continuing Education Approval Request and Affidavit Form (Form #CE-1) within sixty-five (65) days of the notification from the board.

Section 8. Reciprocity. Credit for continuing education earned by a licensee who does not reside in Kentucky shall be granted if the licensee meets all the requirements of this administrative regulation.

Section 9. Exempt Licensee.

(1) A licensee shall be exempt from the continuing education requirements:

(a) For the partial year period of initial licensure;

(b) During the period of time in which the licensee has an inactive or retired license; or

(c) If the board approves a written request for an exemption submitted electronically by the licensee in accordance with the provisions of subsection (2) of this section.

(2) A licensee may request an exemption from the continuing education requirements by submitting an electronic format document stating that the licensee was:

(a) Employed or assigned to duty outside the United States for a period exceeding 120 consecutive days during the calendar year; or

(b) Unable to complete the requirements because of:

Physical disability;
Personal illness; or
Illness of a family member or dependent.

Section 10. Continuing Education Required of Reinstatement or Reactivation Applicants.

(1) A licensee who has been suspended, expired, inactive or retired for a period of one (1) to five (5) years shall complete twenty-four (24) hours of continuing education hours as a condition of reinstatement or reactivation, and a licensee who has been suspended, expired, inactive or retired for a period of less than one (1) year shall complete twelve (12) hours of continuing education.

(2)

(a) Pursuant to KRS 323A.100(5), a licensee seeking reinstatement or reactivation who has been suspended, expired, inactive, or retired in the Commonwealth for a period of greater than five (5) years shall be required to take and pass the LARE examination within six (6) months preceding the application for reinstatement or reactivation, unless the licensee held, within the past five (5) years, an active license in another state or in another country where the qualifications prescribed at the time of licensing were, in the opinion of the board, equal to those prescribed in the Commonwealth on the date of application.

(b) If within the past five (5) years, the licensee held an active license within another state, or in another country meeting the requirements stated in this subsection, the licensee shall complete twenty-four (24) hours of continuing education hours.

(3) The Continuing Education Approval Request and Affidavit Form (Form #CE-1) submitted by an applicant seeking reinstatement or reactivation shall identify, for each continuing education activity, the:

(a) Name of activity;

(b) Date of activity;

(d) Continuing education hours earned.

(4) Documentation of attendance and participation in a continuing education activity by an applicant for reinstatement or reactivation shall be made by electronic submission of a true and complete copy of an official document, including a:

(a) Transcript;

(b) Certificate of attendance;

(d) An electronic summary of attendance and participation.

(5) If the continuing education activities reported by an applicant for reinstatement or reactivation were not previously approved by the board, the board shall determine whether the continuing education program submitted is relevant to the practice of landscape architecture and furthers the competence of the licensee. Continuing education hours that are not approved by the board shall not be counted in determining whether the applicant has satisfied requirements for reinstatement or reactivation.

Section 11. Incorporation by Reference.

(1) "Continuing Education Preapproval Request and Affidavit Form" (Form #CE-2), 1/2025, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at Kentucky Board of Landscape Architects, 1714 Perryville Road, Suite 200, Danville, Kentucky 40422, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available at https://kbla.ky.gov/Pages/Resources.aspx.

History

RELATES TO: KRS 323A.010, 323A.100(1), 323A.210(2)(a)
STATUTORY AUTHORITY: KRS 323A.100(1), 323A.210(2)(a), (b)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.100(1) requires a landscape architect to complete the approved continuing education hours established by an administrative regulation promulgated by the board. KRS 323A.210(2)(a) authorizes the board to promulgate administrative regulations to establish a program of continuing education for licensees. This administrative regulation establishes the continuing education requirements for a landscape architect.
History: 201 KAR 010:080. 18 Ky.R. 1726; Am. 2524; eff. 1-29-1992; 24 Ky.R. 134; 563; eff. 11-14-1997; 25 Ky.R. 1433; 2126; eff. 5-14-1999; 29 Ky.R. 1007; 1522; eff. 12-18-2002; Cert eff. 1-16-2020; 46 Ky.R. 1608, 2228; eff. 5-5-2020; TAm eff. 3-24-2021; 50 Ky.R. 1750; eff. 7-30-2024; 52 Ky.R. 430, 951; eff. 3-3-2026.

201 KAR 10:090 Investigation and discipline process {#sec-201-kar-10-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 10:090}

Section 1. Reception of Complaints; Investigations.

(1) A complaint may be submitted by any individual, organization, or entity.

(2) A complaint shall be in writing, and shall allege acts that may be in violation of the provisions of KRS Chapter 323A or 201 KAR Chapter 10 by the named licensee, applicant, or unlicensed individual against whom the complaint was made.

(3) Excluding agency-initiated complaints and anonymous complaints, the complaint shall be signed by the person offering the complaint, and the board shall notify a complainant in writing of the receipt of the complaint.

(4) If the board receives an anonymous complaint, an investigation shall be conducted if the complaint is accompanied by sufficient corroborating evidence, or if such evidence is readily available, as would allow the board to believe, based upon a totality of the circumstances, that a reasonable probability exists that the complaint is meritorious.

(5) The chairperson of the board, the executive director, or designee shall file an agency-initiated complaint based upon information received by oral, telephone, or written communications if the facts of the complaint are found to be accurate and indicate acts that may be in violation of the provisions of KRS Chapter 323A or 201 KAR Chapter 10.

(6) The executive director shall have the authority to direct any investigation and shall possess any and all powers possessed by the board in regard to investigations.

(7) The executive director shall further be empowered to order the attendance of any licensee or applicant at an investigative meeting regarding any complaint or consideration of any disciplinary matter.

(8) The failure, without good cause, of any licensee or applicant to attend an investigative meeting when requested shall be considered a violation of KRS 323A.110(9).

(9) The executive director shall have the authority to delegate investigative functions to other agency staff.

(10) Excluding a self-report complaint or an application that discloses a violation of KRS Chapter 323A or 201 KAR Chapter 10, if the complaint establishes a potential violation, the board shall send a copy of the complaint to the licensee or applicant to the address of record by United States Postal Service regular mail. If the board is aware of the person's email address, it may send a copy by email as well.

(11) A written, legible, verified response shall be filed with the board within thirty (30) days of issuance of the complaint to the licensee or applicant.

(12) The failure, without good cause, of any licensee or applicant to file a written, legible, verified response when due shall be considered a violation of KRS 323A.110(9) and an admission of the allegations stated in the complaint.

(13) All preliminary information shall be treated as confidential during the investigation and shall not be disclosed to board members or to the public, except during board review of case information in closed session when making a finding of probable cause or no probable cause.

(14) If a board member has participated in the investigation or has substantial knowledge of facts prior to a hearing on the complaint that may influence an impartial decision by the member, that member shall not participate in the probable cause finding or the deliberations or decision-making conducted pursuant to KRS 13B.120.

(15) Each complaint shall be investigated as necessary and as promptly as possible, and presented to the board for review and a finding of probable cause or no probable cause to believe a violation of KRS Chapter 323A or 201 KAR Chapter 10 has occurred, which shall be determined on a majority vote of a quorum of the board and recorded in the minutes.

(16) If the board determines that there is no probable cause to believe a violation of KRS Chapter 323A or 201 KAR Chapter 10 has occurred, there shall not be further action unless warranted by further evidence, and the board shall notify the complaining party and the individual of the no probable cause finding.

(17) Upon a board determination that there is probable cause to believe a violation of KRS Chapter 323A or 201 KAR Chapter 10 has occurred, the board may proceed with either or both of the following options:

(a) A notice of hearing and statement of charges may be issued pursuant to KRS 13B.050, and an administrative hearing may be scheduled pursuant to KRS Chapter 13B; or

(b) An agreed order may be offered pursuant to Section 3 of this administrative regulation.

Section 2. Noncompliance with Final Order or Agreed Order Terms.

(1) The chairperson of the board, the executive director, or designee may investigate as needed, using any of the methods available in Section 1 of this administrative regulation, to monitor an individual's compliance with the terms of an agreed order or a final order entered by the board pursuant to KRS Chapter 13B.

(2) A written notice shall be sent by the board to any individual who has violated the terms of an agreed order or a final order entered by the board pursuant to KRS Chapter 13B by mailing a copy to the individual's address of record by United States Postal Service regular mail. If the board is aware of the person's email address, it may send a copy by email as well.

(3) The written notice issued in accordance with this section shall specify the sanctions and any other remedial action sought by the board as a consequence of the individual's noncompliance.

(4) The individual to whom the notice specified in subsection (3) of this section is sent shall file with the board, within thirty (30) days of issuance of the notice, a written, legible, verified response.

(5) The failure, without good cause, to file a written, legible, verified response when due shall be considered a violation of KRS 323A.110(9), an admission of noncompliance, and an acceptance of the sanctions and remedial actions stated in the notice specified in subsection (3) of this section. The board shall give notice of the imposition of such sanctions and remedial actions by transmitting a written notice of final disposition to the individual or the individual's attorney of record in the same manner as provided in KRS 13B.050.

(6) Upon the receipt of a written, legible, verified response to a notice of noncompliance, the executive director shall be authorized to sign a notice of hearing and statement of charges, and shall have the option proceeding in accordance with either or both Sections 3 or 4 of this administrative regulation.

Section 3. Informal Proceedings.

(1) At any time subsequent to the issuance of a complaint to a licensee or applicant, or a notice of noncompliance pursuant to Section 2 of this administrative regulation, the executive director or designee shall have the authority and the complete discretion to negotiate with the licensee or applicant concerning proposed stipulations of fact, conclusions of law, and proposed discipline. The executive director shall also have discretion to reject any or all offers of informal dispensation and may commence informal proceedings on his or her own initiative.

(2) If the executive director or designee believes that an appropriate proposed informal dispensation has been negotiated, he or she shall cause to be presented to the board the responding licensee or applicant's proposed stipulations of fact, conclusions of law, and a proposed order of informal dispensation signed by the licensee or applicant. The proposed order shall include a line for the signature of an officer of the board and shall become effective upon being accepted by the board, signed by an officer, and filed of record.

(3) If the board rejects an offer of informal dispensation, the parties shall not be bound by the proposed stipulations, they shall be inadmissible as evidence pursuant to KRE 408, and the matter shall continue to proceed provided that further informal negotiations may be conducted and subsequent offers of informal dispensation may be presented to the board. Rejection shall not be taken as a finding or determination of any kind on behalf of the board and no orders or other pleadings shall be filed of record in regard to any rejected proposal.

(4) Oral or Written Presentation. The board may allow oral or written presentation before the board in regard to any offer of informal dispensation. Oral presentations shall not be recorded and written presentations shall not be filed of record or included in the board's minutes. All oral and written presentations shall be heard and considered in closed session.

Section 4. Disciplinary Proceedings.

(1) A disciplinary proceeding shall be heard by a hearing officer, who shall be an assistant attorney general or an attorney appointed by the board in accordance with KRS 13B.030 and 13B.040.

(2) The licensee or applicant shall file with the board a written answer to the specific allegations contained in the notice of charges within twenty (20) days of receipt of the charges. An allegation not properly answered shall be deemed admitted. Failure to file an answer shall be considered a violation of KRS 323A.110(9) and may result in the issuance of a default order pursuant to KRS 13B.080(6). The hearing officer shall, for good cause, permit the late filing of an answer.

(3) The board prosecuting attorney shall be empowered to request the attendance of any licensee or applicant at an administrative hearing conducted pursuant to KRS 13B.080.

(4) The failure, without good cause, of any licensee or applicant to attend an administrative hearing when requested shall be considered a violation of KRS 323A.110(9).

(5) The hearing shall be transcribed by a court stenographer or video recorded.

(6) If a final order is issued by the board in accordance with KRS 13B.120, or if an agreed order is issued subsequent to the filing of a notice of hearing and statement of charges pursuant to KRS 13B.050, the board may impose the following actual costs as a component of the administrative fine authorized by KRS 323A.110, provided the total fine does not exceed $10,000 per violation:

(a) The cost of stenographic services;

(b) The cost of the hearing officer;

(d) Travel for other witnesses, at the rates established in 200 KAR 2:006 Sections 5-7;

(e) Document reproduction costs; and

(f) The cost of a certified copy of laboratory testing records.

(7) The foregoing actual costs shall be demonstrated through the provision of actual receipts or invoices.

Section 5. The executive director or designee shall notify the complainant and the person against whom the complaint was made of the final disposition of the case.

History

RELATES TO: KRS Chapter 13B, Chapter 323A
STATUTORY AUTHORITY: KRS 323A.110, 323A.120, 323A.210(2)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323A.110 establishes disciplinary standards for landscape architects, and KRS 323A.120 establishes the due process mechanism for disciplinary proceedings. KRS 323A.210(2)(a) authorizes the board to promulgate administrative regulations to carry into effect the disciplinary process for the public protection purpose stated in KRS 323A.020. This administrative regulation establishes the agency investigative and discipline process.
History: 201 KAR 010:090. 52 Ky.R. 511, 953; eff. 3-3-2026.

Chapter 11 Real Estate Commission

201 KAR 11:011 Definitions for 201 KAR Chapter 11 {#sec-201-kar-11-011 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:011}

Section 1. Definitions.

(1) "Academic credit hour" means:

(a) One (1) college semester hour; or

(b) Sixteen (16) fifty (50) minute hours of actual classroom attendance.

(2) "Advertising" or "advertisement" means any manner, method, or activity by which a licensee of the commission makes known a specific property for sale or lease or any services for which a real estate license is required. Advertising does not include:

(a) Private communications between a licensee and a client or prospective client; or

(b) Directional or pointer signs that only provide directions to a listed property and include no identifying licensee or brokerage information.

(3) "Affiliated licensee" means a sales associate or a broker who is affiliated with a principal broker.

(4) "Agency" means the specific consensual relationship between the principal broker and the client for a contemplated transaction, by oral or written agreement.

(5) "Agency consent agreement" means the form prescribed by the commission and used by a principal broker and a client to establish the agency relationship in writing.

(6) "Branch office" means a physical place of business for a real estate brokerage company in addition to the main office location that the commission may enter to inspect required documents or allegations of violations of KRS Chapter 324.

(7) "Broker-affiliated training program" means one (1) or more post-license education courses offered for post-license educational credit provided or sponsored by a principal broker.

(8) "Business relationship" means any arrangement, other than the current real estate transaction, if a licensee and a party have or had a mutual, ongoing financial interest in any company, corporation, or other income-producing venture, including any prior representation by the licensee for the party's purchase, lease, or sale of real estate.

(9) "Client" means:

(a) A person or persons, or entity or entities, for whom a licensee provides real estate brokerage services:

Who has entered into a written agreement with a principal broker for provision of real estate brokerage services;
With whom or for whom a licensee completes an offer to purchase or lease for real estate; or
For whom a licensee otherwise by oral agreement performs acts of real estate brokerage; and

(b) For the purposes of selling or leasing real estate, the client is the person or persons, or entity or entities, authorized to sell or lease the subject real estate.

(10) "Commercial transaction" means a transaction other than the sale of a single-family residential property, multifamily property containing four (4) units or less, or single-family residential lot.

(11) "Company" means an office or firm, headed by a principal broker, formed to offer real estate brokerage services, which is organized as:

(a) A registered business entity;

(b) Sole proprietorship; or

(12) "Condominium" means:

(a) The absolute ownership of a unit in a multi-unit building based on a legal description of the airspace the unit actually occupies; or

(b) A separate dwelling unit in a multi-unit development, plus an undivided interest in the ownership of the common elements in the building or development, which are owned jointly with the other condominium unit owners.

(13) "Confidential information" means:

(a) Information received or sent, verbally or in writing including transaction paperwork and files, by a licensee, that may materially compromise the negotiating position of a client or prospective client.

(b) Confidential information includes information that is not required to be disclosed by law; and

Is provided to a licensee by a client or prospective client to a real estate transaction;
Describes or affects the client or prospective client's bargaining position or motivation; or
Is designated in writing as confidential by the client or prospective client.

(14) "Consumer" means a person or entity with whom a licensee exchanges information that is public in nature, but otherwise does not perform acts of real estate brokerage and with whom no written or oral agency agreement or fiduciary relationship exists.

(15) "Continuing education course" means a course approved pursuant to the requirements set forth in KRS 324.085(1) and 201 KAR Chapter 11.

(16) "Contract deposit" means earnest money delivered to a licensee in conjunction with a real estate sales contract after:

(a) The offer or counteroffer is accepted; and

(b) An executory contract exists.

(17) "Delivery" means transmission of an item to a party by:

(a) Mail;

(b) Facsimile transmission;

(d) Hand; or

(e) Other legal means.

(18) "Designated agency" means a type of agency prescribed by KRS 324.121(2).

(19) "Designated agent" means one (1) or more licensees designated by the principal broker in accordance with KRS 324.121(1) to provide real estate brokerage services to a client.

(20) "Distance education course" means a continuing or post-license education course or a pre-license course that:

(a) Is taught in a setting in which the teacher and the student are in separate locations; and

(b) Uses instructional methods that include internet-based training, computer-based training (CBT), satellite transmission, or teleconferencing.

(21) "Dual agency" means a type of agency in which:

(a) The principal broker and all affiliated licensees simultaneously represent, in the same transaction, buyer and seller, or lessor and lessee, as clients of the principal broker in a limited fiduciary capacity; or

(b) In companies that practice designated agency, only the principal broker or a designated manager is a dual agent for that transaction pursuant to KRS 324.121(2).

(22) "Duplex" means two (2) residential units sharing a single roof.

(23) "Education cycle" means the time period commencing on January 1 of each year and ending at 11:59 p.m. on December 31 of each year.

(24) "Family relationship" means any known familial relationship between a licensee and party.

(25) "Fourplex" means four (4) residential units sharing a single roof.

(26) "Fraud" or "fraudulent dealing" means a material misrepresentation that:

(a) Is:

Known to be false; or
Made recklessly;

(b) Is made to induce an act;

(d) Causes injury.

(27) "Guaranteed sales plan" means an offer or solicitation to guarantee the:

(a) Sale of an owner's real estate; or

(b) Purchase of the owner's real estate if the owner's real estate is not sold by the licensee.

(28) "Initial sales associate license" means an original Kentucky sales associate license issued by the commission for the first time or a Kentucky sales associate license re-issued to a person who formerly held a license issued by the commission.

(29) "Licensee" means a person properly licensed as a broker or sales associate to perform acts of real estate brokerage in accordance with KRS Chapter 324 and 201 KAR Chapter 11.

(30) "Personal relationship" means a platonic or nonplatonic friendship between a licensee and a party.

(31) "Post-license education course" means a course approved by the commission that satisfies a portion of the forty-eight (48) hours of education required by KRS 324.085(2).

(32) "Pre-license course" means a course approved by the commission that satisfies an education requirement to obtain a real estate sales associate license.

(33) "Promotional activities" means every solicitation or attempt to bring about the sale, exchange, lease, assignment, license, or award with regard to a timeshare interest in real estate.

(34) "Prospective client" means a person or entity who has not entered into a written or oral agreement with a principal broker to provide real estate brokerage services, but to whom a licensee offers real estate brokerage services or from whom a licensee receives confidential information related to a contemplated real estate transaction.

(35) "Renewal cycle" means the time period commencing on April 1 of each year and ending on March 31 two (2) calendar years thereafter.

(36) "Security deposit" is defined by KRS 383.545(13).

(37) "Single agency" is the type of agency if the principal broker and all affiliated licensees of the real estate brokerage company act as an agent for a buyer or seller, or a lessor or lessee, as the client on the same side of a transaction.

(38) "Single family residential real estate dwelling" means any:

(a) Stand-alone residential unit;

(b) Manufactured home permanently attached to land; or

(c) Residential unit otherwise conveyed on a unit-by-unit basis, even if the unit is part of a larger parcel of real estate containing more than two (2) detached residential units.

(39) "Team" or "teams" is a group of licensees working together who are:

(a) Affiliated with the same principal broker;

(b) Led by a team leader; and

(c) Representing themselves to the public utilizing the same authorized alternate or assumed name to brand, advertise, and broker real estate.

(40) "Team leader" means an individual who is designated by his or her principal broker to be the head of the team.

(41) "Timeshare" means an arrangement under which one may acquire, for a period of time, the right to use and occupy property, for a recurring block of time. A timeshare may be:

(a) A timeshare estate, if a freehold estate or an estate for years is conveyed;

(b) A vacation lease, if a buyer purchases the right to occupy a specific accommodation for a specified time period over a specified number of years;

(c) A vacation license or club membership, if a buyer acquires the right to occupy an undesignated unit at certain real property or properties during a specific time each year for a specific number of years; or

(d) Variations of paragraphs (a) through (c) of this subsection that result in the acquisition of the right to use real property for a limited period of time in recurring intervals for a number of years.

(42) "Townhouse" means a type of residential dwelling with two (2) floors that is connected to one (1) or more dwellings by a common wall or walls. Title to the unit and lot vest in the owner who shares a fractional interest with other owners in any common areas.

(43) "Transactional brokerage" means a form of brokerage service or services provided to either or both parties to a transaction if the licensee owes to the parties only the duties owed to a consumer and if confidential information is not relayed between the parties by the licensee, unless so directed by the sending party.

(44) "Triplex" means three (3) residential units sharing a single roof.

(45) "Unrestricted license" means a license that is not under any order of limitation or discipline by another jurisdiction's regulatory body.

(46) "Without delay" means as soon as reasonably possible based on the availability of the licensee and the client, and subject to any written agreement between them as to how and when written offers will be submitted.

(47) "Without unreasonable delay" means:

(a) For contract deposits or money belonging to others, within three (3) business days of the receipt by the principal broker or an affiliated licensee of the principal broker; or

(b) For notice required by KRS 324.360(8), within seventy-two (72) hours of the listing agent's receipt of the prospective purchaser's written and signed offer to purchase.

History

RELATES TO: KRS 324.010(1), 324.046(1), 324.111(1), (2), (3), (4), (6), 324.117(1), (5), 324.160(4)(j), (m), (r), 324.410(1), 324.420(1), (2), (3), (4), (5)
STATUTORY AUTHORITY: KRS 324.117(5), 324.281(5), 324.282
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.117(5) requires the commission to promulgate an administrative regulation to define false, misleading, or deceptive advertising. KRS 324.281(5) and KRS 324.282 require the Real Estate Commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to implement KRS Chapter 324. This administrative regulation defines terms used in the implementation of KRS Chapter 324.
History: 17 Ky.R. 2294; 2690; eff. 3-8-1991; 24 Ky.R. 1539; 2108; eff. 4-13-1998; 2410; 25 Ky.R. 293; eff. 8-17-1998; 27 Ky.R. 1503; eff. 4-9-2001; 31 Ky.R. 1325; 1645; eff. 4-22-2005; 40 Ky.R. 2810; 41 Ky.R. 740; eff. 10-31-2014 46 Ky.R. 83; 1180; 1806; eff. 12-16-2019.

201 KAR 11:105 Advertising {#sec-201-kar-11-105 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:105}

Section 1. Consent Required to Advertise a Specific Property.

(1)

(a) A licensee shall not:

Advertise real estate for sale or lease without the written consent of the owner;
Place signage or another advertisement on any private or listed property without the written consent of the owner; or
Promote or advertise a specific property listed by another principal broker unless the licensee has requested and obtained written consent from the listing principal broker.

(b) Nothing in paragraph (a)1. through 3. of this subsection shall prohibit a licensee from utilizing public information, including information regarding real estate closed by another licensee, to market his or her real estate brokerage services to consumers.

(2) A licensee who served as a buyer's agent may advertise his or her role in a sale after a closing has occurred if the advertisement clearly and visibly states that the licensee's participation was as the buyer's agent.

Section 2. Content Required.

(1)

(a) The principal broker, or his or her designee, shall establish written standards for review and approval of advertising activity of the real estate company and affiliated licensees to ensure compliance with KRS Chapter 324 and 201 KAR Chapter 11.

(b) Pursuant to KRS 324.160(6), a principal broker shall be held liable for acts by an affiliated licensee or licensees that the principal broker knew or should have known about that are in violation of either the principal broker's standards for review and approval, or KRS Chapter 324 and 201 KAR Chapter 11.

(2) All advertisements shall include:

(a) The full name of the real estate brokerage company registered with the commission; or

(b) The full name of the principal broker registered with the commission, with a clear designation of principal broker status.

(3)

(a) An advertisement may include in written text an affiliated licensee's first and last name, or an alternate or assumed name as set forth in Section 4 of this administrative regulation, as registered with the commission, if the principal broker has informed the commission of the affiliated licensee's first and last name, or alternate or assumed name being used.

(b) Each affiliated licensee shall be limited to the use of one (1) nickname in place of, or along with, the licensee's first name, and it shall be the responsibility of each individual licensee to inform the commission of the nickname being used. A nickname shall not be used unless the nickname is reflected on the licensee's online services portal before use.

Section 3. Display of Content Required.

(1) The content required by Section 2(2) of this administrative regulation shall be displayed in written text. The content shall:

(a) Be clear and visible to a typical observer of the advertisement; and

(b) Not be false, misleading, or deceptive.

(2)

(a) The content permitted by Section 2(3) of this administrative regulation shall not appear larger than the content required by Section 2(2) of this administrative regulation.

(b) The requirements of paragraph (a) of this subsection shall not apply to the following promotional materials that advertise a licensee:

Hats;
Pens;
Notepads;
Apparel;
Name tags; and
The sponsorship of charitable and community events.

(c) The commission shall waive the requirements of paragraph (a) of this subsection for specific promotional materials not stated in paragraph (b) of this subsection upon finding the proposed promotional material would not constitute false, misleading, or deceptive advertising.

(3)

(a)

For purposes of real estate company or licensee advertisement via internet, social media, or other digital or online forms of advertisement, every individual viewable page or post shall constitute a separate advertisement; and
Each advertisement shall contain the content required by Section 2(2) of this administrative regulation in the page or post header, or visible on the page or post without the observer scrolling or otherwise navigating the page or post to view the content required; or

(b) If a page or post cannot reasonably comply with Section 2(2) of this administrative regulation, the advertisement shall include a clickable direct link, that is clear, visible, and identifiable as a link, to a page, post, or user account profile that contains the content required displayed in accordance with paragraph (a)2. of this subsection.

(4) Advertisements that include an audiovisual presentation shall include an audible announcement or written display of the content required by Section 2(2) of this administrative regulation at the beginning of the advertisement.

(5) Any internet, social media, and other digital or online form of advertising that was true and accurate at the time it was made shall not be in violation.

(6) A logo that does not contain written text of the content required by Section 2(2) of this administrative regulation shall not constitute a substitute for the content required.

(7) If the licensee's principal business location is outside Kentucky, the advertisement shall:

(a) Indicate that the licensee holds a Kentucky license to broker real estate; and

(b) Include the regulatory jurisdiction of the licensee's principal business location.

(8) The requirements established by this administrative regulation shall not apply to logos, brands, or directional and open house signs if the logo, brand, directional, and open house signs do not contain the name of a sales associate.

Section 4. Use of Alternate or Assumed Names.

(1) More than one (1) licensee, whether a team, group, other business arrangement, or real estate brokerage company, may collectively use an alternate or assumed name for advertising with the written approval of the principal broker.

(2) Prior to allowing the use of an alternate or assumed name in advertising, a principal broker shall:

(a) Register, or ensure the registration of, the alternate or assumed name with the commission; and

(b) Ensure that the alternate or assumed name is populated in the principal broker's or affiliated licensee's online services portal.

(3) An alternate or assumed name shall not:

(a) Contain terms that may lead the public to believe the licensee or licensees approved to use the alternate or assumed name is offering real estate brokerage services independent of the principal broker, unless the alternate or assumed name is for the real estate brokerage company; or

(b) Be used by more than one (1) group of licensees within the principal broker's brokerage company, unless the alternate or assumed name is for the real estate brokerage company.

(4) An alternate or assumed name may include reference to a name or person, if the name or person has not lost the ability to engage in real estate brokerage through administrative discipline or by operation of law.

(5) If the alternate or assumed name applies to a team or group, the alternate or assumed name shall end with the word "team" or "group."

Section 5. False, Misleading, or Deceptive Advertising.

(1) False, misleading, or deceptive advertising is prohibited pursuant to KRS 324.117(1).

(2) An advertisement is false, misleading, or deceptive, if the advertisement:

(a) Is known or reasonably should have been known to be false or contrary to fact at the time of placement of the advertisement;

(b) Misleads or misinforms the general public in any manner; or

(c) Would lead a reasonable observer to believe that real estate brokerage services were being offered by an affiliated licensee or licensees independent of their real estate brokerage company or principal broker.

Section 6. Guaranteed Sales Plans.

(1) If a licensee advertises a guaranteed sales plan, the licensee shall disclose in writing whether:

(a) A fee is charged for participation;

(b) The real estate shall meet qualifications for participation;

(c) The purchase price under a guarantee of purchase of the owner's real estate shall be determined by the licensee or a third party;

(d) The owner of the real estate shall purchase other real estate listed for sale by the licensee or his or her designee; and

(e) An exclusive buyer agency agreement is required.

(2) The advertisement may be in print or electronic display, on radio, or on television and shall be clear and understandable.

(a) For print or electronic display advertising, the letters shall be at least twenty-five (25) percent the size of the largest letter in the advertisement;

(b) For television advertising, written communication shall appear on the screen:

At least three (3) seconds for the first line of lettering and at least one (1) second for each additional line of lettering; and
In letters that shall be at least eighteen (18) video scan lines in size for uppercase letters or at least twenty-four (24) video scan lines for uppercase capital letters if uppercase capitals and lowercase letters are used.

Section 7. Client Advertising. Consistent with KRS 324.117(4), a licensee shall advise his or her client of the advertising obligations contained in this administrative regulation.

Section 8. Effective Dates. The commission shall begin enforcement of Section 3 of this administrative regulation six (6) months after the effective date of this administrative regulation.

History

RELATES TO: KRS 324.117, 324.160(4)(d), (6)
STATUTORY AUTHORITY: KRS 324.117, 324.281(5), 324.282
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.281(5) and KRS 324.282 require the Kentucky Real Estate Commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 324. KRS 324.117(5) requires the commission to promulgate administrative regulations to define false, misleading, or deceptive advertising. KRS 324.117(6) requires the commission to promulgate administrative regulations to define the manner in which licensees may utilize any internet electronic communications for advertising or marketing. This administrative regulation establishes certain standards for real estate advertising practices, including internet advertising.
History: KSREC-15(Rules 10, 11); 1 Ky.R. 598; eff. 4-9-1975; 17 Ky.R. 2214; 2690; eff. 3-8-1991; 27 Ky.R. 1508; eff. 4-9-2001; 31 Ky.R. 1328; 1646; eff. 4-22-2005; 32 Ky.R. 2311; 33 Ky.R. 719; eff. 10-6-2006; 40 Ky.R. 2811; 41 Ky.R. 741; eff. 10-31-2014; 46 Ky.R. 86; 1183; 1808; eff. 12-16-2019.

201 KAR 11:121 Standards of professional conduct {#sec-201-kar-11-121 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:121}

Section 1. Improper Conduct.

(1) In addition to the obligations and prohibitions set forth in KRS 324.160, a licensee shall not:

(a) Accept or agree to accept, or offer or agree to offer, anything of value to another person in violation of the federal Real Estate Settlement Procedures Act, 12 U.S.C. 2601 through 2617 ("RESPA"). This provision shall not affect paying or receiving referral fees between principal brokers for brokerage services;

(b) Refuse or prohibit any prospective purchaser from viewing or inspecting real estate listed for sale or lease with the real estate brokerage company with which the licensee is affiliated, without the written and signed direction of the listing or leasing client. This provision shall not be construed to permit otherwise unlawful discrimination;

(c) Offer real estate for sale or lease without written consent from the person or persons, or entity or entities authorized to sell or lease the subject real estate;

(d) Fail to satisfy one (1) or more of the following fiduciary duties owed to the licensee's client:

Loyalty;
Obedience to lawful instructions;
Disclosure;
Confidentiality;
Reasonable care and diligence; and
Accounting;

(e) Fail to satisfy one (1) or more of the following duties owed to the licensee's prospective client:

Good faith;
Fair dealing; and
The duty of confidentiality;

(f) Fail to satisfy one (1) or more of the following duties owed to a consumer or to any other party in a transaction:

Good faith; and
Fair dealing;

(g) Enter an ongoing team or group relationship with any other licensee at the same brokerage company without the written consent of the principal broker;

(h) Induce any party to a contract for sale or lease to break the contract for the purpose of substituting in lieu thereof a new contract for sale or lease with another principal broker;

(i) If advertising real property at an absolute auction, sell the advertised property to anyone other than the highest bona fide bidder on the day of the auction; and

(j) If dually licensed as an auctioneer and real estate licensee, before a real estate licensee commences an auction, the licensee shall disclose his or her status as a real estate licensee to potential purchasers and whether he or she intends to bid during the auction.

(2) The fiduciary duty of confidentiality, if owed, shall survive the termination of the Agency Consent Agreement contemplated in Section 6 of this administrative regulation.

(3) It shall not be considered improper conduct for a licensee to advertise the fee or other compensation the principal broker agrees to charge for his or her services.

(4) It shall not be considered improper conduct for a licensee to offer rebates, discounts, or other inducements to consumers, prospective clients, or clients to use the licensee's services or truthfully advertise the same.

(5) It shall not be considered improper conduct for a licensee to use his or her registered nickname in place of the licensee's first name anytime the licensee shall identify himself or herself on an official document or to the commission.

Section 2. Submission of Written Offers.

(1) If a principal broker has entered into a written listing agreement, or any other written agreement, under the terms of which the principal broker agrees to provide real estate brokerage services for a fee, compensation, or other valuable consideration for the client, the principal broker shall provide, unless specifically waived or modified by the client in writing, for real estate that is the subject of the written agreement, the following services:

(a) Accept delivery and submit to the client, without delay, all written offers to lease or purchase;

(b) Accept all earnest money deposits that are presented to the principal broker or an affiliated licensee of the principal broker;

(c) Until the completion of the transaction, assist the client in developing, communicating, negotiating, and presenting offers, counteroffers, and notices that relate to offers and counteroffers; and

(d) Answer the client's questions relating to offers, counteroffers, notices, and contingencies involved in the lease or purchase.

(2)

(a) Each principal broker, or an affiliated licensee of the principal broker, who represents a client shall, without delay, submit all written offers to lease or purchase real estate from the principal broker's client to the person or legal entity authorized to sell or lease the property or to the principal broker, or an affiliated licensee of the principal broker, who has entered into a written agreement according to subsection (1) of this section. A licensee representing a seller shall submit a notice in writing through electronic, text, or other media to the licensee representing a buyer of the date and time when the offer was presented to the seller.

(b) If the principal broker is acting as a transactional broker, the principal broker shall follow the lawful instructions of the parties and provide the brokerage services as outlined in the transactional brokerage agreement.

(3) Failure to comply with this section shall constitute gross negligence in violation of KRS 324.160(4)(v).

Section 3. Listing and Purchase Contracts.

(1) A listing contract completed by or at the direction of a licensee shall include the:

(a) Listing price of the property, unless the sale is to be by auction;

(b) Date and time of the signing of the listing contract for all parties who sign;

(d) Effective date and time of listing and advertising, if different;

(e) Date of expiration of the listing contract;

(f) Fee, compensation, or other valuable consideration agreed upon between the principal broker and the client;

(g) Address or a general description of the real estate sufficient to identify the parcel or parcels;

(h) Signatures and printed names of all parties necessary to affect a sale of the property, including any dower or curtesy considerations or the official representative of a legal entity, that is the subject of the listing agreement;

(i) Special directions of the client concerning limitations or restrictions on showings; and

(j) Date, time, and initials for all changes on the contract prior to acceptance.

(2) An offer to purchase completed by, or at the direction of, a licensee shall include the:

(a) Purchase price or a valid escalation clause with the maximum purchase price;

(b) Amount of contract deposit, if given, who is to hold the deposit, and the time period to deliver the deposit;

(d) Date and time when the offer expires;

(e) Address or a general description of the real estate sufficient to identify the parcel or parcels;

(f) Signatures of all parties making the offer and the printed first and last name of the licensee who completed or directed the completion of the offer;

(g) Date, time, and initials for all changes on the contract prior to acceptance;

(h) Provision setting forth the date by which, or the date range within, the closing shall occur and when possession shall be given to the buyer; and

(i) Proposed payment terms.

(3) A counteroffer completed by, or at the direction of, a licensee shall include any amendments to any term required by subsection (1) and (2) of this section and:

(a) Date and time of signing of the counteroffer for all parties who sign;

(b) Date and time when the counteroffer expires;

(d) The first and last name of the licensee who completed or directed the completion of the offer, if not found on the original offer or a previous counteroffer; and

(e) Date, time, and initials for all changes on the contract prior to acceptance.

(4)

(a) If a licensee presents an offer to purchase real estate for which an executory contract to sell the property is already in existence, the offer shall include language that indicates in writing that the offer is contingent upon the nonperformance of the existing executory contract.

(b) The contingency language required by paragraph (a) of this subsection shall indicate the disposition of any contract deposit and be:

Inserted by the licensee who completes or prepares the offer to purchase, if licensee is aware of the existing contract; or
Made by the listing licensee as a counteroffer.

(5) If financing is involved, a contract providing for the purchase of property shall specifically state:

(a) The manner in which the purchase shall be financed; and

(b) The amount of any encumbrance and whether it is to be underwritten by the seller or a commercial institution or otherwise.

(6) Any agreement for compensation, including rebates and inducements, from a licensee to his or her client shall be in writing.

(7)

(a) Prior to the expiration of a current listing agreement, another licensee shall not contact the seller to obtain a subsequent listing agreement.

(b) Notwithstanding paragraph (a) of this subsection, a licensee may discuss newly listing the seller's property that is currently listed if:

The seller initiates contact with the new licensee to obtain a new listing contract;
The proposed listing contract states that it shall not take effect until the expiration of the seller's current listing contract with the original licensee; and
The licensee and seller properly complete and sign the Seller-Initiated Listing Form. Nothing in this subsection shall prohibit a licensee from approaching a seller to list the seller's property following the seller's cancellation of their current listing contract or expiration of the current listing contract.

(8) If a licensee fails to comply with the requirements in this section, the licensee's conduct and dealings shall be considered improper in violation of KRS 324.160(4)(u).

Section 4. Required Disclosures.

(1) A licensee shall direct the seller-client of a single family residential real estate dwelling, duplex, triplex, fourplex, condominium, or townhouse to accurately complete and sign the Seller's Disclosure of Property Condition form required by KRS 324.360, including all necessary initials and signatures, unless the seller-client refuses and documents his or her refusal, or the licensee documents the seller-client refusal, on the Seller's Disclosure of Property Condition form.

(2) A licensee who is involved in the brokerage of a condominium transaction shall advise the client in writing of the client's right to receive the Condominium Seller's Certificate required by KRS 381.9203(1) and the purchasing client's right to void the sales contract consistent with KRS 381.9203(3).

Section 5. Prospective Client Disclosures.

(1) A licensee shall complete, time and date, and deliver to the appropriate prospective client the commission's Guide To Agency Relationships at the earliest of the following times:

(a) Prior to entering into a contemplated written agreement to provide real estate brokerage services for compensation with a prospective client;

(b) Prior to entering into a contemplated oral agreement to provide real estate brokerage services with a prospective client; or

(2) The licensee shall solicit the signature of the prospective client on the Guide to Agency Relationships as acknowledgement by the prospective client of his or her receipt. The licensee shall maintain a record that the prospective client signed the Guide to Agency Relationships. If the prospective client refuses to, or does not, sign the Guide to Agency Relationships upon receipt, the licensee shall document the delivery, or attempted delivery, including a date and time, to the appropriate prospective client.

(3) The completed Guide to Agency Relationships shall provide or include:

(a) The agency relationships available between the licensee and client or party in Kentucky;

(b) The first and last name of the licensee completing the form, the first and last name of the principal broker of the licensee, and the full name of the licensee's real estate company;

(d) The signature, time, and date of signing by the prospective client.

(4) The provisions of this section shall not apply to:

(a) The sale of real estate at auction; or

(b) A commercial transaction.

Section 6. Agency Consent Agreement.

(1) Prior to entering into a written agreement to provide real estate brokerage services or completing, or directing the completion of, a contract, offer, or lease for a real estate transaction:

(a) The licensee shall complete and deliver the Agency Consent Agreement to the prospective client; and

(b) Seek and obtain written consent to the Agency Consent Agreement from the prospective client.

(2) The commission's Agency Consent Agreement shall provide:

(a) The first and last name of the client, the first and last name of the licensee or licensee's and principal broker, and the full name of the real estate brokerage company;

(b) The specific agency relationship proposed between the principal broker of the real estate brokerage company, and any affiliated licensee of the real estate brokerage company, and the prospective client;

(c) If applicable, any known business, family, or personal relationship the licensee has with another party to the contemplated transaction who is not a party to the Agency Consent Agreement and an explanation of the nature of the relationship or relationships; and

(d) Whether the transaction involves an unrepresented party.

(3) The Agency Consent Agreement shall be updated, and written consent obtained, if the agency relationship initially established later changes.

(4) The provisions of this section shall not apply to a:

(a) Sale of real estate at auction; or

(b) Commercial transaction.

(5) The form of agency identified in the most recent Agency Consent Agreement shall terminate upon either:

(a) The provision of the agreed upon services; or

(b) At the closing of the contemplated real estate transaction.

Section 7. Affiliation.

(1) The principal broker shall be the owner of all written contracts for provision of real estate brokerage services, including items such as listing contracts, purchase contracts, and exclusive agency agreements.

(2) When a principal broker, or a licensee acting on behalf of the principal broker, enters into a written agreement with a client, an agency relationship is formed, and the client is the principal.

(3) Absent operating as a designated agency company, each licensee affiliated with the real estate brokerage company shall have the same agency relationship with respect to a client, prospective client, or party as the principal broker in an in-house transaction.

(4) If only one (1) broker is affiliated with a company, he or she shall be the principal broker.

(5) If one (1) or more additional licensees is affiliated with the company, one (1) broker shall be the principal broker registered with the commission.

(6)

(a) Unless there is a written contract stipulating otherwise, a licensee shall, upon termination of his or her affiliation with his or her principal broker, immediately turn over to the principal broker all records described in Section 9(1)(a)-(h) of this administrative regulation obtained during his or her affiliation regardless of whether the information was originally received from his or her principal broker, copied from the records of the principal broker, or acquired by the licensee during his or her affiliation.

(b) Nothing in paragraph (a) of this subsection shall require an affiliated licensee to deliver to the principal broker records which the principal broker is not under an obligation to retain consistent with this administrative regulation or records which are already in the principal broker's possession.

(7)

(a) A principal broker may be principal broker of more than one (1) real estate brokerage company.

(b) A principal broker shall not also be an affiliate broker at another real estate brokerage company, except for as provided in KRS 324.112(5).

(8) A sales associate or broker affiliated with a principal broker shall only be affiliated with one principal broker at one office, or branch office, location.

(9) A real estate brokerage company may have more than one (1) physical office location, including branch offices.

Section 8. Facsimile and Digital Transmissions.

(1) A licensee may use facsimile (FAX) devices and digital transmissions to transmit and receive documents according to the provisions of KRS Chapter 369 and 201 KAR Chapter 11.

(2) A document received by facsimile devices or digital transmissions shall be immediately placed in the licensee's file and retained as required by this administrative regulation.

Section 9. Principal Broker Duties and Prohibitions.

(1) A principal broker shall confidentially preserve, either in hard copy or digital format, for five (5) years following its consummation or failure, records in one (1) file relating to any real estate transaction, which shall include:

(a) Any written offers to lease or purchase the real estate;

(b) The acquisition and disbursement of any monies;

(d) Closing sheets;

(e) Seller's Disclosure of Property Condition and Condominium Seller's Certificate forms;

(f) Agency Consent Agreement forms;

(g) Guide to Agency Relationships forms; and

(h) Timeshare records.

(2) A principal broker who engages in property management shall also confidentially preserve, either in hard copy or digital format, for five (5) years:

(a) Property management agreements;

(b) Leases;

(d) Owner and unit ledgers; and

(e) Bank statements relating to property management.

(3) If the death or incapacity of the principal broker occurs, records required to be maintained pursuant to this section shall be maintained by:

(a) A new principal broker or a designated manager, so designated previous to the time of the death or incapacity of the principal broker to maintain the records;

(b) The real estate brokerage company of the principal broker at the time of the death or incapacity of the principal broker, if the company continues to be an active company;

(c) A licensee designated by the commission to maintain the records and serve as the principal custodian of the records, without any liability or obligation, other than to confidentially maintain the records and to provide the records to a party as required by law or by demand of the commission; or

(d) Any appointee of the commission who will agree to maintain the records and serve as the principal custodian of the records, without any liability or obligation, other than to confidentially maintain the records and to provide the records to a party as required by law or by demand of the commission.

(4) At the time of signing all documents, the principal broker, or an affiliated licensee of the principal broker, shall ensure that a copy of all documents are delivered to all parties executing the documents if the document has been provided, prepared by, or at the direction of the principal broker or an affiliated licensee of the principal broker.

(5) The principal broker, or an affiliated licensee of the principal broker, shall ensure that a debit and credit type closing statement is furnished to a client upon closing a real estate transaction unless the financial institution, title agency, the attorney involved, or other authorized individuals, has prepared the closing statement.

(6) A principal broker shall not be a party to an exclusive listing contract which contains an automatic continuation of the period of the listing beyond the fixed termination date set forth therein.

(7) If a principal broker permits teams, a principal broker shall notify the commission in writing of the alternate or assumed name used by the team and the name of the team leader before permitting team advertising.

(8) If a principal broker authorizes team, group, or other business arrangements between affiliated licensees, the principal broker shall:

(a) Offer, at a minimum, company procedures for advertising, agency relationships and handling confidential information, management and operations specific to team, group, or other business arrangements between affiliated licensees;

(b) Designate a licensee who shall be responsible, along with the principal broker and designated manager, for the operations of the team, group, or other business arrangement. The designated licensee shall be referred to as the "team leader" regardless of how the team, group, or other business arrangement labels itself;

(c) Maintain a current list of all affiliated licensees, employees, office personnel, and clerical staff who are a part of each individual team, group, or other business arrangement; and

(d) Notify the commission in writing of the first and last name and license number of the team leader.

(9) A principal broker shall ensure any employee or unlicensed personal assistant, salaried or independently contracted, employed by, retained by, or under the direction of the principal broker or any affiliated licensee, are in compliance with the applicable provisions of KRS Chapter 324 and 201 KAR Chapter 11.

(10) A principal broker shall implement and maintain an appropriate information security system that shall:

(a)

Notify licensees, management, employees, officer personnel, and clerical staff of company policy and procedures related to confidential information, including in-person interactions or discussions in the office environment;
Prohibit the disclosure of confidential information by licensees, management, employees, office personnel and clerical staff;
Require notification to each client involved in a transaction, if the principal broker becomes aware of an unauthorized or inadvertent disclosure of confidential information relating to that transaction; and
Prohibit an employee from assisting more than one (1) designated agent in the same transaction if the designated agents represent different clients in that transaction.

(b) Nothing in this provision shall prohibit a licensee who is party to an Agency Consent Agreement from maintaining a separate individual client file containing confidential information.

(11) A principal broker of a real estate brokerage company that practices designated agency shall require that all documents that contain confidential information relating to a client be kept in an individual file maintained by the principal broker and accessed only by the principal broker, designated manager, or designated agent appointed by the principal broker to represent the individual.

(12) A principal broker who appoints a designated manager of the real estate brokerage company, a registered company branch, team, group, or other business arrangement shall notify the commission in writing of the name of the designated manager within ten (10) days of the appointment.

Section 10. Property Management.

(1) A principal broker, or an affiliated licensee, shall not engage in property management without a current written property management agreement.

(2) A property management agreement shall contain, at a minimum:

(a) The full name and address of the principal broker's real estate brokerage company as registered with the commission;

(b) The name and address of the client for whom the property is being managed;

(d) The effective dates of the agreement, and a provision stating whether the client agrees to automatic annual renewal;

(e) A provision stating the method for early termination;

(f) The amount of, or the method for computing, the amount of compensation to the principal broker;

(g) The amount of, or the method of determining, the minimum security deposit to be collected from tenants for each unit managed;

(h) The name and address of the bank where the principal broker's escrow or management account is held, and, consistent with KRS 383.580(1), the account number. This information shall also be contained in the lease;

(i) A provision which is in accord with KRS 383.580 setting forth the procedures governing returning or retaining the security deposit. This provision shall also be contained in the lease;

(j) A provision setting forth the conditions under which the principal broker may pay expenses related to the real estate being managed;

(k) A statement setting forth the date when the principal broker shall send the client an accounting of the transactions related to the real estate being managed;

(l) A copy of the form of the lease document which the principal broker shall have the tenant sign shall be attached to the agreement;

(m) A provision whereby the client certifies that he or she has received a duplicate copy of the agreement and the attached lease form; and

(n) The signature and date of signature of the client and the principal broker.

(3) A principal broker shall maintain, in electronic or written form:

(a) An owner ledger for each client of real estate being managed;

(b) A unit ledger for each unit in the real estate being managed; and

(c) Upon the written request of the client of the property being managed, the principal broker shall provide a unit ledger by tenant.

(4) Money received shall be deposited into an escrow or management account of the principal broker within three (3) business days of receipt.

(5) The amount of money received shall be entered into the owner and unit ledgers.

(6) A receipt shall be given for money received.

(7) Expenses paid by the principal broker shall be documented by invoice or receipt, by unit, and retained with a principal broker's records.

(8) Adjustments to a security deposit shall be made in accordance with KRS 383.580. Adjustments shall also be entered on the owner and unit ledgers.

(9) On the date determined by the parties, a principal broker shall send a monthly accounting to a client of transactions related to the real estate being managed, by unit.

(10) Within sixty (60) days of the termination of a management agreement, a principal broker shall send the client a final accounting that contains any transaction that occurred after the last monthly accounting.

(11) A principal broker who has an ownership interest in the real estate being managed shall:

(a) Maintain a unit ledger for each unit in the real estate being managed; and

(b) Comply with KRS 383.580 relating to receipt, deposit, and adjustment of tenant security deposits.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Seller-Initiated Listing Form", KREC Form 403, 10/2019;

(b) "Seller's Disclosure of Property Condition", KREC Form 402, 12/2022;

(d) "Guide to Agency Relationships", KREC Form 400, 12/2022;

(e) "Agency Consent Agreement - Buyer", KREC Form 401B, 12/2022;

(f) "Agency Consent Agreement - Seller", KREC Form 401S, 12/2022.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Real Estate Commission, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available from the commission's Web site: www.krec.ky.gov.

History

RELATES TO: KRS 324.010(3), 324.111, 324.112, 324.121, 324.160, 324.281(5), 324.310, 324.360, 381.9203(1), (3), 383.580, 24 C.F.R. 3500, 44 C.F.R. 64.3(b), 12 U.S.C. 2601-2617
STATUTORY AUTHORITY: KRS 324.121, 324.160(4)(e), 324.281(5), 324.282, 324.360
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.281(5) and 324.282 require the Real Estate Commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out and enforce the provisions of KRS Chapter 324. KRS 324.121 authorizes a principal broker to designate an affiliated licensee to act as agent for a seller or lessor, buyer or lessee, or prospective buyer to the exclusion of all other licensees associated with the principal broker. KRS 324.360(2) requires the commission to promulgate an administrative regulation authorizing a seller's disclosure of conditions form with content as set forth by KRS 324.360(3). KRS 324.160(4)(e) authorizes the commission to take disciplinary action if a licensee acts for more than one (1) party in a transaction without the knowledge of all parties. This administrative regulation establishes requirements for designated agency; the required Seller's Disclosure of Property Condition form; a specific process and form for disclosing prior relationships between parties in a residential transaction; standards and requirements, to inform and set certain standards for licensees and to protect the public, regarding delivery of signed documents, broker supervision, broker record retention, sales associate affiliation and termination, and written agreements between licensees and consumers to provide real estate brokerage services, including standards for listing and purchase contracts; and behavior considered improper conduct.
History: 17 Ky.R. 2295; 2691; 3105; eff. 4-12-1991; 27 Ky.R. 1509; 2708; eff. 4-9-2001; 31 Ky.R. 1329; 1647; eff. 4-22-2005; 34 Ky.R. 829; 2277; eff. 5-2-2008; 36 Ky.R. 429; 1012; eff. 12-4-2009; 40 Ky.R. 2812; 41 Ky.R. 741; eff. 10-31-2014; 46 Ky.R. 582; 1438; 1810; 2027; eff. 12-16-2019; 48 Ky.R.2830; 49 Ky.R. 606, 1601; eff. 5-2-2023.

201 KAR 11:170 Education provider requirements {#sec-201-kar-11-170 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:170}

Section 1. Education Providers.

(1)

(a) Accredited institutions and approved real estate schools may teach:

Pre-licensing education;
Post-licensing education;
Continuing education; and
Broker curriculum education.

(b) Consistent with KRS 324.010(7)(b), National Association of Realtors (NAR) recognized programs that meet the following criteria shall be an approved real estate school:

Has a school administrator;
Is an affiliated organization with NAR or the Kentucky Realtors; and
Would otherwise be regulated by Kentucky Commission on Proprietary Education, but the program is entitled to exemption from certification by Kentucky Commission on Proprietary Education.

(2) National Association of Realtors (NAR) recognized programs that do not meet the criteria established in subsection (1)(b) in this section shall only teach:

(a) Post-licensing education;

(b) Continuing education; and

(3) Governmental bodies shall only teach post-licensing education and continuing education.

(4) Broker-affiliated training programs may teach post-licensing education.

Section 2. Accredited Institutions and Approved Real Estate Schools; Initial Application for Provider Approval.

(1) To apply for initial certification, an approved real estate school shall submit:

(a) A completed Education Provider Application and Renewal Form, KREC Form 101, signed by the education provider's administrator or representative;

(b) A copy of the license or certification from the Kentucky Commission on Proprietary Education, if applicable;

(d)

A copy of a sample contract or agreement, to be signed by the student, that outlines the class schedule, assignments or projects, examination requirements, grading system, and attendance requirements;
An approved real estate school offering a prelicensing course shall include a statement in the school application that a criminal conviction may, consistent with KRS Chapter 335B and 201 KAR 11:210, Section 6, prevent an applicant from qualifying for licensure under KRS 324.045;

(e)

An acceptable explanation of how the provider will verify a student's identity, ensure the student completes the course, and maintain the anonymity of student evaluations;
For classroom courses, at a minimum, the provider shall require a student to sign in and sign out of each course; and

(f) Any documentation necessary to explain an answer on the application.

(2) To apply for renewal of an approved real estate school's approval, an approved real estate school shall submit an Education Provider Application and Renewal Form, KREC Form 101, signed by the education provider's administrator or representative, outlining any changes in the information submitted pursuant to subsection (1) of this section.

(3) After the initial approval, an approved real estate school shall renew annually consistent with subsection (2) of this section.

(4) An approved real estate school shall notify the commission in writing within ten (10) days of a substantive change in the information submitted on the initial or renewal application or in an attachment thereto.

Section 3. Education Provider; Initial Application for Provider Approval.

(1) To apply for initial certification, an education provider offering continuing education or post-license education shall submit:

(a) An Education Provider Application and Renewal Form, KREC Form 101, signed by the education provider's administrator or representative;

(b) A sample copy of an official transcript or certificate that will be issued by the provider;

(c)

An acceptable explanation of how the provider will verify a student's identity, ensure the student completes the course, and maintain the anonymity of student evaluations;
For classroom courses, at a minimum, the provider shall require a student to sign in and sign out of each course; and

(d) Any documentation necessary to explain an answer on the application.

(2) To apply for renewal of an education provider's approval, the education provider shall submit an Education Provider Application and Renewal Form, KREC Form 101, signed by the education provider's administrator or representative, outlining any changes in the information submitted pursuant to subsection (1) of this section.

(3) After the initial approval, an education provider shall renew annually consistent with subsection (2) of this section.

(4) An education provider shall notify the commission in writing within ten (10) days of a substantive change in the information submitted on the initial or renewal application or in an attachment thereto.

Section 4. Education Course Curriculum Requirements.

(1) All courses shall consist of topics that:

(a) Are generally applicable to real estate, including the other professions governed by the Kentucky Real Estate Authority; or

(b) Are specific to Kentucky real estate license law and regulation.

(2) To be approved as an education course, a course shall:

(a) Increase the student's knowledge of the real estate brokerage business; and

(b) Protect the public interest.

(3) Education providers approved by another real property board under the Kentucky Real Estate Authority may submit courses approved by the primary real property board to the commission for approval as a post-licensing and continuing education course.

(4) A course that is solely motivational or considered to be personal development in nature shall not be approved.

(5) The curriculum for a sales associate pre-license course at an approved real estate school shall:

(a) Be conducted for a maximum of nine (9) hours during a calendar day;

(b) Include course content on each of the following topics:

Introduction to the real estate business;
Real property and the law;
Forms of ownership and interests in real estate;
Land description;
Transfer of title;
Title records;
Real estate brokerage;
Real estate agency;
Client representation agreements and required disclosures;
Real estate contracts;
Real estate financing;
Closing a real estate transaction;
Real estate taxes and other liens;
Real estate appraisal and land valuation analysis;
Leases;
Fair Housing;
Property Management;
Land Use controls and property development;
Environmental issues in the real estate transaction; and
Kentucky real estate licensing law.

(c)

Instruction on all topics, except Kentucky specific law and regulation, shall be from a text approved by the commission.
To have a text approved by the commission, an education provider shall submit to the commission the proposed text and a written explanation of how the text covers the course content on the required topics.

(d) Be a course for academic credit consisting of content focused on real estate, but shall not be a continuing education unit, examination preparation or review, experiential education, or competency testing;

(e) Include a scenario-based practicum or project applicable to the practice of real estate brokerage that:

Is to be completed by the individual student, without peer assistance, before sitting for the final examination;
Contemplates the use of at least three (3) commission approved transaction related forms;
Requires completion of:

a. A real estate purchase contract or a real estate listing contract; and

b. A market analysis of property value.

Requires application of topics covered in the sales associate pre-licensing course relating to a transaction based experience; and
Is graded on a pass-fail scale.

(f) Be designated specifically as a real estate course by an approved education provider;

(g) Include a closed-book monitored final examination that shall:

Consist of 100 multiple choice questions which shall evaluate the student's practical application of real estate principles;
Require a passing score of at least seventy-five (75) percent; and
Cover all aspects of material covered in the course, including applicable Kentucky licensing laws and administrative regulations; and

(h)

The pre-licensing provider shall not allow a student to take the final examination more than three (3) times, unless the student retakes the sales associate pre-licensing course;
A student may retake the final examination no earlier than the fourth day following the date of a failure;
After the second failure, the pre-licensing provider shall provide the student with documentation of the area or areas of deficiency and the opportunity for additional training on the student's area or areas of deficiency consistent with the provider's student enrollment agreement.

(6) Approved pre-license education providers and instructors shall take appropriate steps to maintain the confidentiality of the final examinations. These steps shall include:

(a) Storing examinations and answer keys in a secure place accessible only to the school administrator and the instructor;

(b) Prohibiting students from retaining copies of the final examination and answer sheets;

(d) Notifying the commission if an examination is compromised.

(7) The curriculum for a post-license education course shall be in hourly increments from one (1) to nine (9) hours with one (1) hour of course credit allowed for each fifty (50) minutes of actual instruction and consist of thirty-two (32) hours from the courses established in paragraphs (a) and (b) of this subsection and sixteen (16) hours as established in paragraph (c) of this subsection:

(a) The three (3) hour Commission Licensee Compliance course, which shall instruct new licensees on:

License statuses and the administrative processes relative to keep a license active and in good standing;
A review of controlling definitions;
A review of agency principles;
Overview of commission duties and functions and relationships with other governmental bodies, regulatory bodies, and professional associations; and
A review of disciplinary procedures and administrative case studies.

(b) The requirements in each of the following course topics:

Six (6) hours in Agency;
Six (6) hours in Contracts;
Three (3) hours in Finance;
Three (3) hours in Advertising;
Three (3) hours in Disclosure;
Three (3) hours in Fair Housing;
Three (3) hours in Technology and Data Security; and
Two (2) hours in Risk Management; and

(c) Sixteen (16) additional hours in approved mandatory courses in excess of the prescribed hours listed in paragraph (b) of this subsection or in the following elective topics chosen by the licensee:

Real Estate Auctions;
Anti-trust;
Appraisals
Home inspections;
Land Use;
Property Rights;
Property Management;
Real Estate Investments; and
Business Planning.

(d) Contain course content, objectives, and assessments that include scenario-based case studies designed to ensure the application of current real estate information and knowledge to practical brokerage scenarios.

(e) If a licensee takes a post-licensing education course with the same course number more than once, the licensee shall only receive credit for one (1) course completion.

(8)

(a) The curriculum for a continuing education course shall be in hourly increments from one (1) to nine (9) hours with one (1) hour of continuing education allowed for each fifty (50) minutes of actual instruction.

(b) If a licensee takes a continuing education course with the same course number more than once in an education cycle, the licensee shall only receive credit for one (1) course completion.

(9) All course content required by this administrative regulation shall be submitted to the commission for review and consideration prior to the approval of the course.

Section 5. Pre-license Course Approval for Sales Associates.

(1) To obtain approval for a sales associate pre-license course, an approved education provider shall submit a Pre-license Course Application and Renewal Form, KREC Form 102, for each course for which approval is sought, at least ninety (90) days prior to the scheduled offering of a pre-license education course. The approval shall be valid for one (1) year. The completed form shall by accompanied by:

(a) A completed detailed Course Outline broken into four (4) hour increments to include, if applicable, teaching methods, learning objectives for the course, auxiliary aids, quizzes or examinations, and materials for each course.

(b) The course description and objectives;

(d) When the final examination shall be conducted;

(e) The textbooks being used and how material will be taught in conjunction with completion of the projects and the final exam;

(f) A copy of the final examination question bank and answer key;

(g) A copy of all written material that the instructor will use in the classroom, including a copy of the curriculum that follows the mandated guidelines, if applicable;

(h) A completed Instructor Affiliation Form, KREC Form 104, for each instructor who will teach a course; and

(i) The nonrefundable initial review fee of seventy-five (75) dollars.

(2) To renew approval for a sales associate pre-license course, an approved education provider shall submit:

(a) A separate completed Pre-license Course Application and Renewal Form, KREC Form 102, for each course, at least ninety (90) days prior to the current expiration of the pre-license education course;

(b) The nonrefundable renewal review fee of twenty-five (25) dollars; and

(c) A detailed abstract of changes made to the course, course materials, and other required attachments since the initial application or most recent course renewal.

(3) An education provider shall notify the commission in writing within ten (10) days of a substantive change in the information submitted on the initial or renewal application for a sales associate pre-license course or in any attachment thereto.

(4) Every five (5) years an approved education provider shall submit a complete Pre-license Course Application and Renewal Form, KREC Form 102, for each course approval is sought, at least ninety (90) days prior to the scheduled offering of a pre-license education course.

(5) Nothing in this section shall prevent the commission from requesting the current version of a course from an approved education provider during the five (5) year review period.

Section 6. Continuing and Post-license Education Course Approval.

(1) To obtain approval for a continuing education or post-license education course, an approved education provider shall submit a completed Continuing and Post-license Education Course Application and Renewal Form, KREC Form 103. The approval shall be valid for one (1) year.

(2) At least sixty (60) days prior to the scheduling of a continuing or post-license education course, an approved education provider wishing to offer a continuing or post-license education course shall submit:

(a) A Continuing and Post-license Education Course Application and Renewal Form, KREC Form 103, and either:

The nonrefundable initial review fee of twenty-five (25) dollars for classroom courses or seventy-five (75) dollars for distance education courses; or
The nonrefundable renewal review fee of fifteen (15) dollars; and

(b) A completed detailed Course Outline broken into fifty (50) minute increments, to include, if applicable, learning objectives for the course, teaching methods, auxiliary aids, quizzes or examinations, materials, and the policies of the provider;

(d) A copy of the final examination question bank and answer key, if the course is a distance education course; and

(e) A completed Instructor Affiliation Form, KREC Form 104, for each instructor who will teach a course.

(3) A provider shall:

(a) Award each attendee listed on the roster who completes the course a course completion certificate that contains:

The licensee's name;
The licensee's license number;
The course completed, including the type of education, course title, and course number;
The date of completion; and
Signature of the school administrator or course provider representative.

(b) Submit to the commission, within ten (10) days of the student completing an approved continuing or post-license education course, unless the course is completed after December 21 of the calendar year in which case the deadline shall be on or before 11:59 p.m. December 31:

An attendance roster through the provider's online portal; and
A Course Evaluation, KREC Form 106, completed by each attendee listed on the roster; and

(c) Include a notice or warning that if the continuing education course is taken after December 21 of the calendar year, the licensee's license may be cancelled if the course is not timely completed; and

(d) Subject only to space limitations, make the course available to all licensees, unless the course is offered by a broker-affiliated training program.

(4) A course provider may be disciplined by the commission if a course provider fails to submit all attendance and evaluation forms completed and returned by students to the course provider.

(5) A course that has been previously approved within the same education cycle may be conducted by another provider if:

(a) The same instructor teaches the course;

(b) The same number and type of credits are awarded for the course;

(d) The hosting provider submits a completed Provider Host Form, KREC Form 105, to the commission thirty (30) days prior to conducting the course.

(6) To renew approval for a continuing or post-license education course, an approved education provider shall submit:

(a) A completed Continuing and Post-license Education Course Application and Renewal Form, KREC Form 103, for each course approval is sought, at least sixty (60) days prior to the current expiration of the continuing or post-license education course, and

(b) A detailed abstract of changes made to the course, course materials, and other required attachments since the initial application or most recent course renewal.

(7) An education provider shall notify the commission in writing within ten (10) days of a substantive change in the information submitted on the initial or renewal application for a continuing or post-license education course or in any attachment thereto.

(8) Every five (5) years an approved education provider shall submit a complete Continuing and Post-license Education Course Application and Renewal Form, KREC Form 103, for each course approval is sought, at least ninety (90) days prior to the scheduled offering of a continuing or post-license education course.

(9) Nothing in this section shall prevent the commission from requesting the current version of a course from an approved education provider during the five (5) year review period.

Section 7. Pre-license Course Approval for Broker Curriculum.

(1) To obtain approval for a broker management or broker curriculum course, an approved education provider shall submit a Pre-license Course Application and Renewal Form, KREC Form 102, for each course approval is sought. The approval shall be valid for one (1) year.

(2) To satisfy the education prerequisites contained in KRS 324.046(1)(a), an applicant for a broker's license shall complete a broker management skills course. The broker management skills course shall:

(a) Satisfy three (3) academic credit hours of the applicant's twelve (12) academic credit hours of real estate courses required to become a broker;

(b)

Instruction on all topics, except Kentucky specific law and regulation, shall be from a text approved by the commission.
To have a text approved by the commission, an education provider shall submit to the commission the proposed text and a written explanation of how the text covers the course content on each of the required topics.

(c) Be a three (3) academic hour comprehensive review of all the skills necessary to run a brokerage office in accordance with the applicable Kentucky licensing laws and administrative regulations relating to real estate and the standards of practice for a broker pertaining to adequate supervision of all affiliated licensees, including:

Leadership and management skills;
Communications and decision-making;
Analyzing the business environment;
Analyzing the market;
Developing a business plan, including structuring the organization, business systems, and finances;
Business policies and procedures;
Marketing and advertising;
The practical and legal realities of staffing;
Recruiting, selecting, and hiring the staff;
Professional development;
Critiquing operations; and
Managing risk.

(d)

Include a scenario-based practicum or project that shall require each student to develop a sample business plan, a sample financial plan and an office policy and procedure manual. The practicum shall;
Be completed by the individual student, without peer assistance, before sitting for the final examination;
Require application of topics covered in the broker pre-licensing curriculum;
Be graded on a pass-fail scale; and
Be allotted up to one hour of course credit for completion and review of this requirement.

(e)

Require each student to take a comprehensive, closed-book examination consisting of at least seventy-five (75) multiple choice questions;
The examination shall be submitted to the commission for approval prior to use in the course;
The passing score for the examination shall be a minimum score of seventy-five (75) percent;
The broker pre-licensing provider shall not allow a student to take the final examination more than three (3) times, unless the student retakes the broker management skills course;
A student may retake the final examination no earlier than the fourth day following the date of a failure;
After the second failure, broker pre-licensing provider shall provide the student with documentation of the area or areas of deficiency and the opportunity for additional training on the student's area or areas of deficiency consistent with the provider's student enrollment agreement.

(f) The education provider shall report a course completion certificate to the commission through the provider's online services portal within ten (10) days of issuing the certificate to the student.

(3) To be approved as a pre-licensing course for broker curriculum, a course shall cover one of the following topics:

(a) Federal Housing and Lending Law;

(b) Kentucky Real Estate Law and Regulation;

(d) Real Estate Marketing;

(e) Property Management;

(f) Real Estate Investment;

(g) Real Estate Appraisal;

(h) Home Inspection;

(i) Real Estate Auction;

(j) Construction and Blueprints;

(k) Land Use Planning and Zoning;

(l) Commercial Real Estate;

(m) Real Estate Development; and

(n) Urban Planning.

(4) In addition to being specific to the course topics listed in subsection (3) of this section, each pre-licensing course for broker curriculum shall include:

(a) A comprehensive review specific to the course topic of all the relevant laws necessary to run a brokerage office in accordance with the applicable Kentucky licensing laws, administrative regulations, and federal laws, if applicable, relating to real estate and the standards of practice for a broker;

(b) An extensive review of case studies; and

(5) In addition to being specific to the course topics listed in subsection (3) of this section, each pre-licensing course for broker curriculum shall be in either three (3) academic credit hour or six (6) academic credit hour intervals and shall not be accredited for continuing education credit.

(6) Within ten (10) days of completion of an approved broker curriculum course, the provider shall submit to the commission:

(a) An attendance roster; and

(b) A Course Evaluation Form, KREC Form 106, completed by each attendee listed on the roster.

(7) If a licensee takes a broker pre-license course with the same course number more than once, the licensee shall only receive credit for one (1) course completion.

(8) To renew approval for a broker management or broker curriculum course, an approved education provider shall submit:

(a) A completed Pre-license Course Application and Renewal Form, KREC Form 102, for each course approval is sought, at least ninety (90) days prior to the current expiration of the broker management or broker curriculum course; and

(b) A detailed abstract of changes made to the course, course materials, and other required attachments since the initial application or most recent course renewal.

(9) An education provider shall notify the commission in writing within ten (10) days of a substantive change in the information submitted on the initial or renewal application for a broker management or broker curriculum course or in any attachment thereto.

(10) Every five (5) years an approved education provider shall submit a complete Pre-license Course Application and Renewal Form, KREC Form 102, for each course for which approval is sought, at least ninety (90) days prior to the scheduled offering of a the broker management or broker curriculum course.

(11) Nothing in this section shall prevent the commission from requesting the current version of a course from an approved education provider during the five (5) year review period.

Section 8. Broker Electives.

(1) To obtain approval for a broker elective course, an approved education provider shall submit a Continuing Education and Post-License Education Course Application and Renewal Form, KREC Form 103, for each course for which approval is sought, consistent with Section 6 of this administrative regulation. The approval shall be valid for one (1) year.

(2) The content of a broker elective course shall be:

(a) An NAR designation course; or

(b) A course tailored to the supervisory functions of managing and operating a real estate brokerage company beyond the scope of what is covered in a sales associate pre-licensing course.

Section 9. Distance Education Standards for Approval.

(1) Continuing education, post-license education, and pre-license courses conducted for academic credit in an accredited college or university via interactive television shall include:

(a) Two (2) way audio and video connections between the instructor and the student; and

(b) College or university personnel stationed at each remote site to handle technology problems that may arise and to monitor attendance of students.

(c) The program shall be one that has been properly approved by the college accrediting body as fulfilling the requirements for academic credit.

(2) A course initially approved for classroom instruction shall not be offered for distance education unless additional approval consistent with this section is obtained from the commission.

(3)

(a) Consistent with this administrative regulation, an approved provider shall submit:

A completed Pre-license Course Application and Renewal Form, KREC Form 102; or
A completed Continuing Education and Post-licensing Education Course Application and Renewal Form, KREC Form 103.

(b) In addition to the attachments required by the appropriate course application form, the course application shall include:

A complete copy of the program on the medium that is to be used or a link to the internet site where the course is located;
A copy of the final examination question bank and key for each course; and
The appropriate non-refundable course review fee.

(4) The course shall:

(a) Be divided into learning units, modules, or chapters to provide mastery of the material. Each unit shall contain learning objectives that are sufficient to ensure that the course will likely be mastered by the student upon completion of the material;

(b) Require quizzes at the end of each learning unit, module, or chapter to assess the student's performance before proceeding to the next learning unit, module, or chapter;

(d) Provide a method for tracking the length of time a student spends on the course; and

(e) Prohibit a student from bypassing the course materials to advance directly to the end-of-module quizzes or exercises that are included to assess the student's performance.

(5)

(a) Each course shall have the approved instructor available to answer questions from students.

(b) The provider shall have reasonable oversight to monitor a student's work and electronic access in order to ensure that the student completing the work and receiving credit is the one who is enrolled in the course.

(6) For all distance education courses, the student shall pass a final exam covering the content of the course and real estate laws and administrative regulations that apply to those content areas with a score of at least seventy-five (75) percent.

(a) If the course is a continuing education or post-license education course, the final exam shall:

Be included as the last module of the course; and
Have a minimum of five (5) questions for each approved hour of education.

(b) If the course is a pre-license education course, the final exam shall:

Contain a minimum of fifty (50) items for a three (3) academic credit hour course or contain a minimum of 100 items for a six (6) academic credit hour course;

a. Each course shall have an item bank from which the final examination questions shall be pulled.

b. The bank shall contain multiple choice items and have forty (40) percent more questions than required on the final examination, so that retake exams will contain unique new questions.

Be monitored by the approved instructor for the course or another individual designated by the instructor who is not a relative or a business associate of the student;
If another individual is designated to monitor the exam, the monitor shall be:

a. A certified librarian;

b. A public school administrator;

c. A College professor;

d. Other real estate instructor associated with the school offering the course; or

e. A monitor from a qualified online test monitoring service;

The monitor shall:

a. Sign a statement certifying that he or she is not affiliated with the student in any way;

b. Verify that the person taking the examination is the person registered for the course;

c. Observe the student taking the exam;

d. Assure that the student does not use aids of any kind;

e. Assure that a calculator is nonprogrammable;

f. Assure that limitations on the final examination are not exceeded;

g. Certify to the provider in a notarized statement that all requirements for the final examination have been met; and

h. Assure that any student's mobile device, cell phone, or camera is shut down and put away, while at the test site.

(7) Prior to awarding a student credit for a distance education course, the education provider shall require each student to complete an affidavit that includes the date of completion and the student's signature, which may be provided electronically. The affidavit shall certify that the student has personally completed all components of the course and the final exam with no academic assistance.

(8) Credit shall be denied and disciplinary action taken if it is determined that a student received academic assistance on the final exam.

(9) To obtain credit for a distance education course, a student shall complete the course within the time frame allotted by the school for pre-license courses or within the education cycle for continuing and post-license education, unless the student is completing the course to comply with an order of the commission.

(10)

(a) The completion date for all courses shall be the latest of the dates upon which the student completes the final examination with a passing score of at least seventy-five (75) percent and submits the student affidavit.

(b) The student shall submit the course evaluation and student affidavit to the provider from whom the course was taken.

(11)

(a) The provider shall ensure that approved instructors are available to assist students who have questions regarding:

The technology used in the delivery;
The course content; or
The completion requirements.

(b) A student shall not be required to call more than one (1) person to obtain answers to questions about the course.

(12) The provider shall include a detailed explanation of how the course measures, documents, and records the student completion of the material, and any activities or exercises required to achieve mastery of the material.

(13)

(a) The provider shall obtain an evaluation from each student.

(b) An evaluation may be submitted to the provider electronically and a copy of each form shall be returned along with the attendance roster and other documents required by the commission for continuing education courses.

Section 10. Course Instructor Qualifications and Approval.

(1) A person not approved pursuant to this administrative regulation shall not teach an education course for credit.

(2) To be approved, an instructor shall have:

(a) Qualifying education or experience:

A bachelor's or post-graduate degree from a college or university duly accredited by a nationally recognized rating or accrediting organization, in a field directly related to the nature of the course, such as real estate, business, law, or finance;
An associate degree in real estate from a college or university duly accredited by a nationally recognized rating or accrediting organization;
Completed five (5) consecutive years of full-time experience in the real estate related subject area that he or she is teaching; or
A combination of teaching, education, and full-time experience in real estate totaling five (5) years; and

(b) Sufficient and thorough knowledge of the subject area of the course he or she is teaching, familiarity of the provisions of Kentucky real estate licensing law and administrative regulations, and the importance of those provisions on the subject area of the course; and

(c)

Effective on January 1, 2021, have completed a mandatory educator training course within the twelve (12) months preceding the approval or renewal as an instructor from the commission, unless one of the following exemptions apply:

a. The instructor is a national level or unique speaker and training poses an impractical burden;

b. The instructor has taken a similar course in another jurisdiction within the preceding twelve (12) months;

c. The instructor teaches two (2) or fewer courses each year; or

d. The instructor has earned a Distinguished Real Estate Instructor designation or a comparable advanced designation.

The mandatory educator training course shall include a minimum of three (3) fifty (50) minute blocks of instruction consisting of:

a. Classroom management principles and Generally Accepted Practices of Education;

b. Fundamentals of instruction in adult education; and

c. A review of any pertinent changes to Kentucky or federal real estate brokerage laws and administrative regulations and current real estate brokerage principles.

(3) To apply for approval, an instructor shall submit:

(a) An Instructor Application and Renewal Form, KREC Form 100;

(b) A copy of the instructor's current resume;

(d) A license certification from each jurisdiction where the instructor holds a professional license; and

(e) A certification of completion for the instructor course.

(4) Instructor approval shall last for one (1) year.

(5) To renew, an instructor shall submit the Instructor Application and Renewal Form, a certification of completion for the instructor course, and note any changes from the materials submitted in subsection (3) of this section.

(6) The commission shall maintain a roster of approved instructors who are eligible to be added to an approved course upon submission of a completed Instructor Affiliation Form, KREC Form 104.

(7) Approval of an instructor may be withdrawn, probated, or suspended by the commission for:

(a) A violation of a provision of KRS Chapter 324 or the administrative regulations promulgated thereunder;

(b) Falsification of material submitted to the commission;

(d) While acting as an instructor, engaging in brokerage activity with an enrolled student while present in an educational facility;

(e) Soliciting an investment from a student;

(f) Attempting to recruit a student to a real estate company while acting as an instructor;

(g) Receipt of a complaint or poor evaluation related to the conduct of the instructor;

(h) Improper or unprofessional conduct or communication during course instruction, including comments that are clearly derogatory, not germane to the course's subject matter, or are intended to offend a particular student or group of students;

(i) Permitting a student to receive credit for a course if the licensee arrives more than ten (10) minutes after the scheduled start of the course or any break during the course; or

(j) Failure to abide by the Generally Accepted Principles of Education or other documented deficiencies in classroom management.

Section 11. Evaluation of Instructors.

(1) The commission shall review each Course Evaluation Form, KREC Form 106, submitted.

(2) Within the commission's determination, the commission may monitor an instructor's course.

(3) The commission monitor shall submit a recommendation to the commission regarding whether the instructor shall be allowed to continue to teach courses.

(4) Based on the recommendation of the commission monitor, and the comments from the monitored class, the commission shall:

(a) Take no further action; or

(b) Take disciplinary action.

(5) If the commission issues a probationary order, the commission shall establish the length and terms of the probationary period as well as the date of any class to be monitored.

(6) At the conclusion of the probationary period, the commission shall determine if the instructor's approval shall continue.

(7) If the commission determines that instructor approval shall be suspended, the instructor shall not be allowed to teach any commission-approved education courses unless approval is reinstated.

(8) The commission shall notify the instructor and the school of its decision in writing.

(9)

(a) Any instructor who has been suspended from teaching education courses may apply for reinstatement by submitting:

An application for approval to the commission; and
An explanation detailing how the applicant cured the deficiency which resulted in suspension; and

(b) After submission of the documents in paragraph (a) of this subsection and consideration by the commission, the commission shall approve or deny the instructor's request for reinstatement.

Section 12. Monitoring and Withdrawal of Provider Approval.

(1) An approved education provider shall ensure that all instructors shall abide by the Generally Accepted Principles of Education as adopted by the Real Estate Educators Association.

(2) An approved education provider shall permit inspection and monitoring by the commission, or its designee, to evaluate the administration or operation of any approved real estate school or approved provider education course and to evaluate the performance of instructors.

(3) An approved education provider shall not:

(a) Advertise, or permit an advertisement to be made, in conjunction with the business of a principal broker or a real estate brokerage company;

(b) Discuss, induce, or promote affiliation with a principal broker or a real estate brokerage company;

(d) Violate the provisions of this administrative regulation as it relates to the establishment or conduct of the provider, any instructor, or any course material; or

(e) Directly or indirectly attempt, or allow an official, employee, or a person on their behalf, to reconstruct the real estate licensing examination or portion of the examination.

(4) If an approved education provider's approval may be subject to withdrawal for the reasons set forth in this section, the commission shall:

(a) Give written notice to the school of the intent to withdraw approval and the reasons therefor; and

(b) Give the school an opportunity to address the notice, in writing, within thirty (30) days of the date of the notice of intent to withdraw approval.

Section 13. Records Retention.

(1) An approved education provider shall maintain accurate records on each student enrolled in a course for three (3) years.

(2) A record shall include each student's record of courses completed or attempted, academic hours awarded, final grades, and test scores, if applicable.

(3) A certificate of completion shall be:

(a) Included in the records of each student; and

(b) Delivered to each student upon completion of a course.

Section 14. Instructors to Receive Credit for Teaching.

(1) A licensee who teaches an approved continuing education course shall receive credit on an hour-for-hour basis, not to exceed three (3) hours per calendar year.

(2) To obtain continuing education credit, the instructor's name shall be added to the education attendance roster for the course.

(3) The instructor shall not receive credit more than once in a calendar year for teaching a specific course.

Section 15. Effective Date. The first provider application, course approval application, and instructor application for each provider, course, or instructor received after the effective date of this administrative regulation shall be considered an initial application for purposes of the application and renewal processes prescribed in this administrative regulation.

Section 16. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Instructor Application and Renewal Form", KREC Form 100, 07/19;

(b) "Education Provider Application and Renewal Form", KREC Form 101, 07/19;

(d) "Continuing and Post-license Education Course Application and Renewal Form", KREC Form 103, 07/19;

(e) "Instructor Affiliation Form", KREC Form 104, 07/19;

(f) "Provider Host Form", KREC Form 105, 07/19; ;

(g) "Course Evaluation Form", KREC Form 106, 07/19; and

(h) "Generally Accepted Principles of Education", KREC Form 107, 07/19.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Real Estate Commission, 656 Chamberlin Avenue, Suite B, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available from the commission's Web site: www.krec.ky.gov.

History

RELATES TO: KRS 324.010(7), 324.046(1), (2), (5), 324.085, 324.090, 324.160(1)(c), (4)(u), 324.281(7)
STATUTORY AUTHORITY: KRS 324.010(7), (8), 324.046(1), (2), 324.085, 324.160, 324.281(5), 324.282
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.281(5) and 324.282 require the Real Estate Commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to implement KRS Chapter 324. KRS 324.010(7) and (8) authorize the commission to approve a real estate school. KRS 324.046(1) and (2) require an applicant for initial licensure as a broker or sales associate to have completed the specified number of courses from an approved or accredited real estate school. KRS 324.085(4) and (5) require the commission to promulgate administrative regulations necessary to implement the continuing education, post-licensure education, and instructor qualification requirements of KRS 324.085. KRS 324.046(1)(a) requires the commission to promulgate an administrative regulation determining the required course content of a brokerage management skills course for all broker applicants. This administrative regulation establishes the requirements and application procedures for approval as a real estate school, post-licensing education provider, and a continuing education provider; the requirements and application procedures for approval of instructors and courses for license credit; procedures for implementing the requirements for post-license education and the requirements for courses offered through distance education; the requirements of the brokerage management skills course; and incorporates the curriculum by reference.
History: 9 Ky.R. 850; eff. 2-2-1983; 17 Ky.R. 2216; 2691; eff. 3-8-1991; 24 Ky.R. 2413; 25 Ky.R. 293; eff. 8-17-1998; 27 Ky.R. 1512; 2709; eff. 4-9-2001; 34 Ky.R. 831; 1937; eff. 3-7-2008; TAm eff. 2-22-2010; 42 Ky.R. 463; 1219; 1466; eff. 12-4-2015; 46 Ky.R. 588; 1444; 1814; eff. 12-16-2019.

201 KAR 11:190 Consumer and administrative complaints; discipline; administrative hearings {#sec-201-kar-11-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:190}

Section 1. Filing a Complaint.

(1) A complaint shall:

(a) Be filed on the Sworn Statement of Complaint, KREC Form 300;

(b) Allege a prima facie case of specific violation of KRS 324.160 by a licensee or a case of unlicensed brokerage against an unlicensed individual;

(d) Be notarized by a notary public; and

(e) Include a copy of all the following documents relevant to the complaint or a written explanation of why the documents are unavailable:

Listing contract;
Purchase contract;
Seller's Disclosure of Property Condition form, incorporated by reference in 201 KAR 11:121;
Agency Consent Agreement and the Guide to Agency Relationships forms, incorporated by reference in 201 KAR 11:121;
Settlement statement; and
Any other documentation to support a claim or alleged violation.

(2) The complaint shall be filed no more than one (1) year from:

(a) Actual knowledge of the cause of action; or

(b) The time circumstances would reasonably have put the complainant on notice of the cause of action.

Section 2. Complaint Review, Answers, and Replies.

(1) Upon receipt of a complaint, commission staff shall review the complaint to determine whether the complaint states a prima facie violation of KRS Chapter 324.

(2) If a supplement to the complaint is required because the original complaint was deficient, the supplement shall be filed on Sworn Supplement to Complaint, KREC Form 302 and notarized.

(3)

(a) If the commission staff determine the complaint alleges a prima facie case of a specific violation of KRS 324.160, the complaint shall be served for an answer on the licensee as established in KRS 324.151(2).

(b) A responding licensee shall file a Sworn Answer to Complaint, KREC Form 301 in accordance with KRS 324.151(3).

(4) The answer shall:

(a) State an answer to the complaint;

(b) Be notarized by a notary public; and

Listing contract;
Purchase contract;
Seller's Disclosure of Property Condition form, incorporated by reference in 201 KAR 11:121;
Agency Consent Agreement and the Guide to Agency Relationships forms, incorporated by reference in 201 KAR 11:121;
Settlement statement; and
Any other documentation to rebut a claim or alleged violation.

(5)

(a) The complainant may file one (1) reply to the respondent's Sworn Answer to Complaint within ten (10) days of receiving the respondent's Sworn Answer to Complaint;

(b) The respondent may file one (1) reply to complainant's reply within ten (10) days of receiving the complainant's reply; and

(6)

(a) For purposes of calculating filing deadlines prescribed by this administrative regulation, the commission shall follow the Kentucky Rules of Civil Procedure.

(b) A request for an extension of any filing deadline prescribed by this administrative regulation shall be made directly to the office of general counsel and shall be granted or denied. If the request is denied, the requester shall have the opportunity to appeal the decision to the commission at its next scheduled meeting.

(7) The commission shall not entertain motions with regard to pending complaints.

Section 3. Complaint Screening Committee.

(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;

(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;

(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.

Section 4. Withdrawal of a Complaint. A complainant may withdraw a complaint if:

(1)

(a) An answer has not been filed; and

(b) The withdrawal is made within twenty (20) days of the date the complaint was received by the respondent; or

(2)

(a) There is good cause for the withdrawal; and

(b) The commission approves the withdrawal.

(3) Nothing in this section shall prevent the commission from filing its own complaint against a licensee.

Section 5. Settlement by Informal Proceedings.

(1) At any time following the filing of a complaint and answer, the commission, through its legal counsel, may enter into informal settlement proceedings with a licensee for the purpose of expeditiously resolving any disciplinary matter.

(2)

(a) The commission shall approve or reject all settlement proposals.

(b) Any matter to which a licensee and the commission's legal counsel have stipulated that is rejected by the commission shall not thereafter bind the parties or the commission.

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

(4) All proposed agreed orders shall be signed by the licensee and shall advise the licensee that by entering into an agreed order, the licensee expressly acknowledges that the licensee is fully and completely informed of the due process rights afforded to the licensee and that the licensee knowingly, willingly, and voluntarily agrees to waive those rights and enter into an agreed order.

Section 6. Standards for Filing a Sworn Statement. Any licensee found to have misrepresented facts in any sworn statement shall be subject to disciplinary proceedings by the commission and the commission may seek a criminal indictment for perjury.

Section 7. Emergency Orders and Hearings.

(1) Consistent with KRS 324.150(1)(b) and KRS 13B.125, the commission may issue an emergency order prior to conducting a hearing if an alleged escrow account violation warrants emergency action.

(2) An escrow account violation shall warrant emergency action if:

(a) A licensee is alleged to have committed two (2) or more escrow account violations;

(b) A licensee is alleged to have committed one (1) escrow account violation in excess of $500; or

(3) An emergency order authorized pursuant to this section shall be signed by the executive director, the chair of the commission, and one (1) member of the complaint screening committee. The order shall be served upon the licensee who is the subject of the emergency order pursuant to KRS 13B.125.

(4) An emergency order issued pursuant to this section may be served on the appropriate financial institution to order an escrow account be frozen until further orders of the commission or a court of competent jurisdiction.

(5) A licensee who is the subject of an emergency order issued pursuant to this section may request an emergency hearing in accordance with KRS 13B.125.

Section 8. Recovery Fund Proceedings.

(1) If the Commission determines that the recovery fund shall be at issue in an administrative hearing, the complainant shall become a party.

(2) The Commission shall not represent the complainant in the administrative hearing.

(3) The complainant shall carry the burden of proof on the issue of damages.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Sworn Statement of Complaint", KREC Form 300, 7/19;

(b) "Sworn Answer to Complaint", KREC Form 301, 7/19;

(d) "Complaint Review Process Chart", 6/19.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Real Estate Commission, 656 Chamberlin Ave., Suite B, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 324.045, 324.046, 324.150, 324.151, 324.160, 324.170, 324.200, 324.281(5)
STATUTORY AUTHORITY: KRS 324.151(1), (3), 324.160, 324.170, 324.281(5), 324.282
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.281(5) and KRS 324.282 require the commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to implement KRS Chapter 324. KRS 324.151(1) and (3) require the commission to establish the required forms for a complaint and answer. KRS 324.160 authorizes the commission to order sanctions. KRS 324.170(1) requires the commission to schedule and conduct an administrative hearing in accordance with the provisions of KRS Chapter 13B prior to denying an application for license, before ordering any disciplinary action, or before suspending or revoking a license. This administrative regulation establishes supplemental administrative hearing procedures for matters before the commission, the informal settlement process for entry of agreed orders, the required forms for a complaint or an answer, the standards for filing a sworn statement to the real estate commission, and the supplemental provisions relating to consumer access to the commission's Research, Education, and Recovery Fund.
History: 12 Ky.R. 630; eff. 12-10-1985; 1603; eff. 5-6-1983; 24 Ky.R. 2733; 25 Ky.R. 294; eff. 8-17-1998; 27 Ky.R. 1513; 2710; eff. 4-9-2001; 46 Ky.R. 596; 1453; 1822; eff. 12-16-2019.

201 KAR 11:210 Licensing, education, and testing requirements {#sec-201-kar-11-210 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:210}

Section 1. Initial Sales Associate License.

(1) Prior to applying for an initial sales associate license, a prospective applicant shall complete six (6) academic credit hours, or its equivalent, of prelicensing education with either:

(a) An approved pre-license education provider; or

(b) An accredited institution as defined by KRS 324.010(8).

(2) An applicant for initial sales associate licensure shall submit:

(a) A national criminal history check in accordance with KRS 324.045(5) and this administrative regulation;

(b) A completed application submitted on Score Report/License Application obtained from the commission's testing provider after passing the required examination, which shall contain a recent photo of the applicant;

(d) Proof of completion of six (6) academic credit hours, or its equivalent in qualifying prelicense education;

(e) Proof of Errors and Omissions insurance coverage compliant with KRS 324.395 and 201 KAR 11:220, if the license will be immediately active;

(f) The nonrefundable sixty (60) dollar original license fee and sixty (60) dollar recovery fund fee required by KRS 324.287(2) and (8); and

(g) A completed and signed Consent to Jurisdiction and Service of Process, KREC Form 205, if the applicant resides outside of the Commonwealth of Kentucky.

(3) An applicant may submit a paper or electronic application.

(4) Within ten (10) days of being issued a license number and Occupations and Professions Identification Number, OP ID, the licensee shall:

(a) Create an Online Services Portal account;

(b) Verify the licensee's current residential address and telephone number; and

Section 2. Broker's License.

(1) Prior to applying for a broker's license, a prospective applicant shall:

(a) Complete not less than twenty-one (21) academic credit hours, consistent with KRS 324.046(1)(a), of education to acquire a broker's license, including a minimum of:

Nine (9) academic credit hours of real estate courses, which shall not include an applicant's sales associate prelicense education;
Three (3) academic credit hours of Broker Management; and
Nine (9) academic credit hours of broker elective courses, approved by the commission.

(b) A licensee shall not get duplicate course credit toward a broker's license;®

(c) A licensee shall get course credit toward his or her broker's license by completing National Association of Realtors®, NAR designation courses. Credit for the designation course shall be awarded consistent with accreditation at the time the course is completed.

(d) An applicant for a broker's license may submit a request for an education review by submitting a completed Broker Education Review Form, KREC Form 207.

(2) An applicant for a broker's license shall submit:

(a) Proof of the requisite sales associate experience as provided in KRS 324.046(1)(b) or its equivalent as provided in KRS 324.046(3) or (4);

(b) A completed application submitted on Score Report/License Application obtained from the commission's testing provider after passing the required examination;

(c) Proof of completion of the broker curriculum education real estate courses required by KRS 324.046(1)(a), KRS 324.046(3), and 201 KAR 11:170, Section 7;

(d) Proof of Errors and Omissions insurance coverage compliant with KRS 324.395 and 201 KAR 11:220, if the license will be immediately active, or proof of extended reporting period coverage as required by KRS 324.395 if the license will be placed into inactive status;

(e) An original copy of the applicant's national criminal history check obtained consistent with KRS 324.045(5) and this administrative regulation;

(f) A completed and signed Consent to Jurisdiction and Service of Process, KREC Form 205, if the applicant resides outside of the Commonwealth of Kentucky; and

(g) The nonrefundable sixty (60) dollar original license fee required by KRS 324.287(2).

(3) An applicant may submit a paper or electronic application.

(4) The provisions of the section shall not be implemented until April 1, 2020.

Section 3. Reciprocal Licensing.

(1) An individual actively licensed as a real estate professional outside of Kentucky may apply for an equivalent Kentucky license.

(2) To obtain a sales associate license by reciprocal licensing, an individual shall:

(a) File with the commission a national criminal history check in accordance with KRS 324.045(5) and this administrative regulation;

(b) File with the commission a certification of licensure issued within the preceding ninety (90) days by the regulatory authority of the state for which the individual seeks reciprocity;

(c) Submit proof of completion of six (6) academic credit hours or their equivalent in real estate courses from an accredited institution or approved real estate school pursuant to KRS 324.046 and KRS 324.141(1)(a)3.;

(d) Pass the Kentucky law portion of the licensing examination for a sales associate's license;

(e) Submit a completed and signed Consent to Jurisdiction and Service of Process, KREC Form 205, if the applicant resides outside of Kentucky; and

(f) The nonrefundable sixty (60) dollar original license fee and sixty (60) dollar recovery fund fee required by KRS 324.287(2) and (8).

(3) To obtain a broker license by reciprocal licensing an individual shall:

(a) File with the commission a national criminal history check in accordance with KRS 324.045(5) and this administrative regulation;

(b) File with the commission a certification of licensure issued within the preceding ninety (90) days by the regulatory authority of the state for which the individual seeks reciprocity;

(c) Submit proof of completion of twenty one (21) academic credit hours or their equivalent in real estate courses from an accredited institution or approved real estate school pursuant to KRS 324.046 and KRS 324.141(1)(a)3.;

(d) Pass the Kentucky law portion of the licensing examination for a broker's license;

(e) Submit a completed and signed Consent to Jurisdiction and Service of Process, KREC Form 205, if the applicant resides outside of Kentucky; and

(f) The nonrefundable sixty (60) dollar original license fee and sixty (60) dollar recovery fund fee required by KRS 324.287(2) and (8).

(4) For purposes of subsections (2)(c) and (3)(c) of this Section, "or their equivalent" shall mean any education requirements approved by the commission pursuant to a reciprocity agreement entered into between the jurisdiction from which the applicant is seeking reciprocity and the commission.

(5) An applicant may submit a paper or electronic application.

(6) Within ten (10) days of being issued a license number and OP ID, the licensee shall:

(a) Create an Online Services Portal account;

(b) Verify the licensee's current residential address and telephone number; and

(c)

Provide one (1) electronic mail address;
The licensee may provide additional, unique electronic mail addresses.

Section 4. Real Estate Examination.

(1) A successful passing score on required portions of the real estate examination mandated by KRS 324.045(2) shall be valid for sixty (60) days.

(2) An applicant who fails to pass any required portion of the examination mandated by KRS 324.045(2) three (3) times shall wait at least thirty (30) calendar days from the date of the applicant's third failed examination prior to retaking the examination, or the score shall be void.

Section 5. Foreign Language Diplomas or Transcripts.

(1) If an applicant submits documentation of qualifying education in a language other than English, the diploma or transcript shall:

(a) Be accurately translated by a foreign language document translation service; and

(b) Include a certification stating that the translation is true, accurate, and complete.

(2) The applicant shall provide a letter to the commission indicating that the curriculum of the proffered education is equivalent to a high school diploma or GED. The comparison shall be made by an education credential service provider with membership in the National Association of Credential Evaluation Services.

(3) If the applicant is unable to comply with the requirements of this section, the applicant shall submit proof of the receipt of a GED granted by an agency or institution within the United States.

Section 6. National Criminal History Check.

(1) Prior to taking a licensure examination, an applicant shall request a copy of the applicant's national criminal history check, which shall only be valid for ninety (90) days from the date of the record report.

(2)

(a) The applicant may request a copy of his or her national criminal history check from the Federal Bureau of Investigation pursuant to the provisions of 28 C.F.R. 16.30 to 16.33 or through the Kentucky State Police for submission to the Federal Bureau of Investigation consistent with KRS 324.045(5).

(b) An applicant may submit the Criminal History Affidavit, KREC Form 209, with his or her application for licensure if:

The applicant is unable to obtain his or her national criminal history check from the Federal Bureau of Investigation because the applicant's fingerprints are rejected;
The applicant submits proof that he or she was fingerprinted at a recognized state or local law enforcement agency;
The applicant submits a Kentucky Administrative Office of the Courts (AOC) Fast Check Criminal Records Report, or a similar informal background report from the jurisdiction where the applicant resides; and
The applicant submits proof of an alternate request for a Federal Bureau of Investigation records check by name or social security number.

Having submitted a Criminal History Affidavit, KREC Form 209, with his or her application for licensure, fails to submit the national criminal history check within ten (10) days of receiving the report; or
Failed to report any new criminal charges or convictions that occurred after the national criminal history check report date.

(3)

(a) The commission shall investigate a national criminal history check which reveals a felony conviction within the previous ten (10) years, or a misdemeanor conviction within the previous five (5) years, and may investigate any charges or convictions revealed by the national criminal history check or any other evidence of dishonesty, untruthfulness, or bad reputation of the applicant.

(b) In the determination of the chair of the commission, the commission may delegate the investigative process to the Applicant Review Committee, a subcommittee of the commission, to be comprised of no more than two (2) commissioners;

(4) Following the completion of the investigation, the commission shall review the investigation report and shall:

(a) Order the applicant to appear before the commission for a hearing before the real estate commission or the real estate commission's authorized representative to determine whether the applicant meets the standards of KRS 324.045; or

(b) Allow the applicant to proceed with his or her licensure application without a hearing.

(5) If an authorized representative conducts the hearing, the authorized representative shall recommend to the real estate commission whether the applicant meets the standards of KRS 324.045. The real estate commission may accept the recommendation, reject the recommendation and enter a separate order, or remand to the representative for further proceedings in accordance with KRS Chapter 13B.

(6) Following the hearing, if all other licensing pre-requisites are satisfied, the real estate commission shall either approve or deny the application and notify the applicant of its decision along with a written explanation of the reasons for its decision.

(7) If the real estate commission denies the application, the real estate commission shall indicate in its order, if and when, the applicant will be eligible to submit a subsequent licensure application.

(8) If an applicant, or a licensee without an active license, has engaged in any unlicensed brokerage activity within this Commonwealth, that person shall, prior to the issuance or reactivation of any license by the commission, submit proof that he or she has returned all fees earned or received as a result of the unlicensed brokerage activity, consistent with KRS 324.990(2).

Section 7. Release by Principal Broker.

(1) Upon notification from the principal broker or the affiliate licensee that an affiliate licensee has been released pursuant to KRS 324.310(1), the commission shall notify the affiliate licensee at his or her last electronic mail address or addresses on file at the commission that, within thirty (30) days of the date of the release notification, the licensee shall:

(a) Reaffiliate with another broker by submitting a completed Acceptance and Release Form, KREC Form 200, or by using the licensee's online services portal; or

(b) Request that his or her license be placed into inactive status by using the licensee's online services portal or by submitting a completed License Status and Personal Information Update Form, KREC Form 201;

Affiliate with another principal broker;
Open a new office as principal broker; or
Place his or her license into inactive status.

(2) Failure to comply with the notification issued by the commission shall result in the cancellation of the licensee's license.

(3) A licensee with a cancelled license shall not engage in real estate brokerage activity during the period of cancellation.

Section 8. License Renewal.

(1)

(a) Licenses shall be renewed on or before March 31 through the licensee's Online Services Portal account.

(b) A licensee who is unable to renew his or her license using his or her Online Services Portal may utilize the License Renewal Form, KREC Form 208.

(2) A cancelled license shall not be renewed until the license is reactivated and in good standing.

(3)

(a) A license shall be cancelled if not renewed.

(b) A licensee with a cancelled license shall not engage in real estate brokerage pursuant to KRS 324.160(2).

(4) A licensee shall file or verify with the commission at renewal a telephone number, residential address, and an electronic mail address or addresses.

Section 9. Licensing Records.

(1)

(a) A licensee shall notify the commission by submitting a completed License Status and Personal Information Update Form, KREC Form 201, or through the online services portal, of a change in the following information:

The licensee's legal name;
The licensee's nickname;
Any alternate or assumed name being used by the licensee;
The licensee's residential address;
The licensee's electronic mail address or addresses; or
The licensee's preferred direct or personal phone number.

(b) If the licensee is changing his or her legal name, he or she shall provide legal documentation supporting the changed name.

(c) Processing of the changes contemplated in paragraph (a) of this subsection shall require payment of a nonrefundable ten (10) dollar change request fee required by KRS 324.287.

(d) The licensee shall submit a completed and signed Consent to Jurisdiction and Service of Process, KREC Form 205, if the licensee is moving to a residence outside the Commonwealth of Kentucky.

(2)

(a) A licensee shall notify the commission by completing, signing, and filing with the commission the Certification of Insurance Coverage, KREC Form 203, or through the online services portal, of any change in private professional liability insurance coverage or extended reporting period coverage as required by KRS 324.395.

(b) This notice shall be accompanied by a nonrefundable ten (10) dollar change request fee required by KRS 324.287(8).

(3)

(a) A principal broker shall notify the commission of any change of his or her primary company location, firm name, alternate or assumed name, doing business as, branch office name, branch office address, designated manager or managers, escrow account or accounts, or email address or addresses by completing, signing, and filing with the commission the Company Information Update Form, KREC Form 202, or through the online services portal.

(b) This notice shall be accompanied by a nonrefundable ten (10) dollar change request fee required by KRS 324.287.

(4)

(a) A principal broker shall notify the commission of a change in principal broker at an existing real estate brokerage company by submitting a completed Company Change of Principal Broker Form, KREC Form 204, or through the online services portal.

(b) This notice shall be accompanied by the fee required by KRS 324.287.

(5)

(a) An affiliated licensee shall submit a completed Acceptance and Release Form, KREC Form 200, to change his or her affiliation to another principal broker.

(b) This form shall be accompanied by the fee required by KRS 324.287.

(6) A licensee requesting a license history certification shall complete and submit the License Status and Personal Information Update Form, KREC Form 201, accompanied by a nonrefundable ten (10) dollar fee for each certification requested.

(7) A licensee shall be subject to discipline consistent with the commission's authority in KRS 324.160(1) for a violation of KRS 324.160(4)(t) if the licensee fails to submit notification to the commission of any changes required by this section within ten (10) days of the change.

Section 10. Inactive Status.

(1) An active licensee who wishes to place his or her license into inactive status shall submit Form 201, License Status and Personal Information Update Form, or through the online services portal.

(2) All licensees placing a license into inactive status shall:

(a) Obtain extended reporting period (ERP) coverage insurance for a period of one (1) year as established by KRS 324.395(1); and

(b) Submit a completed Certificate of Insurance Coverage, KREC Form 203, with proof of the required coverage.

(3) The coverage obtained pursuant to subsection (2) of this section shall be consistent with the minimum requirements prescribed by 201 KAR 11:220.

(4) To reactivate a license from inactive status, a licensee shall complete and submit Form 201, License Status and Personal Information Update Form, or through the online services portal, and comply with KRS 324.310 and complete the following education:

(a) If the licensee has not taken the Core course in four (4) years, the licensee shall complete Core; and

(b) If the licensee has been inactive during more than one (1) education cycle, the licensee shall complete core plus six hours of continuing education elective to be selected from a list of courses to be compiled by the commission. This paragraph shall not take effect until January 1, 2021.

(5) If the licensee is exempt from continuing education requirements pursuant to KRS 324.046(5), the licensee shall not be required to complete any continuing education to reactivate a license from inactive status.

Section 11. Mandatory Continuing Education.

(1) An active licensee, licensed by the commission on or after June 19, 1976, shall comply with the requirements of KRS 324.085(1) by attending and successfully completing six (6) hours of continuing education courses sponsored or approved by the commission each year. Three (3) of the hours of continuing education shall be in law, and three (3) of the hours of continuing education may be electives.

(a) An active licensee shall complete the continuing education requirements consistent with KRS 324.085(1) no later than December 31 of the first year in the renewal cycle. An active licensee shall receive continuing education credit for any approved course completed on or before December 31, if the education provider has reported the licensee's course completion to the commission before 11:59 p.m. on December 31 consistent with 201 KAR 11:170, Section 6(3).

(b) An active licensee who fails to complete his or her continuing education requirement shall have his or her license cancelled and be ineligible to renew if the licensee has not completed the continuing education required by KRS 324.085(1) and this administrative regulation.

(2) An active licensee's annual mandatory continuing education requirement shall not be satisfied by the completion of a pre-license course.

(3) A candidate shall not submit completion of the same continuing education course more than once for licensure credit in the same calendar year.

(4) A licensee shall not receive credit for more than nine (9) hours of continuing education in a calendar day.

(5) A licensee shall not receive credit for a course if the licensee arrives more than ten (10) minutes after the scheduled start of the course or after the conclusion of any break during the course.

(6) An active licensee shall attend a commission-approved core course once every four (4) years, with the first four (4) year cycle beginning from the year of initial licensure. The core course shall:

(a) Satisfy the licensee's mandatory continuing education requirement for the year in which the course is taken; and

(b) Be a six (6) hour comprehensive review of the requirements of:

KRS Chapter 324;
201 KAR Chapter 11;
Common and federal law relating to real estate; and
The standards of practice for a real estate licensee.

(7) An active licensee who fails to complete Core in a year in which the licensee is required to complete Core, even if the licensee completed other continuing education, shall be subject to the delinquency procedures set forth in Section 13 of this administrative regulation.

Section 12. Exemptions from the Continuing Education Requirement.

(1) A person licensed prior to June 19, 1976 shall not be required to complete continuing education.

(2) A reciprocal licensing broker, who has been licensed for less than three (3) months when education is due, shall not be required to attend a continuing education course during the first education cycle in which he or she is licensed in Kentucky.

(3) A reciprocal licensing sales associate shall not be required to complete continuing education during the first two (2) full education cycles of licensure in Kentucky. A reciprocal licensing sales associate shall complete the education required by KRS 324.085(2).

(4) A licensee shall not be required to comply with KRS 324.085(1) during the first two (2) full education cycles from the date of issuance of a sales associate license.

(5) A licensee whose license is inactive shall not be required to attend continuing education courses while the license remains inactive, except as provided in this administrative regulation.

Section 13. Continuing Education Compliance and Delinquency.

(1) The commission shall, for good cause shown, extend the time requirements established by KRS 324.085(1) and this administrative regulation. Good cause may include a true hardship, extensive medical issues for the licensee or the licensee's immediate relative, active military duty or service, or other good cause that clearly warrants relief.

(2)

(a) The request for extension and any supporting documentation shall be received in writing on or before the last day of the month or year in which the education requirement is due, unless the hardship prevents compliance with subsection (1) of this section.

(b) A license shall not be cancelled while a hardship request is pending.

(3)

(a) If a licensee fails to comply with the mandatory education requirements of this administrative regulation, the executive director or the executive director's representative shall issue a delinquency notice to the licensee.

(b) If the licensee fulfilled the education requirement in the year it was required, proof shall be forwarded to the commission upon request, and the license shall be reactivated.

(4)

(a) If the licensee fails to request an extension and fails to forward proof of completion prior to the deadline, the license shall be cancelled automatically.

(b) A license cancelled for nonfulfillment of the continuing education requirements may be reactivated if the licensee enters into a written delinquency plan, pays a $1,000 administrative fine, and either:

Places the license into inactive status; or
Agrees in the delinquency plan to complete the delinquent continuing education requirements for the previous calendar year on or before April 30.

(5) A licensee who places his or her license into inactive status under the provisions of this section shall not reactivate the license until he or she has:

(a) Completed all delinquent mandatory continuing education requirements; and

(b) Satisfied the requirements of KRS 324.310.

(6) A licensee who fails to place his or her license into inactive status or file the delinquency plan immediately following the year in which continuing education requirements were not fulfilled, shall automatically have the license cancelled and shall not be eligible to renew without completing the delinquent education.

(7) If a licensee fails to complete the requirements of the delinquency plan within twenty (20) days of the agreed completion date, the commission shall issue a notice of violation to the licensee.

(8) Failure to respond to the notice of violation shall result in a default order of suspension for a period of six (6) months.

(9) If the commission suspends the license as a result of a default order or after hearing, if one is requested, the licensee shall not be allowed to activate the license unless, within ninety (90) days following expiration of the suspension, the licensee:

(a) Completes all delinquent mandatory continuing education requirements;

(b) Submits the required documents to reinstate the license; and

(10) If the licensee does not reinstate the license within ninety (90) days following the completion of the suspension period, the license shall be cancelled and the licensee shall be obligated to meet the requirements for initial licensure, including retaking the examination.

(11) A license cancelled under this section shall not be reactivated until the licensee has completed all of his or her mandatory education requirements, complied with all commission orders, and submitted all other applicable licensing requirements.

(12) Failure of the executive director or his or her representative to issue a deficiency notice to the licensee shall not relieve the licensee of his or her mandatory education requirements or the penalties associated with the deficiency.

(13) A license cancelled for continuing education deficiency shall be subject to the provisions of KRS 324.160(2).

Section 14. Post-License Education Compliance and Delinquency.

(1) The time requirements established by KRS 324.085(2) and this administrative regulation shall be extended by the commission for good cause shown, such as a true hardship, extensive medical issues for the licensee or the licensee's immediate relative, active military duty or service, or other good cause that clearly warrants relief.

(2) The license of a licensee who fails to complete his or her post-licensing education on or before the licensee's deadline shall be automatically cancelled the following day.

(3) A license of a licensee cancelled for post-license education deficiency may not be reactivated until all delinquent post-licensing education is complete.

(4) A license cancelled for post-license education deficiency shall be subject to the provisions of KRS 324.160(2).

Section 15. Death or Incapacity of a Principal Broker.

(1) Pursuant to KRS 324.425, an affiliated licensee may complete and close the existing business of a deceased or incapacitated broker for a temporary period, not to exceed six (6) months.

(2) Any affiliate requesting principal broker status pursuant to KRS 324.425 shall submit a completed Notification of Death or Incapacity of a Licensee, KREC Form 206.

Section 16. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Acceptance and Release Form", KREC Form 200, 7/2019;

(b) "License Status and Personal Information Update Form", KREC Form 201, 11/2019;

(d) "Certification of Insurance Coverage", KREC Form 203, 11/2019;

(e) "Company Change of Principal Broker Form", KREC Form 204, 7/2019;

(f) "Consent to Jurisdiction and Service of Process", KREC Form 205, 7/2019;

(g) "Notification of Death or Incapacity of a Licensee", KREC Form 206, 11/2019;

(h) "Broker Education Review Form", KREC Form 207, 7/2019;

(i) "License Renewal Form", KREC Form 208, 11/2019; and

(j) "Criminal History Affidavit", KREC Form 209, 7/2019.

History

RELATES TO: KRS 2.013, 324.010, 324.020, 324.040, 324.045(1), (2), (3), 324.046, 324.085, 324.090, 324.141, 324.160, 324.281, 324.287, 324.310, 324.330, 324.990, 28 C.F.R. 16.30-16.33
STATUTORY AUTHORITY: KRS 324.045, 324.141, 324.281(5), 324.282
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.281(5) and 324.282 require the Real Estate Commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out and enforce the provisions of KRS Chapter 324. KRS 324.040(2) requires applicants for licensure as a broker or sales associate to apply in writing on forms prepared or furnished by the Real Estate Commission. KRS 324.045(4) authorizes the commission to promulgate an administrative regulation to require a national criminal history check prior to licensure. KRS 324.141(1) requires the commission to promulgate administrative regulations to establish reciprocal licensing procedures that allow out-of-state actively-licensed sales associates and brokers to apply for a Kentucky license that is the same as, or equivalent to, their out-of-state license. KRS 324.090(1) requires the real estate commission to establish an expiration and renewal date for licenses. KRS 324.310(1) requires the delivery of a sales associate's license to the commission when an association with a principal broker is terminated, and KRS 324.310(2) authorizes a licensee to place his or her license into inactive status with the commission. KRS 324.330(1) requires notice to be given to the real estate commission when a licensee's location, firm name, surname, or affiliation changes. KRS 324.085(1) requires an actively-licensed agent, except an agent licensed prior to June 19, 1976 and a licensee satisfying the educational requirement in KRS 324.085(2), to successfully complete twelve (12) hours of mandatory continuing education for the biennial license period as a condition of licensure renewal, requires six (6) of the twelve (12) hours to be completed in the first year of the biennial license period, and requires that six (6) of the twelve (12) hours pertain to the study of real estate law. KRS 324.085(2) requires a licensee who is issued an initial sales associate license after January 1, 2016, to complete forty-eight (48) classroom or online hours of commission-approved post-license education. This administrative regulation establishes requirements for applying for initial licensure, license renewal, and reciprocal licensing; the commission's criminal background check policies for all applicants; the procedures for a licensee to report changes to his or her contact information to the commission; the penalty for failure to comply with KRS 324.330; the procedure for the delivery of a sales associate's license to the commission when affiliation with a principal broker is terminated; the requirements relating to pre-license education; continuing education, and post-license education and the disciplinary consequences for failing to comply with the requirements.
History: 13 Ky.R. 1517; eff. 3-6-1987; Am. 17 Ky.R. 2217; 2692; eff. 3-8-1991; 27 Ky.R. 1515; 2711; eff. 4-9-2001; 34 Ky.R. 836; 1939; eff. 3-7-2008; 42 Ky.R. 468; 1469; eff. 12-4-2015; 46 Ky.R. 599; 1457; 1824; 2031; eff. 12-16-2019.

201 KAR 11:220 Errors and omissions insurance requirements {#sec-201-kar-11-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 11:220}

Section 1. Minimum Coverage Requirements. A licensee shall carry continuous errors and omissions coverage that, at a minimum includes:

(1) A limit of liability not less than $100,000 for any one (1) claim, excluding the cost of investigation and defense; and

(2) An annual aggregate limit of liability of not less than $1,000,000, excluding the cost of investigation and defense.

Section 2. Firm Coverage. A principal broker who purchases errors and omissions "firm coverage" insurance shall have at least the following aggregate amounts:

(1) One (1) to forty (40) licensees shall carry a $1,000,000 annual aggregate; or

(2) Forty-one (41) or more licensees shall carry a $2,000,000 annual aggregate.

Section 3. Deductibles. All errors and omissions coverage or professional liability insurance policies shall have maximum deductibles, which may be separate deductibles, which shall not exceed:

(1) $2,500 for judgment or settlement; and

(2) $1,000 for the cost of investigation and defense.

Section 4. Exclusions permitted Coverage may exclude claims brought against the insured, regardless of whether the professional service involves an activity for which a license is required by the Commonwealth of Kentucky, consistent with common custom in the market.

Section 5. Licensee certification of compliance. A licensee who chooses to obtain an insurance policy other than the group insurance policy obtained by the commission pursuant to KRS 324.395(3) shall file with the commission a Certification of Insurance Coverage, KREC Form 203, as incorporated by reference in 201 KAR 11:210, annually upon issuance of the initial private insurance policy or its renewal.

History

RELATES TO: KRS 324.010, 324.020, 324.395
STATUTORY AUTHORITY: KRS 324.281(5), 324.282, 324.395(1), (4), (5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324.281(5) and 324.282 require the Real Estate Commission, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 324. KRS 324.395(1) requires all real estate licensees, except those whose licenses are in inactive status to carry errors and omissions insurance to cover all activities contemplated under KRS Chapter 324. KRS 324.395(5) requires the commission to determine the terms and conditions of mandatory errors and omissions insurance coverage. This administrative regulation sets forth the minimum terms and conditions of insurance coverage required under KRS 324.395.
History: 14 Ky.R. 1021; eff. 12-11-1987; 1579; eff. 3-10-1988; 33 Ky.R. 449; 720; eff. 10-6-2006; 33 Ky.R. 3434; eff. 8-31-2007; 40 Ky.R. 365; 787; eff. 365; 787; eff. 11-1-2013; 46 Ky.R. 606; 1463; 18296; eff. 12-16-2019.

Chapter 12 Board of Cosmetology

201 KAR 12:010 Executive director's duties {#sec-201-kar-12-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:010}

Section 1. Duties.

(1) The executive director shall:

(a) Serve as the board's liaison officer and coordinate all administrative matters of the board;

(b) Perform such duties as may be assigned to the Director by the board; and

(c) Be considered the designated appointing authority for the purposes of filling merit positions, and taking disciplinary actions in accordance with 201 KAR Chapter 12 and KRS Chapter 317A.

(2) The executive director may, with the approval of the Board:

(a) Inspect any establishment licensed or issued a permit by the board; and

(b) On behalf of the board, require the production of:

A license;
The attendance of a witness; or
The production of records, documents, and material relating to licensed activity by the board.

History

RELATES TO: KRS 317A.040, 317A.050, 317A.060, 317A.120, 317A.145
STATUTORY AUTHORITY: KRS 317A.060(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.040(2) requires the employment of an executive director to administer the provisions of KRS Chapter 317A and the policies and administrative regulations of the board. KRS 317A.040(1) authorizes the board to delegate staffing decisions to the executive director. KRS 317A.060(1) requires the board to promulgate administrative regulations that include protecting the public and establishing examination requirements. KRS 317A.120(2) requires trained proctors at examinations. This administrative regulation clarifies the authority and establishes duties of the executive director.
History: 201 KAR 012:010. KBHC:Adm:1-1; 1 Ky.R. 720; eff. 5-14-1975; 11 Ky.R. 1437; eff. 5-14-1985; 20 Ky.R. 1026; eff. 1-10-1994; 44 Ky.R. 2556; 45 Ky.R. 330; eff. 8-31-2018; TAm eff. 7-1-2022; 51 Ky.R. 1876; 52 Ky.R. 369; eff. 12-2-2025.

201 KAR 12:030 Licensing and examinations {#sec-201-kar-12-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:030}

Section 1. Fees. License fees shall be consistent with 201 KAR 12:260.

Section 2. License validity. Each license shall expire on July 31 of each even numbered year, regardless of the date when the license was issued.

Section 3. Changes. All changes to account information required for licensure shall be submitted to the board within thirty (30) days of occurrence including:

(1) Legal name change;

(2) Change of address;

(3) Change of facility or employer;

(4) Change of phone number;

(5) Change of email address; and

(6) Any other information as required by KRS Chapter 317A or 201 KAR Chapter 12 for licensure.

Section 4. Licensure Requirements. A license may be issued upon submission of the following:

(1) All personal and facility licenses shall require an application for a first-time license, license renewal, license restoration, an out-of-state transfer certification, or a request for examination. These applications are found on the board's Web page;

(2) A diploma or certified testing documents proving grade 12 equivalency education for initial personal licensure or out-of-state transfers into Kentucky;

(3) A copy of a government-issued photo identification;

(4) Payment of the fee established in 201 KAR 12:260;

(5) Resolution of any legal action associated with a prior disciplinary action as described in KRS 317A.145, if necessary;

(6) A current two (2) by two (2) inch passport-style photo taken within the past six (6) months; and

(7) Disclosure to the board of the current name and license number of the facility where the licensee is working.

Section 5. Prior Felony Convictions. For any license or examination issued or conducted by the board, an applicant convicted of a prior felony shall include with his or her application:

(1) A signed letter of explanation from the applicant;

(2) A certified copy of the judgment and sentence from the issuing court; and

(3) A letter of good standing from the applicant's probation or parole officer, if currently on probation or parole.

Section 6. Reciprocal Licensing.

(1) A license issued by another state or US territory shall be considered comparable if the laws of that state require at a minimum:

(a) 1,500 hours of curriculum for cosmetology;

(b) 450 hours of curriculum for nail technology;

(d) 300 hours of curriculum for shampoo styling; or

(e) 750 hours of curriculum for instructors.

(2) An applicant licensed in another state may be licensed by reciprocity by submitting the Out of State Transfer Application along with:

(a) Digital certification showing proof of a passing score on a board-approved theory and practical exam or by submitting proof of continuous practice for the last two (2) years;

(b) Current digital certification of the out-of-state license from the issuing state board showing a license in active and good standing; and

(c) Unless a member of the United States Military, Reserves, or National Guard, or his or her spouse, or a veteran or the spouse of a veteran, payment of the applicable license and endorsement fees required by 201 KAR 12:260.

(3) An applicant from a state or US territory whose licensing requirements fail to meet subsection (1) of this section shall apply for a reciprocal license by submitting:

(a) Documentation required by Section 4(1) through (7) of this administrative regulation; and

(b) Payment of the applicable examination fees established in 201 KAR 12:260.

(4) Pursuant to KRS 12.245, a member of the United States Military, Reserves, or National Guard, or his or her spouse, or a veteran or the spouse of a veteran shall apply for a reciprocal license by submitting:

(a) The Military License Transfer Application; and

(b) A document showing proof of service, sponsor's service, change of station orders, or honorable discharge orders listing the applicant or an accompanying family member as a member of the United States Armed Services.

(5) All requests for certification of hours or a license shall use the Certification Request Form accompanied by a copy of the applicant's government-issued photo identification and payment of the fee as established in 201 KAR 12:260. Certifications shall only be transmitted digitally to the reciprocal state agency.

Section 7. Digital Forms. All applications and forms may be replicated and implemented by the board in an online format for processing, payment receipt, and license issuance.

Section 8. Examination Registration.

(1) Applicants shall register as follows:

(a) A student of a licensed cosmetology school shall register with the board at least eight (8) months prior to graduation;

(b) A nail technician student shall register with the board at least seventy-five (75) days prior to graduation;

(d) A shampoo styling student shall register with the board at least fifty-three (53) days prior to graduation.

(2) A completed Application for Examination shall be received in the Board office no later than ten (10) business days prior to the examination date to be scheduled for either the theory test or the practical demonstration component of the exam. Each exam component shall be scheduled using a separate application and payment of the fee established in 201 KAR 12:260.

(3) Theory examination dates shall be valid for ninety (90) days from student notification.

(4) A passing score for the theory examination, proper application, and payment of fees shall be required prior to being scheduled for the practical examination.

(5) An applicant with curriculum hours obtained in another state shall include with the Out of State Application for Examination:

(a) Certification of curriculum hours from the state licensing board or agency where the hours were obtained, if the state requires the reporting of curriculum hours; or

(b) Certification of the valid licensing status of the school attended from the state board or licensing authority and an official transcript certified by the school.

(6) Examination applicants shall wear a full set of solid color medical scrubs and bring all instruments and supplies as listed on the board Web site for the practical examination. White colored scrubs or other clothing is prohibited.

Section 9. Examination Components.

(1) The examination shall consist of a theory test and a practical demonstration taken from the curriculum requirements specified in 201 KAR 12:082.

(2) The practical demonstration shall be performed on a:

(a) Mannequin head and hand for the cosmetology practical examination;

(b) Mannequin head for the esthetician or shampoo styling services practical examination; or

(3) The applicant shall provide a mannequin head or hand as needed for an examination.

Section 10. Grading.

(1) A minimum passing grade of seventy (70) percent on the theory test and the practical demonstration shall be required for the cosmetologist, esthetician, shampoo styling, and nail technician examinations.

(2) A minimum passing grade of eighty (80) percent on the theory test and eighty-five (85) percent on the practical demonstration shall be required for all instructor examinations.

(3) All passing exam scores shall be valid for six (6) months from completion.

Section 11. Practice before Examination Prohibited. A student engaging in the practice of cosmetology, esthetic practices, shampoo styling, or nail technology beyond the scope of their registered school enrollment prior to the board examination shall be ineligible to take the examination for a period of one (1) year from the date of the unauthorized practice.

Section 12. License Application.

(1) An applicant who passes the examination shall have ninety (90) days following the examination to apply for a license by complying with all requirements in Section 4(1) through (7) of this administrative regulation.

(2) Failure to apply for a license as required by subsection (1) of this section shall require payment of the appropriate restoration and licensing fees established in 201 KAR 12:260 before a license may be issued.

Section 13. Retaking Examinations.

(1) Any applicant who fails either the theory test or the practical demonstration may retake that portion of the examination upon submitting a new Application for Examination with a two (2) by two (2) inch passport photo of the applicant taken within the preceding six (6) months, and paying the examination fee required by 201 KAR 12:260. An applicant who fails either the theory test or the practical demonstration may not retest until one (1) calendar month has elapsed from the date the applicant received actual notice of failure.

(2) An applicant caught cheating or impersonating another shall not be allowed to retake the examination for a minimum of one (1) year from the date of the original examination.

(3) Any applicant who fails to report for the examination on the date specified by the board shall submit a new examination application and examination fee prior to being rescheduled for examination. The board may waive the examination fee for good cause shown. "Good cause" includes:

(a) An illness or medical condition of the applicant that prohibits the applicant from reporting for the examination; or

(b) A death, illness, or medical condition in the applicant's immediate family that prohibits the applicant from reporting for the examination.

(4) Documents and certificates submitted with an Application for Examination shall be valid for one (1) year following the date of submission after which time applicants shall submit updated documents and a new examination application.

Section 14. Duplicate Licenses, Renewal, and Restoration.

(1) If a license is lost, destroyed, or stolen after issuance, a duplicate license may be issued. The licensee shall submit a statement verifying the loss of the license using the Duplicate License Application that includes a copy of a government-issued photo identification, and pay the duplicate license fee listed in 201 KAR 12:260. Each duplicate license shall be marked "duplicate".

(2) The license renewal period is July 1 through July 31 of each even-numbered year. All licenses shall be renewed by providing the required items in Section 4(1) through (7) of this administrative regulation.

(3) To restore an expired license, a Restoration Application shall be submitted to the board with payment of the restoration fee as established in 201 KAR 12:260 for each year the license has been expired, the total of which shall not exceed $300 per license restored, and by providing the required items in Section 4(1) through (7) of this administrative regulation.

(4) To restore an expired salon license or limited facility license, a Restoration Application shall be submitted to the board with payment of the restoration fee as established in 201 KAR 12:260 for each year the license has been expired, the total of which shall not exceed $300 per license restored, and by providing the required items in Section 4(1) through (7) of this administrative regulation.

(5) To restore an expired school license, a new School Application shall be submitted to the board with payment of the restoration fee as established in 201 KAR 12:260 for each year the license has been expired, the total of which shall not exceed $300 per license restored, and by providing the required items in Section 4(1) through (7) of this administrative regulation.

Section 15. Salon or Limited Facility Application.

(1) Each person, firm, or corporation applying for a license to operate a new or relocating beauty salon, nail salon, esthetic salon, or limited facility shall submit the Salon or Limited Facility Application, provide the required items in Section 4(1) through (7) of this administrative regulation, and request an inspection by the board inspector in writing a minimum of five (5) business days prior to opening for business.

(2) A new or relocating salon or limited facility shall comply with all applicable city, county, and state zoning, building, and plumbing laws, administrative regulations, and codes.

(3) A salon or facility may be located on the premises of a nursing home or assisted living facility if the salon or facility meets all requirements of this section.

(4) Any salon or facility located in a residence shall have a separate outside entrance for business purposes only. This subsection shall not apply to a nursing home or an assisted living facility if the home or facility has obtained a salon license from the board.

(5) A salon or limited facility shall not open for business prior to issuance of its license.

(6) Each salon shall, at all times, maintain a board licensed manager properly licensed in the services the salon provides.

(7) Salon and limited facility licenses shall only be mailed to a Kentucky mailing address.

Section 16. Change in Salon Ownership or Transfer of Interest.

(1) The owners, firm, or corporation operating a licensed salon shall submit to the board a new Salon or Limited Facility Application, or Manager Change Application, provide the required items in Section 4(1) through (7) of this administrative regulation, and provide payment of the license or change fee as established in 201 KAR 12:260 no later than thirty (30) business days prior to selling, transferring, or changing ownership.

(2) All manager changes shall be made with the board within ten (10) business days.

(3) No transfer of ownership interest in a salon shall take effect while the salon license to be transferred is the subject of ongoing disciplinary action pursuant to KRS 317A.145.

Section 17. School Licenses.

(1) Each person, firm, or corporation applying for a license to operate a school shall submit a School Application, provide the required items in Section 4(1) through (7) of this administrative regulation, and pay the applicable fee set forth in 201 KAR 12:260.

(2) The School Application shall be accompanied by:

(a) A proposed student contract listing all financial charges to enrolling students; and

(b) A proposed floor plan drawn to scale by a draftsman or architect.

(3) Each school shall comply with city, county, and statezoning, building, and plumbing laws, administrative regulations, and codes.

(4) Prior to license issuance and following the receipt of a completed application with all accompanying materials, the board inspector and executive director, or their designee, shall conduct an inspection.

(5)

(a) The inspection shall be completed within twelve (12) months of the date that the School Application and all accompanying materials are received unless the board extends the time period for good cause. "Good cause" includes:

An illness or medical condition of the applicant that prohibits the applicant from completing the final preparations; or
A death, illness, or medical condition in the applicant's immediate family that prohibits the applicant from completing the final preparations.

(b) Requests for an extension of time shall be submitted in writing to the board and shall include:

The reason for the extension and the term of the request; and
Supportive documentation of the extension request.

(6) A license to operate a school shall be valid only for the location and person, firm, or corporate owner named on the application. A school license shall not be transferable from one (1) location to another or from one (1) owner to another.

(7) The school license shall contain:

(a) The name of the proposed school; and

(b) A statement that the proposed school may operate educational programs beyond secondary education.

(8) Each licensed school shall maintain a board licensed instructor as school manager at all times.

(9) The Board shall determine and publicly post the number of students and percentage of students that take and pass the theory examination and practical demonstration required by Section 8 of this administrative regulation at each school. Licensed schools shall also provide this information to prospective students prior to enrollment.

(10) Each school shall provide the Board with its current student contract when renewing its license.

Section 18. Change in School Ownership or Management.

(1) The owners, firm, or corporation operating a licensed school shall submit to the board a new School Application or a Manager Change Application and payment of the applicable fee established in 201 KAR 12:260 no later than thirty (30) business days prior to selling, transferring, or changing ownership.

(2) All manager changes shall be made with the board within ten (10) business days.

(3) A prospective owner or manager shall meet all qualifications of KRS Chapter 317A and 201 KAR Chapter 12, and obtain approval of the board prior to assuming operation of the school.

(4) A school shall not be opened under new ownership while the current owner still occupies the space.

(5) Written notice from current school owner including final closure date shall be provided to the board no less than ten (10) days prior to closure.

(6) All final student withdrawal and hours posting shall be required prior to new ownership licensing inspection being completed.

Section 19. Classification as School. Any person, establishment, firm, or corporation that accepts, directly or indirectly, compensation for teaching any subject of cosmetology as defined in KRS 317A.010 shall comply with KRS Chapter 317A and 201 KAR Chapter 12.

Section 20. Owner and Manager Student Prohibited. An owner, partner, stockholder, corporate officer, or a manager of a licensed school shall not be enrolled as a student in the school.

Section 21. Board Member Disclosure. A board member shall disclose to the board a financial interest in a salon or school when submitting an application for a salon or school license.

Section 22. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Out of State Transfer Application", March 2025;

(b) "Military License Transfer Application", March 2025;

(d) "Application for Examination", March 2025;

(e) "First-time License Application", March 2025;

(f) "Duplicate License Application", March 2025;

(g) "Renewal Application", March 2025;

(h) "Restoration Application", March 2025;

(i) "Salon or Limited Facility Application", March 2025;

(j) "Manager Change Application", March 2025; and

(k) "School Application", March 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Cosmetology, 1049 US Hwy 127 S, Annex #2, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the board's website at http://kbc.ky.gov.

History

RELATES TO: KRS 12.245, 317A.020, 317A.050, 317A.060, 317A.100, 317A.145
STATUTORY AUTHORITY: KRS 317A.060(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060(1) requires the board to promulgate administrative regulations governing licenses in cosmetology, esthetic practices, and nail technology, including the operation of schools and salons of cosmetology, esthetic practices, and nail technology. This administrative regulation establishes procedures for examinations and licensing.
History: 201 KAR 012:030. KBHC:Lic:PL: Bus-1; 1 Ky.R. 720; eff. 5-14-1975; 9 Ky.R. 12; eff. 8-11-1982; 13 Ky.R. 1710; eff. 6-9-1987; 15 Ky.R. 2103; eff. 4-14-1989; 30 Ky.R. 955; 1906; eff. 2-16-2004; 44 Ky.R. 1615, 1970; eff. 4-6-2018; 44 Ky.R. 2557; 45 Ky.R. 331; eff. 8-31-2018; 45 Ky.R. 1723, 2332; eff. 3-8-2019; 46 Ky.R. 608, 1091; eff. 11-1-2019; 2298; 2884; 47 Ky.R. 522; eff. 7-30-2020; 49 Ky.R. 397, 1042; eff. 1-31-2023; 51 Ky.R. 1878; 52 Ky.R. 369; eff. 12-2-2025.

201 KAR 12:060 Inspections {#sec-201-kar-12-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:060}

Section 1. Public Display.

(1)

(a) Each licensee or permit holder shall attach his or her picture to the license or permit and place it in an accessible and conspicuous area in the salon, limited facility, or school.

(b) Each licensed facility's license shall be posted in an accessible and conspicuous area with the information required by this subsection.

(2) A conspicuous area shall be visible to the public and shall include:

(a) The main entrance door or window of the premises; and

(b) The workstation of the employee.

(3) A salon or school manager shall have the manager's license posted with a picture in an accessible and conspicuous area at all times.

(4) A school shall, at all times, display in a centralized and accessible conspicuous public place the student permits of all students enrolled.

(5) Each licensed salon, limited facility, or school shall post the most recent inspection report in an accessible and conspicuous area.

Section 2. Inspections.

(1) Any administrator or inspector may enter any establishment licensed by this board or any place purported to be practicing cosmetology, nail technology, threading, eyelash artistry, makeup artistry, or esthetics, during reasonable working hours or at any time when the establishment is open to the public, for the purpose of determining if an individual, salon, limited facility, or school is complying with KRS Chapter 317A and 201 KAR Chapter 12.

(2) An administrator or inspector may require the licensee or permittee to produce for inspection and copying books, papers, or records required by the board or pertaining to licensed activity.

(3) Each establishment licensed by the board shall be inspected a minimum of at least one (1) time during the term of its license.

(4) A salon, limited facility, or school shall, within thirty (30) days, schedule an inspection of the salon, limited facility, or school after an inspector twice attempts, but is unable, to inspect the salon or school.

(5) Failure of the salon, limited facility, or school owner or manager to schedule an inspection within thirty (30) days of two (2) consecutive failed inspection attempts shall constitute unprofessional conduct.

(6) The owner and manager of each establishment licensed by the board shall be responsible for compliance with KRS Chapter 317A and 201 KAR Chapter 12.

Section 3. Unprofessional Conduct. Unprofessional conduct pursuant to KRS 317A.140 includes:

(1) Intentionally withholding information or lying to a board employee or representative who is conducting a lawful inspection or investigation of an alleged or potential violation of KRS Chapter 317A or 201 KAR Chapter 12;

(2) A salon, limited facility, or school remaining open to the public if not appropriately licensed by the board;

(3) Providing or teaching any cosmetology, nail technology, esthetic, lash artistry, makeup artistry, or threading services unless appropriately licensed or permitted by the board under 201 KAR Chapter 12;

(4) Failure to comply with the lawful request of the board, the executive director, inspector, or agent, which includes:

(a) Refusing to allow entry to perform an inspection of the licensed premises;

(b) Refusing to allow the inspection of or the copying or production of books, papers, documents, or records of information or material pertaining to activity licensed by the board or related to the provisions of KRS Chapter 317A or the administrative regulations promulgated by the board; or

(c) Refusing to provide a valid state or federal government issued identification matching the posted license or permit; or

(d) The removal of any posted notice from the board pertaining to violations, inspection failures, or lack of licensure by the board.

(5) Any attempt by a license or permit holder to bribe a Kentucky Board of Cosmetology representative or induce a board representative to violate a provision of KRS 317A or 201 KAR Chapter 12;

(6) Any attempt to fraudulently produce or duplicate board requested documents or licensure; or

(7) Any violation of the Code of Ethics as stated in 201 KAR 12:230.

Section 4. Signage. The main entrance to any establishment licensed by the board shall display a sign indicating a beauty salon, nail salon, esthetic salon, limited facility, or cosmetology school. The sign shall indicate the name of the salon, limited facility, or school as it is registered with the Kentucky Board of Cosmetology and shall be clearly visible at the main entrance of the establishment.

History

RELATES TO: KRS 317A.060, 317A.140, 317A.145
STATUTORY AUTHORITY: KRS 317A.060(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060(1) requires the board to promulgate administrative regulations governing the operation of any schools, limited facilities, and salons of cosmetology, nail technology, threading, eyelash artistry, makeup artistry, esthetics, and to protect the health and safety of the public. This administrative regulation establishes inspection and health and safety requirements for all schools and salons of cosmetology, nail technology, threading, eyelash artistry, makeup artistry, and esthetics.
History: 201 KAR 012:060. KBHC:Insp-1-1; 1 Ky.R. 721; eff. 5-14-1975; 11 Ky.R. 1440; eff. 5-14-1985; 16 Ky.R. 1603; eff. 4-12-1990; 20 Ky.R. 1028; 1780; eff. 1-10-1994; 30 Ky.R. 960; 1908; eff. 2-16-2004; 40 Ky.R. 372; 1025; eff. 12-6-2013; 44 Ky.R. 1618; 1973; eff. 4-6-2018; TAm eff. 4-6-2018; 46 Ky.R.2302, 2887; eff. 7-30-2020; 49 Ky.R. 401, 1045; eff. 1-31-2023; 51 Ky.R. 1882; 52 Ky.R. 372; eff. 12-2-2025.

201 KAR 12:082 Education requirements and school administration {#sec-201-kar-12-082 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:082}

Section 1. Subject Areas. The regular courses of instruction for cosmetology students shall contain courses relating to the subject areas identified in this section.

(1) Basics:

(a) History and Career Opportunities;

(b) Life Skills;

(d) Communications.

(2) General Sciences:

(a) Infection Control: Principles and Practices;

(b) General Anatomy and Physiology;

(d) Skin Disorders and Diseases;

(e) Properties of the Hair and Scalp;

(f) Basic Chemistry; and

(g) Basics of Electricity.

(3) Hair Care:

(a) Principles of Hair Design;

(b) Scalp Care, Shampooing, and Conditioning;

(d) Hair Styling;

(e) Braiding and Braid Extensions;

(f) Wig and Hair Additions;

(g) Chemical Texture Services; and

(h) Hair Coloring.

(4) Skin Care:

(a) Hair Removal;

(b) Facials;

(d) Application of Artificial Eyelashes.

(5) Nails:

(a) Manicuring;

(b) Pedicuring;

(d) Monomer Liquid and Polymer Powder Nail Enhancements;

(e) Light Cured Gels;

(f) Nail Structure and Growth; and

(g) Nail Diseases and Disorders.

(6) Business Skills:

(a) Preparation for Licensure and Employment;

(b) On the Job Professionalism; and

Section 2. A school or program of instruction of any practice licensed or permitted in KRS Chapter 317A or 201 KAR Chapter 12 shall teach the students about the various supplies and equipment used in the usual salon practices.

Section 3. Instructional Hours.

(1) A cosmetology student shall receive not less than 1,500 hours in clinical class work and scientific lectures with a minimum of:

(a) 375 lecture hours for science and theory;

(b) 1,085 clinic and practice hours; and

(2) A cosmetology student shall not perform chemical services on the public until the student has completed a minimum of 250 hours of instruction.

Section 4. Training Period for Cosmetology Students, Nail Technician Students, Esthetician Students, and Apprentice Instructors.

(1) A training period for a student shall be no more than nine (9) hours per day, forty (40) hours per week.

(2) A student shall be allowed thirty (30) minutes per eight (8) hour day or longer for meals or a rest break. This thirty (30) minute period shall not be credited toward a student's instructional hours requirement.

Section 5. Laws and Regulations.

(1) At least one (1) hour per week shall be devoted to the teaching and explanation of the Kentucky law as set forth in KRS Chapter 317A and 201 KAR Chapter 12.

(2) Schools or programs of instruction of any practice licensed or permitted in KRS Chapter 317A or 201 KAR Chapter 12 shall provide a copy of KRS Chapter 317A and 201 KAR Chapter 12 to each student upon enrollment.

Section 6. Nail Technician Curriculum. The nail technician course of instruction shall include the following:

(1) Basics:

(a) History and Opportunities;

(b) Life Skills;

(d) Communications.

(2) General Sciences:

(a) Infection Control: Principles and Practices;

(b) General Anatomy and Physiology;

(d) Nail Structure and Growth;

(e) Nail Diseases and Disorders;

(f) Basics of Chemistry;

(g) Nail Product Chemistry; and

(h) Basics of Electricity.

(3) Nail Care:

(a) Manicuring;

(b) Pedicuring;

(d) Nail Tips and Wraps;

(e) Monomer Liquid and Polymer Powder Nail Enhancements;

(f) UV and LED Gels; and

(g) Creative Touch.

(4) Business Skills:

(a) Seeking Employment;

(b) On the Job Professionalism; and

Section 7. Nail Technology Hours Required.

(1) A nail technician student shall receive no less than 450 hours in clinical and theory class work with a minimum of:

(a) 150 lecture hours for science and theory;

(b) Twenty-five (25) hours on the subject of applicable Kentucky statutes and administrative regulations; and

(2) A nail technician student shall have completed sixty (60) hours before providing services to the general public. Clinical practice shall be performed on other students or mannequins during the first sixty (60) hours.

Section 8. Apprentice Instructor Curriculum. The course of instruction for an apprentice instructor of any practice licensed or permitted in KRS Chapter 317A or 201 KAR Chapter 12 shall include no less than 750 hours, 425 hours of which shall be in direct contact with students. 325 hours of the required theory instruction may be taken in person or online, in the following areas:

(1) Orientation;

(2) Psychology of student training;

(3) Introduction to teaching;

(4) Good grooming and professional development;

(5) Course outlining and development;

(6) Lesson planning;

(7) Teaching techniques (methods);

(8) Teaching aids, audio-visual techniques;

(9) Demonstration techniques;

(10) Examinations and analysis;

(11) Classroom management;

(12) Recordkeeping;

(13) Teaching observation;

(14) Teacher assistant; and

(15) Pupil teaching (practice teaching).

Section 9. Supervision.

(1) An apprentice instructor shall be under the immediate supervision and instruction of a licensed instructor while providing any instruction for students. "Immediate supervision" requires that a licensed instructor is physically present in the same room and overseeing the activities of the apprentice instructor at all times.

(2) An apprentice instructor shall not assume the duties and responsibilities of a licensed supervising instructor.

(3) An apprentice instructor shall not teach any practices defined in KRS Chapter 317A or 201 KAR Chapter 12 outside of the board licensed school in which the individual is enrolled.

Section 10. Instructors Online Theory Course. All online theory instruction completed to comply with Section 8 of this administrative regulation shall be administered from an approved digital platform at a licensed Kentucky school of cosmetology, esthetic practices, or nail technology.

Section 11. Schools may enroll persons for a special supplemental course in any subject.

Section 12. Esthetician Curriculum. The regular course of instruction for esthetician students shall consist of courses relating to the subject areas identified in this section.

(1) Basics:

(a) History and Career Opportunities;

(b) Professional Image; and

(2) General Sciences:

(a) Infection Control: Principles and Practices;

(b) General Anatomy and Physiology;

(d) Basics of Electricity; and

(e) Basics of Nutrition.

(3) Skin Sciences:

(a) Physiology and Histology of the Skin;

(b) Disorders and Diseases of the Skin;

(d) Skin Care Products: Chemistry, Ingredients, and Selection.

(4) Esthetics:

(a) Treatment Room;

(b) Basic Facials;

(d) Facial Machines;

(e) Hair Removal;

(f) Advanced Topics and Treatments;

(g) Application of Artificial Eyelashes; and

(h) Makeup.

(5) Business Skills:

(a) Career Planning;

(b) The Skin Care Business; and

Section 13. Esthetician Hours Required.

(1) An esthetician student shall receive no less than 750 hours in clinical and theory class work with a minimum of:

(a) 250 lecture hours for science and theory;

(b) Thirty-five (35) hours on the subject of applicable Kentucky statutes and administrative regulations; and

(2) An esthetician student shall have completed 115 hours before providing services to the general public. Clinical practice shall be performed on other students or mannequins during the first 115 hours.

Section 14. Shampoo Styling License Subject Areas. The regular courses of instruction for blow drying services license students shall contain courses relating to the subject areas identified in this section.

(1) Basics:

(a) History and Career Opportunities;

(b) Life Skills;

(d) Communications.

(2) General Sciences:

(a) Infection Control: Principles and Practices;

(b) General Anatomy and Physiology of head, neck, and scalp;

(d) Properties of the Hair and Scalp; and

(e) Basics of Electricity.

(3) Hair Care:

(a) Principles of Hair Design;

(b) Scalp Care, Shampooing, and Conditioning;

(d) Blow drying;

(e) Roller Placement;

(f) Finger waves or pin curls;

(g) Thermal curling;

(h) Flat iron styling;

(i) Wig and Hair Additions; and

(j) Long hair styling.

(4) Business Skills:

(a) Preparation for Licensure and Employment;

(b) On the Job Professionalism; and

Section 15. Shampoo Styling License Hours Required.

(1) A shampoo styling services license student shall receive no less than 300 hours in clinical and theory class work with a minimum of:

(a) 100 lecture hours for science and theory;

(b) Twenty-five (25) hours on the subject of applicable Kentucky statutes and administrative regulations; and

(2) A shampoo styling services license student shall have completed sixty (60) hours before providing services to the general public. Clinical practice shall be performed on other students or mannequins during the first sixty (60) hours.

Section 16. Extracurricular Events. Each cosmetology, nail technician, and esthetician student shall be allowed up to sixteen (16) hours for field trip activities pertaining to the profession of study, sixteen (16) hours for attending educational programs, and sixteen (16) hours for charitable activities, totaling not more than forty-eight (48) hours and not to exceed nine(9) hours per day. Attendance or participation shall be reported to the board within ten (10) business days of the field trip, education show, or charitable event on the Certification of Student Extracurricular Event Hours form.

Section 17. Student Records. Each school shall:

(1) Maintain a legible and accurate daily attendance record used only for the verification and tracking of the required contact hours for education for all full-time students, part-time students, and apprentice instructors with records that shall be recorded using a digital biometric time keeping program as follows:

(a) All beginning, end, break, and lunch times shall be recorded; and

(b) All instructors shall comply with the biometric time keeping system;

(2) Keep a record of each student's practical work and work performed on clinic patrons;

(3) Maintain a detailed record of all student enrollments, withdrawals, and dismissals for a period of five (5) years; and

(4) Make records required by this section available to the board and its employees upon request.

Section 18. Certification of Hours.

(1) Schools shall forward to the board digital certification of a student's hours completed within ten (10) business days of a student's withdrawal, dismissal, completion, or the closure of the school.

(2) No later than the tenth day of each month, a licensed school shall submit to the board via electronic delivery a certification of each student's or apprentice instructor's total hours obtained for the previous month and the total accumulated hours to date for all individuals enrolled. Amended reports shall not be accepted by the board without satisfactory proof of error. Satisfactory proof of error shall require, at a minimum, a statement signed by the school manager certifying the error and the corrected report.

Section 19. No Additional Fees. Schools shall not charge the enrolled individual additional fees beyond the agreed upon contracted amount.

Section 20. Instructor Licensing and Responsibilities.

(1) A person employed by a school or program for the purpose of teaching or instruction shall be licensed by the board as an instructor and shall post his or her license as required by 201 KAR 12:060.

(2) A licensed instructor or apprentice instructor shall supervise all students during a class or practical student work.

(3) An instructor or apprentice instructor shall render services only incidental to and for the purpose of instruction.

(4) Licensed schools shall not permit an instructor or apprentice instructor to perform services in the school for compensation.

(5) An instructor shall not permit students to instruct or teach other students in the instructor's absence.

(6) Except as provided in subsection (7) of this section, schools may not permit a demonstrator to teach in a licensed school.

(7) A properly qualified, licensed individual may demonstrate a new process, preparation, or appliance in a licensed school if a licensed instructor is present.

(8) Licensed schools or programs of instruction in any practice licensed or permitted in KRS Chapter 317A or 201 KAR Chapter 12 shall, at all times, maintain a minimum faculty to student ratio of one (1) instructor for every twenty-five (25) students supervised. Apprentice instructors shall not be considered students for purposes of computation of the faculty to student ratio.

(9) Licensed schools or programs of instruction in any practice licensed or permitted in KRS Chapter 317A or 201 KAR Chapter 12 shall, at all times, maintain a minimum ratio of one (1) instructor for every two (2) apprentice instructors enrolled and supervised.

(10) Within ten (10) business days of the termination, employment, and other change in school faculty personnel, a licensed school shall notify the board of the change.

(11) All instructors on staff within a licensed school shall be designated as full-time, part-time, or substitute instructors to the board when reporting employment.

(12) An instructor shall not provide instruction regarding "basic exfoliation during dermaplane techniques" or "dermaplaning" unless the instructor shall have submitted evidence demonstrating the completion of courses and specialized training regarding dermaplaning that is deemed sufficient by the board to safely instruct students regarding these techniques.

Section 21. School Patrons.

(1) All services rendered in a licensed school to the public shall be performed by students. Instructors may teach and aid the students in performing the various services.

(2) A licensed school shall not guarantee a student's work.

(3) A licensed school shall display in the reception room, clinic room, or any other area in which the public receives services a sign to read: "Work Done by Students Only." The letters shall be a minimum of one (1) inch in height.

Section 22. Enrollment.

(1) Any person enrolling in a school or program for instruction in any practice licensed or permitted in KRS Chapter 317A or 201 KAR Chapter 12 shall furnish proof that the applicant has:

(a) A high school diploma;

(b) A General Educational Development (GED) diploma; or

(c) Results from the Test for Adult Basic Education indicating a score equivalent to the successful completion of grade 12.

(d) Apprentice instructors shall provide proof of individual licensure issued at minimum one (1) year prior to enrollment date to demonstrate compliance with the applicable requirements set forth in KRS 317A.050.

(2) The applicant shall provide with the enrollment a passport-style photograph taken within thirty (30) days of submission of the application.

(3) A student or apprentice instructor enrolling in a licensed school who desires to transfer hours from an out-of-state school shall, prior to enrollment, provide to the board certification of the hours to be transferred from the state agency that governs the out-of-state school.

(4) If the applicant is enrolled in a board approved program at an approved Kentucky high school, the diploma, GED, or equivalency requirement of this section shall not be necessary until examination.

(5) All enrollments shall be accompanied by the proper fee as established in 201 KAR 12:260.

Section 23. Certificate of Enrollment.

(1) Schools shall submit to the board a digital enrollment, accompanied by the applicant's proof of education and proof of licensure if enrolling as an apprentice instructor, as established in Section 22 of this administrative regulation, within ten (10) business days of enrollment.

(2) All identification information submitted on the school's digital enrollment shall exactly match a state or federal government-issued identification card to take the examination. If corrections shall be made, the school shall submit the Enrollment Correction Application digitally and the enrollment correction fee in 201 KAR 12:260 within ten (10) days of the erroneous submission. Students with incorrect enrollment information shall not be registered for an examination.

Section 24. Student Compensation.

(1) Schools shall not pay a student a salary or commission while the student is enrolled at the school.

(2) Licensed schools shall not guarantee future employment to students.

(3) Licensed schools shall not use deceptive statements and false promises to induce student enrollment.

(4) An apprentice instructor may receive compensation as a teaching assistant.

Section 25. Hours of Operation. All schools shall report hours of operation to the board. Any change of hours or closures shall be reported no less than ten (10) business days in advance of change or closure.

Section 26. Transfers. An individual desiring to transfer to another licensed school shall:

(1) Within ten (10) days, notify the school in which the individual is presently enrolled of the withdrawal in writing; and

(2) Complete a digital enrollment as required for the new school.

Section 27. Refund Policy. A school shall include the school's refund policy in all enrollment contracts.

Section 28. Student Complaints. A student or apprentice instructor may file a complaint with the board concerning the school in which the individual is enrolled, by following the procedures outlined in 201 KAR 12:190.

Section 29. Student Leave of Absence. The school shall report an individual's leave of absence to the board within ten (10) business days. The leave shall be reported:

(1) In writing from the individual to the school; and

(2) Clearly denote the beginning and end dates for the leave of absence.

Section 30. Withdrawal. Within ten (10) business days from a student or apprentice instructor's withdrawal, a licensed school shall report the name of the withdrawing individual to the board.

Section 31. Credit for Hours Completed. The board shall credit hours previously completed in a licensed school as follows:

(1) Full credit (hour for hour) for hours completed within five (5) years of the date of school enrollment; and

(2) No credit for hours completed five (5) or more years from the date of school enrollment.

Section 32. Program Transfer Hours. An individual transferring valid hours between board licensed schools or a current licensee choosing to enroll into a licensed school to learn the practice of cosmetology, esthetics, shampoo styling, or nail technology shall complete and submit the Program Hour Transfer Request form. With exceptions as listed in subsections (1) and (2) of this section, an individual shall not transfer hours from one (1) discipline to another. Upon receiving a completed Program Hour Transfer Request form, the board shall treat the transferred valid hours or license as earned credit hours in a cosmetology program subject to the following:

(1)

(a) Transfer of a current esthetics license shall credit the transferee no more than 400 hours in a cosmetology program.

(b) Transfer of a current nail technologist license shall credit the transferee no more than 200 hours in a cosmetology program.

(c) Transfer of a current shampoo styling license shall credit the transferee no more than 300 hours in a cosmetology program.

(d) Transfer of a current barber license shall credit the transferee no more than 750 hours in a cosmetology program.

(2) Credit hours transferred pursuant to this section shall only take effect upon the transferee's completion of the remaining hours necessary to complete a cosmetology program.

Section 33. Emergency Alternative Education. Digital theory content may be administered by a licensed school if authorized by the Executive Director due to a world health concern or crisis or other national, regional, state, or local emergency. The Executive Director may determine when emergency alternative education shall begin and end based on the effect of any declared state of emergency on education standards or by consideration of the nature of the emergency, and shall make determinations in compliance with state and national declarations of emergency. The necessary compliance steps for implementation are as follows:

(1) Full auditable attendance records shall be kept showing actual contact time spent by a student in the instruction module.

(2) Milady or Pivot Point supported digital curriculum platforms or recorded video conference participation shall be used.

(3) Schools shall submit an outline to the board within ten (10) days of the occurrence of the alternative education defining the content scope to be taught or completed, and a plan for a transition into a digital training environment. Plans may be submitted for approval by the board to be kept for future use if emergency alternative education is allowable.

(4) Completion certificates showing final scoring on digital modules shall be maintained in student records.

(5) Schools and students shall comply with Section 4 of this administrative regulation on accessible hours.

(6) A student shall not accrue more than the total required theory instruction hours outlined in the instructional sections in emergency alternative education time as established in Sections 3(1)(a), 7(1)(a), 13(1)(a), and 15(1)(a) of this administrative regulation.

(7) The board may determine eligibility for accruals based on duration of the crisis and applicable time limits for alternative emergency education availability.

Section 34. Incorporation by Reference. The following material is incorporated by reference:

(1)

(a) "Certification of Student Extracurricular Event Hours", December 2024;

(b) "Enrollment Correction Application", December 2024; and

History

RELATES TO: KRS 317A.020, 317A.050, 317A.090
STATUTORY AUTHORITY: KRS 317A.060, 317A.090
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060(1)(h) requires the Board of Cosmetology to promulgate administrative regulations governing the hours and courses of instruction at schools of cosmetology, esthetic practices, and nail technology. KRS 317A.090 establishes licensing requirements for schools of cosmetology, esthetic practices, and nail technology. This administrative regulation establishes requirements for the hours and courses of instruction, reporting, education requirements, and administrative functions required for students and faculty for schools of cosmetology, esthetic practices, and nail technology.
History: 201 KAR 012:082. 2 Ky.R. 182; eff. 11-12-1975; 3 Ky.R. 388; eff. 12-1-1976; 7 Ky.R. 483; 640; eff. 2-4-1981; 11 Ky.R. 1441; eff. 5-14-1985; 16 Ky.R. 1605; eff. 4-12-1990; 22 Ky.R. 613; 1452; eff. 1-25-1996; 23 Ky.R. 2195; 2969; eff. 3-14-1997; 30 Ky.R. 962; 1565; 1910; eff. 2-16-2004; 40 Ky.R. 374; 1027; eff. 12-6-2013; 44 Ky.R. 1113; 1502; eff. 2-2-2018; 44 Ky.R. 2364; 45 Ky.R. 17; eff. 8-6-2018; 45 Ky.R. 1727, 2335; eff. 3-8-2019; 46 Ky.R. 2303, 2888; eff. 7-30-2020; TAm eff. 3-24-2021; 48 Ky.R. 1627, 2196; eff. 5-3-2022; 48 Ky.R. 403, 1046; eff. 1-31-2023; 51 Ky.R. 1884; 52 Ky.R. 373; eff. 12-2-2025.

201 KAR 12:100 Infection control, health, and safety {#sec-201-kar-12-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:100}

Section 1. Definitions.

(1)

(a) "Clean" means:

Removal of surface or visible debris by using soap, detergent, or chemical "cleaner", followed by a clean water rinse;
Preparing non-porous items for disinfection by removing debris, product residues, organic matter, and oils that may interfere with disinfection chemicals; and
Reducing the number and slowing the growth of pathogens on both porous and non-porous surfaces; and

(b) "Clean" does not mean making multi-use items safe for use.

(2) "Contact time" means the amount of time a disinfectant is required to be in contact with a clean item or surface to be effective against the pathogens on the label, which is achieved through the use of disinfectant sprays or wipes until the item or surface is:

(a) Completely immersed; or

(b) Visibly wet.

(3) "Disinfect" means:

(a) The process of making a non-porous item safe for use; and

(b) The use of a chemical intended to kill or denature a bacteria, virus, or fungus.

(4) "Disinfectant" means an approved disinfectant that is:

(a) An Environmental Protection Agency (EPA) registered bactericidal, virucidal, and fungicidal disinfectant approved for use in the salon or spa environment and used in accordance with the instruction label for dilution ratio and contact time;

(b)

An EPA-registered Sodium Hypochlorite 5.25 percent or higher (household chlorine bleach) product used in accordance with the instructions for disinfection and dilution on the label; and
A bleach active that:

a. Is not expired; and

b. Has a manufacture date of less than six (6) months prior to use; or

(c) Devices or systems that employ the use of germicidal ultraviolet energy (GUV) that have been registered with the Environmental Protection Agency (EPA).

(5) "Non-Porous" means material that has no pores and does not allow for liquids to be absorbed or passed through, such as glass, metal, and plastic.

(6) "Porous" means a material that has minute spaces or holes through which liquid or air may pass, making it permeable, penetrable, and cellular.

(7) "Sterilize" means the eradication of all microbial life through the use of heat, pressure, steam, ultraviolet energy, or chemical sterilants.

Section 2. Health and Public Safety. The entire licensed facility, including all equipment, employees, and implements contained in the facility, shall be continually maintained in a safe manner that reduces the risk of injury or illness for both the consumer and the licensee.

Section 3. Cleaning and Disinfecting.

(1) All non-porous implements used on the public shall be cleaned and disinfected before each use, including items such as combs, brushes, shears, hair clips, hair rollers, pushers, nippers, and plastic or metal spatulas.

(2) Disinfectants shall be used properly to disinfect in accordance with the manufacturer's instructions or on the manufacturer's label with regard to concentration and contact time. UV light shall not be acceptable for disinfection.

(3) Each non-porous implement used in a licensed facility shall first be thoroughly cleaned prior to disinfection with warm soapy water or a chemical cleaner. Non-porous surfaces, such as workstations and nail tables, shall be cleaned with a wipe or spray prior to each service.

(4) After cleaning, implements shall be rinsed and dried with a single use paper towel or air dried.

(5) Implements shall then be disinfected by completely immersing in an appropriate disinfectant for the full contact time listed on the manufacturer's label. If appropriate, ultraviolet energy, disinfecting wipes and sprays may also be used.

(6) When the full contact time has been met, implements shall be removed, rinsed, and dried with a single use paper towel or air dried.

(7) Disinfected implements shall be stored in a clean, covered container, drawer, or bag labeled as "disinfected" or "ready to use". Dirty items shall be kept covered and labeled "dirty" until they are properly disinfected. Once an item has been placed in the "dirty" container, drawer, or bag it shall not be removed until the cleaning and disinfecting process has been started.

Section 4. Chemical Safety. All chemicals used in a licensed facility shall be:

(1) Transported and stored in accordance with the manufacturer's label;

(2) Stored in original containers in cabinets that may be locked or that are not in public spaces or bathrooms;

(3) Mixed and applied to individuals specifically as instructed by the manufacturer's label, including patch tests;

(4) Discarded according to the manufacturer's label and, if applicable, local, state, and federal rules; and

(5) All chemicals that are concentrates mixed into a container or distributed into a secondary container, shall be labeled to indicate the contents. All poisonous substances shall be clearly labeled.

Section 5. Disinfectant.

(1) Disinfectants shall be prepared fresh daily and any time the solution becomes diluted or soiled.

(2) Contact time. To disinfect a non-porous surface, it shall be left wet or completely immersed for the full contact time required by the manufacturer for disinfecting against HIV, HBV, and all other viruses, bacteria, and fungi. If no contact time is indicated for disinfecting, the product is not an EPA registered disinfectant and shall not be used as one.

(3) A container other than the original manufacturer`s container used for immersing or application of appropriate disinfectant shall be properly labeled as to contents.

(4) All Food and Drug Administration (FDA) designated "medical devices" shall only be disinfected by appropriate EPA-approved disinfectants in accordance with the manufacturer's instructions.

Section 6. Towel Warmers.

(1) Towel warmers shall be disinfected daily using disinfecting wipes or a spray and left open to allow the warmer to dry completely.

(2) Towels used in a towel warmer both wet and dry shall be washed daily, regardless if used or not, and replaced at the opening of each day.

Section 7. Nail and Pedicure Stations.

(1) Pedicure stations shall be cleaned and disinfected after each use by:

(a) Removing all removable parts;

(b) Emptying bowl and scrub with detergent and scrub brush;

(d) Adding appropriate disinfectant in a proper concentration for the size of bowl; and

(e)

If the bowl has any circulation or whirlpool effect, allow disinfectant to circulate for full contact time as listed on the manufacturer's label; or
If there is no circulation or whirlpool effect, allow disinfectant to stand in bowl for full contact time as listed on the manufacturer's label.

(2) Surfaces of nail stations shall be disinfected between clients.

(3) Nail clients shall be offered hand sanitizer prior to a service.

(4) A nail drill or body treatment equipment shall be:

(a) Cleaned and disinfected after each use by removing all removable parts; and

(b) Following the specific disinfection instructions recommended by the manufacturer.

(5) Drill bits shall be soaked in acetone to remove product, scrubbed, and soaked in disinfectant for full contact time after each use.

Section 8. Electrical Implements.

(1) Heated electrical equipment, such as a thermal iron are disinfected by the heat source. Unheated parts of heated electrical equipment shall be cleaned and disinfected according to the manufacturer's recommendations.

(2) All other electrical equipment, including clippers and attachments, shall be cleaned and disinfected after each use by:

(a) Removing hair and all foreign matter from the equipment; and

(b) Completely saturating the clipper blade and attachment with an EPA-registered high level disinfectant solution, spray, or foam used according to the manufacturer's instructions.

Section 9. Waxing Services.

(1) Waxing services shall only be performed on intact skin.

(2) Wax applicator sticks shall only be used for a single dip into the wax and then shall be immediately discarded.

(3) If the wax pot becomes contaminated or debris is visible it shall be completely cleaned and disinfected through the following steps:

(a) Wax shall be emptied and disposed of properly;

(b) Pots shall be washed with detergent and rinsed;

(c) All pot surfaces shall be wiped or sprayed with EPA-registered disinfectant following manufacturer's guidelines for contact time;

(d) Pots shall be air dried or wiped dry with a clean paper towel; and

(e) New wax shall always be used and pots shall remain covered at all times.

(4) Paraffin wax shall be portioned out to prevent contamination between clients and disposed of immediately.

Section 10. General Cleaning and Disinfection.

(1) Any item that may not be cleaned and disinfected is considered single use and shall be disposed of after each use. This includes items such as nail files or emery boards made of any material except metal or glass, all cotton, buffing blocks, pumice stones, wooden cuticle pushers, slipper shoes, toe separators, wooden spatulas, neck strips, and paper coverings.

(2) All shampoo bowls or similar items shall be cleaned after each use and disinfected at the end of each day.

(3) All nonporous items to be used on multiple clients shall be cleaned and disinfected after each use.

Section 11. Removal of Product from Multi-Use Containers.

(1) All products removed from a multi-use container such as a tub or tube, shall be done in a manner that prevents contamination of the remaining product within the container.

(2) Products such as pomades, waxes, and gels shall be removed with either a single use spatula that is disposed of immediately after a single use or a disinfected multi use spatula. Fingers shall not be used to remove product.

(3) Powders and lotions shall be dispensed from a shaker or pump ensuring that the licensee's or client's hands never touch the dispensing portions of the container.

Section 12. Special Solution Containers. Single use product containers shall be used whenever possible to prevent the contamination of unused solution. All leftover product shall be disposed of, not reused.

Section 13. Walls and Floors. Walls, floors, and fixtures shall be kept in a safe manner at all times. If any condition potentially places the consumer or the licensee at risk of harm, it shall be remedied immediately.

Section 14. Trash Containers and Debris.

(1) All trash containers shall have solid sides and a liner shall be used.

(2) All hair and debris shall be swept up immediately following each client and placed in the closed trash container.

Section 15. Proper Laundering Methods.

(1) All cloth towels, robes, and similar items shall be laundered in a washing machine with laundry detergent used according to the manufacturer's directions.

(2) Laundry may be done through a commercial laundry service.

(3) A closed, dustproof cabinet shall be provided for clean towels and linen, and a closed, side vented hamper or receptacle shall be provided for all soiled towels and linens.

Section 16. Personal Hygiene.

(1) Every person licensed or permitted by the board shall thoroughly cleanse his or her hands with soap and water or an equally effective hand sanitizer immediately before serving each patron.

(2) Hand sanitizer shall be made available for use by patrons at each nail station in the licensed facility.

(3) A cosmetology instrument or implement shall not be carried or stored in a pocket, belt, apron, or smock.

Section 17. Blood Exposure.

(1) If a licensee or client are injured during the service and blood is present, service shall be stopped immediately.

(2) If possible, the area shall be washed under clean running water at a sink.

(3) If the injury is on the client, the licensee shall put on gloves and clean the area, then apply antibacterial ointment and offer a bandage to the client. The licensee shall then remove gloves, wash his or her own hands and re-apply gloves for the duration of the service.

(4) If the injury is on licensee, the licensee shall put on gloves and any blood on the workstation or client shall be cleaned. The licensee shall then remove gloves, wash the area, and apply antibiotic cream and a bandage to the area. The licensee shall then re-apply gloves, and properly disinfect the work surface and implements prior to starting the service again.

(5) When service is complete, all disposable items shall be immediately thrown away and all non-porous items thoroughly cleaned and disinfected.

(6) Styptics to arrest bleeding shall be used only in liquid or powder form and shall be applied using new gauze, or cotton.

Section 18. Communicable Disease.

(1) Licensees shall not perform any service if they have been diagnosed with a communicable disease until cleared in writing by a medical professional for return to work.

(2) Licensees with a respiratory illness, regardless of if they have been diagnosed, shall consider the use of a facemask to protect clients from the possibility of transmission.

(3) Licensees shall not perform a service on a client who has visible swelling, eruption, redness, bruising on skin, or rash in an area where a service is to be performed unless the client supplies a physician's note indicating they are suffering from a noncontagious condition, such as psoriasis or other non-communicable skin disorders.

Section 19. Eyelash Services.

(1) Eyelash stands, holders, or pallets including tiles or stones, and trays shall be cleaned and disinfected before use with each client.

(2) Eyelash extensions shall be stored in a clean, closed container or in closed, original packaging. Eyelash extensions that are removed from the container or original packaging for a client's eyelash service and not used shall be disposed of and shall not be used for another client.

(3) When removing eyelashes from the container or package to portion out eyelashes for a service, a practitioner shall use disinfected scissors, blade, or other tool to snip a portion of a strip, or disinfected tweezers to portion out the lashes for each service.

(4) Any cutting implement used to cut the lashes in to sections, to render lash strips a one-time use, shall be disinfected and stored in covered containers.

(5) Tape used for taping back eye lid skin or lashes shall not be de-tacked on skin. De-tacking shall only be done on a clean towel.

(6) Any nozzle or dropper used for rinsing or flushing the eye during the service shall not come in direct contact with the eye or skin.

(7) Only medical grade adhesives intended for use on the human body shall be used.

Section 20. Esthetics.

(1) All esthetics facilities shall have a sharp's disposal container available for disposal of sharp items, such as lancets.

(2) A microdermabrasion or facial machine shall be:

(a) Cleaned and disinfected after each use by removing all movable parts;

(b) Filled, circulated, cleaned, and disinfected with the use of hospital grade disinfectant or a ten (10) percent bleach solution that is circulated through the machine for the minimum time recommended by the manufacturer; and

Section 21. Prohibited Items. The following sanitation methods and cosmetology practices shall be prohibited:

(1) Methyl Methacrylate acid (MMA);

(2) Isobornyl Methacrylate (IBMA);

(3) Blades for cutting the skin including items such as a straight razor without a guard, and credo blades, rasps;

(4) Roll on wax;

(5) Waxing of nasal hair;

(6) Any product banned by the FDA; and

(7) Use of any live animal in any cosmetic service.

Section 22. Autoclaves.

(1) Autoclaves used to sterilize shall be spore tested through an independent laboratory every thirty (30) days to ensure functionality.

(2) Laboratory results shall be kept onsite for twelve (12) months.

History

RELATES TO: KRS 317A.130
STATUTORY AUTHORITY: KRS 317A.060
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060 requires the Kentucky Board of Cosmetology to regulate the practice of cosmetology, nail technology, and esthetics in Kentucky and establish standards for the course and conduct of school owners, instructors, apprentice instructors, licensed cosmetologists, nail technicians, beauty salons, nail salons, cosmetology schools, and estheticians to protect the health and safety of the public. This administrative regulation establishes infection control, health, and safety standards for all licensed facilities.
History: 201 KAR 012:100. KBHC:San-1; 1 Ky.R. 1399; 2 Ky.R. 144; eff. 8-13-1975; 5 Ky.R. 806; 970; eff. 6-6-1979; 16 Ky.R. 1609; eff. 4-12-1990; 20 Ky.R. 1031; 1781; eff. 1-10-1994; 30 Ky.R. 1332; 1917; eff. 2-16-2004; 40 Ky.R. 382; 1032; eff. 12-6-2013; 44 Ky.R. 1378, 1814; eff. 3-9-2018; TAm eff. 4-3-2018; 46 Ky.R. 2489, 2891; eff. 7-30-2020; 51 Ky.R. 1889; 52 Ky.R. 377; eff. 12-2-2025.

201 KAR 12:140 School equipment {#sec-201-kar-12-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:140}

Section 1. Equipment and Supplies.

(1) A licensed school of cosmetology, esthetic practices, and nail technology shall have all equipment and supplies needed to meet the curriculum outlined in 201 KAR 12:082, including at a minimum:

(a) Shampoo bowls;

(b) Pedicure equipment;

(d) Station mirrors;

(e) Chemicals, cleansers, and emulsions;

(f) Cutting and styling implements; and

(g) Proper storage.

(2) A licensed school of esthetic practices shall have:

(a) A private student or client changing area;

(b) A minimum of one (1) fully equipped facial machine in the esthetics area;

(d) A minimum of one (1) steamer for hot towels; and

(e) A Sharps container.

(3) All equipment and supplies shall be available for student use and practice.

Section 2. Physical Characteristics.

(1) A licensed school shall be physically separated from any beauty salon or barber shop, or any other place of business.

(2) A licensed school shall maintain, at a minimum:

(a) Thirty-six (36) square feet per student in the clinical area;

(b) Eighteen (18) square feet per student in the mannequin or nail table area;

(d) A separate room for demonstration and study with all necessary charts and equipment to carry out the curriculum; and

(e) Booths or partitions in the clinical area that permit observation of students.

(3) Each licensed school shall provide and maintain a biometric digital time keeping system to be used by all students and instructors as required by 201 KAR 12:082.

History

RELATES TO: KRS 317A.060, 317A.090
STATUTORY AUTHORITY: KRS 317A.060
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060 requires the board to set standards by administrative regulation for licensed schools of cosmetology, esthetic practices, and nail technology to meet relating to quantity and quality of equipment, supplies, and furnishings. This administrative regulation establishes the necessary physical requirements for licensed schools.
History: KBHC:Sch. Equip. 1-1; 2 Ky.R. 75; eff. 9-10-1975; 16 Ky.R. 1958; eff. 5-13-1990; 30 Ky.R. 971; 1921; eff. 2-16-2004; 44 Ky.R. 2561; 45 Ky.R. 334; eff. 8-31-2018; 46 Ky.R. 2307, 2894; eff. 7-30-2020.

201 KAR 12:190 Complaint and disciplinary process {#sec-201-kar-12-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:190}

Section 1. Definitions.

(1) "Complaint" means any signed writing received or initiated by the board alleging conduct by an individual or entity that may constitute a violation of KRS Chapter 317A or 201 KAR Chapter 12.

(2) "Respondent" means the person or entity against whom a complaint has been made.

Section 2. Complaint Committee. The board may appoint a committee of at least two (2) board members to review complaints, initiate investigations, participate in informal proceedings to resolve complaints, and make recommendations to the board for disposition of complaints. The board staff and board counsel may assist the committee but shall not be:

(1) Considered members of the committee.

(2) Permitted to cast votes during the committee meetings.

Section 3. Complaint Procedures.

(1) Complaints shall:

(a)

Be submitted on the board's Complaint Form;
Be signed by the person making the complaint; and
Describe with sufficient detail the alleged violation of KRS Chapter 317A or 201 KAR Chapter 12.

(b) Anonymous complaints shall not be accepted. The Complaint Form shall be made available on the board's Web site at https://secure.kentucky.gov/formservices/KBHC/ComplaintForm.

(2) A copy of the complaint shall be provided to the respondent. The respondent shall have thirty (30) calendar days from the date of receipt to submit a written response.

(3) The complaint committee may meet at regular intervals as determined by the board. At its meetings, the complaint committee shall review the complaint, the response, and any other relevant information or material available, and may recommend that the board:

(a) Dismiss the complaint;

(b) Order further investigation;

(d) Issue a notice of disciplinary action informing the respondent of:

Any statute or administrative regulation violated;
The factual basis for the disciplinary action;
The penalty to be imposed; and
The licensee's or permittee's right to request a hearing; or

(e) Refer the matter to the full board for its consideration.

(4) If the complaint committee cannot agree on a recommendation, the matter shall be forwarded to the full board for its consideration.

(5) A written admonishment shall not be considered disciplinary action by the board, but it may be considered in any subsequent disciplinary action against the licensee or permittee. A copy of the written admonishment shall be placed in the licensee or permittee's file at the board office.

(6) If the board determines that a person or entity is engaged in the unlicensed practice of cosmetology, esthetics practices, or nail technology, the board may:

(a) Issue to the person or entity a written request to voluntarily cease the unlicensed activity; or

(b) Seek injunctive relief in a court of competent jurisdiction pursuant to KRS 317A.020(7).

(7) To ensure an impartial decision, a board member shall disqualify himself from participating in the adjudication of a complaint if the board member has:

(a) Participated in the investigation of a complaint; or

(b) Substantial personal knowledge of facts concerning the complaint.

Section 4. Settlement by Informal Proceedings.

(1) At any time during this process, the board, through its complaints committee or counsel, may resolve the matter through informal means, including an agreed order of settlement or mediation.

(2) An agreed order or settlement reached through this process shall be approved by the board and signed by the respondent and board chair, or the chair's designee.

Section 5. Hearings.

(1) A written request made by the respondent for a hearing shall be filed with the board within thirty (30) calendar days of the date of the board's notice that it intends to:

(a) Refuse to issue or renew a license or permit;

(b) Deny, suspend, probate, or revoke a license or permit; or

(2) If no request for a hearing is filed, the board's refusal to issue or renew a license or permit, or the board's notice of disciplinary action, shall become effective upon the expiration of the time to request a hearing.

Section 6. Incorporation by Reference.

(1) "Complaint Form", March 2025, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at Kentucky Board of Cosmetology, 1049 US Hwy 127 S. Annex #2, Frankfort Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the board's Web site at https://secure.kentucky.gov/formservices/KBHC/ComplaintForm.

History

RELATES TO: KRS 317A.070, 317A.140, 317A.145
STATUTORY AUTHORITY: KRS 317A.060, 317A.145
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060 requires the Board of Cosmetology to promulgate administrative regulations concerning the course and conduct of various licensees under its jurisdiction. KRS 317A.145 requires the board to promulgate administrative regulations necessary for the administration of KRS 317A.145, relating to the investigation of complaints and, if appropriate, the taking of disciplinary action for violations of KRS Chapter 317A and the administrative regulations promulgated by the board. KRS 317A.070 requires the board to hold hearings to review the board's decision upon the request of any licensee or applicant affected by the board's decision to refuse to issue or renew a license or permit, or to take disciplinary action against a license or permit. This administrative regulation establishes the board's complaint and disciplinary process.
History: 201 KAR 012:190. 15 Ky.R. 1726; eff. 3-10-1989; 20 Ky.R. 1036; eff. 1-10-1994; 40 Ky.R. 392; 1037; eff. 12-6-2013; 4 Ky.R. 2563; 45 Ky.R.335; eff. 8-31-2018; 49 Ky.R. 408, 1050; eff. 1-31-2023; 51 Ky.R. 1892; 52 Ky.R. 379; eff. 12-2-2025.

201 KAR 12:230 Code of ethics {#sec-201-kar-12-230 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:230}

Section 1. Code of Ethics. A licensee or permittee shall:

(1) Provide competent professional services to the consumer;

(2) Provide a clear explanation of the services offered and the cost of those services;

(3) Follow appropriate disinfection and sanitation requirements as established in KRS Chapter 317A and 201 KAR 12:100;

(4) Follow proper health profile procedures before application of the product;

(5) Perform a thorough service evaluation and consultation for each client to determine if the procedure or product is appropriate before application;

(6) Discuss and outline realistic expectations with the client after the evaluation; and

(7) Provide all services with courtesy and respect.

History

RELATES TO: KRS 317A.060
STATUTORY AUTHORITY: KRS 317A.060
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060 requires the board to establish a code of ethics for all persons and entities issued a license or permit by the board. This administrative regulation establishes the required code of ethics.
History: 30 Ky.R. 1143; 1925; eff. 2-16-2004; 44 Ky.R. 2565; 45 Ky.R. 337; eff. 8-31-2018; 49 Ky.R. 410; eff. 1-31-2023.

201 KAR 12:260 Fees {#sec-201-kar-12-260 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:260}

Section 1. The initial license fees shall be as follows:

(1) Cosmetologist - fifty (50) dollars;

(2) Nail technician - fifty (50) dollars;

(3) Esthetician - fifty (50) dollars;

(4) Shampoo Styling services - fifty (50) dollars;

(5) Cosmetology instructor - fifty (50) dollars;

(6) Esthetic instructor - fifty (50) dollars;

(7) Nail Technology instructor - fifty (50) dollars;

(8) Beauty salon - $100;

(9) Nail salon - $100;

(10) Esthetic salon - $100;

(11) School - $1,500;

(12) School transfer of ownership - $1,500;

(13) Salon transfer of ownership - $100;

(14) Limited facility license for a limited beauty salon, threading facility, eyelash artistry facility, and makeup facility - $100;

(15) Threading permit - fifty (50) dollars;

(16) Eyelash Artistry Permit - fifty (50) dollars;

(17) Makeup Artistry Permit - fifty (50) dollars;

(18) Event Services Permit- $100; and

(19) Homebound Care Permit - $100.

Section 2. The renewal license fees shall be as follows:

(1) Cosmetologist - $100;

(2) Nail technician - $100;

(3) Esthetician - $100;

(4) Shampoo Styling services - $100;

(5) Cosmetology instructor - $100;

(6) Esthetic instructor - $100;

(7) Nail Technology instructor - $100;

(8) Beauty salon - $200;

(9) Nail salon - $200;

(10) Esthetic salon - $200;

(11) School - $500;

(12) Limited facility license for a limited beauty salon, threading facility, eyelash artistry facility, and makeup facility - $200;

(13) Threading permit - $100;

(14) Eyelash Artistry Permit - $100;

(15) Makeup Artistry Permit - $100;

(16) Event Services Permit - $200; and

(17) Homebound Care Permit - $200.

Section 3. Applications for examination including retake applications shall be accompanied by a fee as follows:

(1) Cosmetologist - eighty-five (85) dollars;

(2) Nail technician - eighty-five (85) dollars;

(3) Esthetician - eighty-five (85) dollars;

(4) Shampoo Styling services - eighty-five (85) dollars; and

(5) Instructor - eighty-five (85) dollars.

Section 4. Miscellaneous fees shall be as follows:

(1) Demonstration permit - fifty (50) dollars;

(2) Certification for an out-of-state license or school hours transfer - twenty-five (25) dollars;

(3) Duplicate license - twenty-five (25) dollars;

(4) Salon manager change - fifty (50) dollars;

(5) School manager change - fifty (50) dollars;

(6) Enrollment correction fee, as established in 201 KAR 12:082, Section 24(2) - fifteen (15) dollars;

(7) Out-of-state endorsement application fee - $100;

(8) Apprentice instructor enrollment - twenty-five (25) dollars;

(9) Student enrollment - twenty-five (25) dollars;

(10) Individual license restoration fee - fifty (50) dollars;

(11) Salon license restoration fee, or limited facility permit restoration fee for a limited beauty salon, threading facility, eyelash artistry facility, and makeup facility - $100;

(12) School license restoration fee - $500.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "First-Time License Application", March 2025; and

(b) "Renewal Application", March 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Cosmetology, 1049 U.S. Hwy 127 S, Annex #2, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the board's website at http://kbc.ky.gov.

History

RELATES TO: KRS 317A.050, 317A.062
STATUTORY AUTHORITY: KRS 317A.062
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.062 requires the board to promulgate administrative regulations establishing a reasonable schedule of fees and charges for examinations and the issuance, renewal, and restoration of licenses and permits. This administrative regulation establishes a fee schedule for applications, permits, and licenses issued by the board.
History: 201 KAR 012:290. 30 Ky.R. 2415; 31 Ky.R. 30; eff. 8-6-2004; 40 Ky.R. 393; 1038; eff. 12-6-2013; 44 Ky.R. 1621, 1975; eff. 4-6-2018; 44 Ky.R. 2368; 45 Ky.R. 20; eff. 8-6-2018; 45 Ky.R. 1731, 2338; eff. 3-8-2019; 46 Ky.R. 2308, 2895; eff. 7-30-2020; 49 Ky.R. 410; eff. 1-31-2023; 51 Ky.R. 1894; 52 Ky.R. 380; eff. 12-2-2025.

201 KAR 12:280 Esthetic practices restrictions {#sec-201-kar-12-280 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:280}

Section 1. Definitions.

(1) "Basic exfoliation during dermaplane techniques" or "dermaplaning" means techniques or procedures where only the uppermost layer of the stratum corneum is removed.

(2) "Cosmetic resurfacing exfoliating procedures" means the application of cosmetic resurfacing exfoliating substances by a licensed health care practitioner for the purpose of improving the aesthetic appearance of the skin. This includes services such as acid or chemical peels, microdermabrasion, and other forms of exfoliation or resurfacing of a cosmetic nature.

(3) "Direct supervision" means to be within immediate distance, such as on the same floor, and available to respond when needed.

(4) "Health care practitioner" means any individual certified by the Kentucky Board of Nursing, or the Kentucky Board of Medical Licensure to perform esthetic specialties.

(5) "Immediate supervision" means a licensed physician is physically present in the same room and overseeing the activities of the esthetician at all times.

(6) "Microdermabrasion" means a gentle, progressive, superficial, mechanical exfoliation of the uppermost layers of the stratum corneum using a closed-loop vacuum system.

(7) "Microneedling" means the use of multiple tiny solid needles designed to pierce the skin for the purpose of stimulating collagen production or cellular renewal. Devices used may be in the form of rollers, stamps, or electronic pens. Microneedling is also known as:

(a) Dermal needling;

(b) Collagen Induction Therapy (CIT);

(d) Cosmetic dry needling;

(e) Multitrepannic collagen actuation; or

(f) Percutaneous collagen induction.

(8) "Physician" means a medical doctor licensed by the Kentucky Board of Medical Licensure to perform services within his or her scope of practice.

Section 2. Supervision of Restricted Practices. An esthetician licensed by the board shall not perform any of the activities listed in KRS 317A.130(2) unless under the immediate supervision of a licensed physician. Medical procedures shall not be performed by an esthetics or cosmetology licensee. Services under the direct supervision of a licensed health care practitioner shall fall within the category of cosmetic resurfacing exfoliating procedures.

Section 3. Dermaplaning.

(1) Dermaplaning procedures for basic exfoliation shall only be conducted by individuals who:

(a) Are licensed as a cosmetologist or esthetician by the board; and

(b) Have provided documentation to the board demonstrating the completion of courses and specialized training regarding dermaplaning sufficient that, in the judgment of the board, the licensee may conduct the procedure safely.

(2) Dermaplane procedures, dermabrasion procedures, microneedling procedures, blades, knives, and lancets are prohibited, except for:

(a) Procedures for basic exfoliation;

(b) Advanced extraction of impurities from the skin using a lancet of 2mm or less; and

Section 4. Microdemabrasion.

(1) To be approved for use, a microdermabrasion device shall:

(a) Be specifically labeled for cosmetic or esthetic purposes;

(b) Be a closed-loop vacuum system that uses a tissue retention device; and

(c) Not result in the removal of the epidermis beyond the stratum corneum from the normal and customary use of the device.

(2) Loose particle microdermabrasion systems shall not be used.

Section 5. Acids and Chemical Exfoliations.

(1) The use of any acid or acid solution, which would exfoliate the skin below the stratum corneum, including those listed in subsection (2) of this section shall not be used unless under the direct supervision of a licensed health care practitioner.

(2) The following acids or acid solutions shall not be used unless under the direct supervision of a licensed health care practitioner:

(a) Phenol;

(b) Bichloroacetic acid;

(d) Any acid in any concentration level that requires a prescription;

(e) Modified jessner solution on the face and the tissue immediately adjacent to the jaw line;

(f) Alpha hydroxy acids with a pH of not less than one (1.0) and at a concentration of fifty (50) percent shall include partially neutralized acids, and any acid above the concentration of fifty (50) percent is prohibited;

(g) Beta hydroxy acids with a concentration of not more than thirty (30) percent;

(h) Trichloroacetic acid (TCA), in a concentration of not more than fifteen (15) percent, but manual, mechanical, or acid exfoliation shall not be used prior to treatment unless under the direct supervision of a licensed health care practitioner; and

(i) Vitamin-based acids.

(3) Limited chemical exfoliation for a basic esthetician shall not include the mixing, combining, or layering of skin exfoliation products or services, but shall include:

(a) Alpha hydroxy acids of thirty (30) percent or less, with a pH of not less than three (3.0); and

(b) Salicylic acid of fifteen (15) percent or less.

(4) A licensee shall not apply any exfoliating acid to a client's skin that has undergone microdermabrasion or microneedling within the previous seven (7) days, unless under the direct supervision of a licensed physician.

(5) A licensee shall prepare and maintain current documentation of the licensee's cumulative experience in chemical exfoliation, including:

(a) Courses of instruction;

(b) Specialized training;

(d) The approximate percentage that chemical exfoliation represents in the licensee's overall business.

(6) A licensee shall provide the documentation required by subsection (5) of this section to the board upon request.

(7) A licensee shall not use an acid or perform a chemical exfoliation that the licensee is not competent to use or perform through training and experience, and as documented in accordance with subsection (5) of this section.

(8) Only commercially available products utilized in accordance with manufacturers' instructions shall be used for chemical exfoliation purposes.

(9) A patch test shall be administered to each client prior to beginning any chemical exfoliation series.

Section 6. Devices. A mechanical or electrical apparatus that is considered a prescription medical device by the FDA shall not be used by a licensee, unless the use is under the immediate supervision by a licensed physician and within that licensed physician's appropriate scope of practice.

Section 7. Disclosure. Before applying a chemical exfoliant or using a microdermabrasion machine, a licensee shall inform a client that:

(1) The procedure shall only be performed for cosmetic and not medical purposes; and

(2) The benefits and risks of the procedures shall be disclosed prior to application.

Section 8. Other Prohibited Practices.

(1) A licensee shall not use any preparation, product, device, or procedure that pierces or penetrates the skin beyond the stratum germinativum layer, also known as the basal layer of the epidermis.

(2) A licensee shall not use any procedure in which human tissue is cut or altered by laser energy or ionizing radiation.

History

RELATES TO: KRS 317A.130
STATUTORY AUTHORITY: KRS 317A.060, 317A.130
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060 requires the board to establish appropriate standards of practice for individuals licensed by the board. This administrative regulation establishes the required restrictions and limitations placed on esthetic practices.
History: 201 KAR 012:280. 45 Ky.R. 213; 947; eff. 11-9-2018; 51 Ky.R. 1896; 52 Ky.R. 381; eff. 12-2-2025.

201 KAR 12:290 Permits {#sec-201-kar-12-290 omnilex-key=us-ky-regs-official--title-201--201 KAR 12:290}

Section 1. Fees. Permit fees are set forth in 201 KAR 12:260.

Section 2. Permit Validity. Each permit shall expire on the 31st day of July of each even numbered year, regardless of the date when the permit was issued, unless the board should specify an alternate period of validity.

Section 3. Changes. All changes to account information required for licensure shall be submitted to the board within thirty (30) days of occurrence including:

(1) Legal name change;

(2) Change of address;

(3) Change of facility or employer;

(4) Change of phone number;

(5) Change of email address; and

(6) Any other information as required by KRS 317A or 201 KAR Chapter 12 for licensure.

Section 4. Prior Felony Convictions. For any permit issued or conducted by the board, an applicant convicted of a prior felony shall include with his or her application:

(1) A signed letter of explanation from the applicant;

(2) A certified copy of the judgment and sentence from the issuing court; and

(3) A letter of good standing from the applicant's probation or parole officer, if currently on probation or parole.

Section 5. All incorporated forms may be replicated in a digital format for online completion.

Section 6. Threading and Makeup Artistry Permits.

(1) Any person who engages in the practice of threading or makeup artistry shall first obtain a permit from the board by submitting a completed Permit Application and paying the fee established in 201 KAR 12:260. The Board may prescribe any conditions it deems necessary to ensure the safety, health, or welfare of the general public and compliance with KRS Chapter 317A and 201 KAR Chapter 12.

(2) The applicant shall include with the Permit Application:

(a) A copy of the applicant's government-issued photo identification;

(b) A two (2) by two (2) inch passport photo of the applicant taken within the past six (6) months; and

Section 7. Eyelash Artistry Permits.

(1) Any person who engages in the practice of eyelash artistry shall first obtain a permit from the board by submitting a completed Permit Application and paying the fee established in 201 KAR 12:260. The Board may prescribe any conditions it deems necessary to ensure the safety, health, or welfare of the general public and compliance with KRS Chapter 317A and 201 KAR Chapter 12.

(2) The applicant shall include with the Permit Application:

(a) A copy of the applicant's government-issued photo identification;

(b) A two (2) by two (2) inch passport photo of the applicant taken within the past six (6) months;

(c) Proof of completion of a board approved sanitation course within the past six (6) month period preceding the application; and

(d) Proof of completion of a board approved eyelash certificate training program taught by a licensed instructor within the preceding six (6) months.

Section 8. Homebound Care Permit.

(1) Any person engaging in the cosmetic care of a homebound or medically infirm individual shall first obtain a permit from the board by submitting a completed application and paying the fee established in 201 KAR 12:260. The Board may prescribe any conditions it deems necessary to ensure the safety, health, or welfare of the general public and compliance with KRS Chapter 317A and 201 KAR Chapter 12.

(2) The applicant shall include with the Permit Application:

(a) A copy of the applicant's government-issued photo identification;

(b) A two (2) by two (2) inch passport photo of the applicant taken within the past six (6) months;

(d) Medical release document for the homebound or infirm individual from a physician, licensed by the Kentucky Board of Medical Licensure, defining which services can or cannot be safely provided; and

(e) The address of the location where services will be provided.

Section 9. Event Services Permit.

(1) Any person engaged in providing on-site services outside of a board licensed facility for events shall first obtain a permit from the board by submitting a completed application and paying the fee established in 201 KAR 12:260. The Board may prescribe any conditions it deems necessary to ensure the safety, health, or welfare of the general public and compliance with KRS Chapter 317A and 201 KAR Chapter 12.

(2) The applicant shall include with the Permit Application:

(a) A copy of the applicant's government-issued photo identification;

(b) A two (2) by two (2) inch passport photo of the applicant taken within the past six (6) months;

(d) The address of the location where services will be provided shall be provided to the board two (2) weeks in advance of each event along with the time frame services will be provided.

Section 10. Practice before Permit Issuance Prohibited. Any individual found engaging in the practice of threading, makeup artistry, eyelash artistry, or providing homebound care or event services prior to the permit issuance shall be ineligible to receive a permit from the board for a period of one (1) year from the date of the unauthorized practice and be responsible for the payment of any fines ordered by the board.

Section 11. Duplicate Permit, Renewal, and Restoration.

(1) If a permit is lost, destroyed, or stolen after issuance, a duplicate permit may be issued. The permit holder shall submit a statement verifying the loss of the permit using the Duplicate License Application that includes a copy of a government-issued photo identification and pay the duplicate permit fee listed in 201 KAR 12:260. Each duplicate license shall be marked duplicate.

(2) The annual license renewal period is July 1 through July 31. All permits shall:

(a) Be renewed using the board's online portal;

(b) Include the required copy of a government-issued photo identification;

(d) Include payment of any outstanding fines associated with a prior disciplinary action as described in KRS 317A.145;

(e) Disclose to the board the current name and license number of the facility where the permit holder is working; and

(f) Include a current passport style headshot photo.

(3) To restore an expired permit, a Restoration Application shall be digitally submitted to the board with payment of the restoration fee as set forth in 201 KAR 12:260 for each year the permit has been expired, the total of which shall not exceed $300 per permit restored, along with a copy of a government-issued photo identification.

Section 12. Eyelash Artistry Training Programs.

(1) An eyelash artistry training program may be approved by the board upon submission of:

(a) A written request for consideration;

(b) A copy of the applicant's government-issued photo identification;

(d) A copy of the Kentucky cosmetology or esthetics instructor license verifying the credentials to teach the course;

(e) A completed training manual with detailed instructions on safety, infection control, eye diseases, contraindications, application and removal procedures, and product knowledge. The manual shall also contain current Kentucky Statutes and Regulations on scope of practices, requirements for facility and personal licensure, and infection control standards; and

(f) A copy of a training contract that outlines the responsibility of the training company, cost for classes, and completion requirements.

(2) Failure to seek approval as required by subsection (1) of this section shall invalidate all certifications issued to trainees and submitted by permit applicant.

(3) An apprentice instructor shall be under the immediate supervision and instruction of a licensed instructor while providing any instruction for students. Immediate supervision requires that a licensed instructor is physically present in the same room and overseeing the activities of the apprentice instructor at all times.

(4) A licensed cosmetology or esthetics school may seek course approval by submitting a curriculum packet for review and providing proof that the instructor has appropriate credentials to train in eyelash artistry.

Section 13. Eyelash Training Course Administration.

(1) Upon board approval of an eyelash artistry training program the instructor or program director shall, ten (10) business days prior to the start of the program, submit to the board:

(a) The date and time of the training course;

(b) A class roster of anticipated attendees; and

(2) Upon completion of the reported course, the instructor or program director shall submit to the board a signed and dated roster of attendees.

(3) Any student not listed with a signature on the class roster may be considered absent and may not be considered for a permit to practice from the board.

Section 14. Demonstration Permits. Professional services performed outside a licensed facility, including charity events and hair shows, require approval of the board and shall display the proper permit. Permits may be obtained by completing the Demonstration Permit Application and paying the applicable fee set forth in 201 KAR 12:260.

Section 15. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Permit Application", March 2025; and

(b) "Demonstration Permit Application", March 2025.

History

RELATES TO: KRS 317A.020, 317A.050, 317A.060
STATUTORY AUTHORITY: KRS 317A.060
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317A.060 requires the board to promulgate administrative regulations governing permits in threading, makeup artistry, eyelash artistry, homebound care, and event services. This administrative regulation establishes procedures for permits.
History: 201 KAR 012:290. 49 Ky.R. 413, 1051; eff. 1-31-2023; 51 Ky.R. 1898; 52 Ky.R. 382; eff. 12-2-2025.

Chapter 13 Board of Ophthalmic Dispensers

201 KAR 13:010 Board; powers, duties, meetings {#sec-201-kar-13-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:010}

Section 1. Officers; Duties; Meetings.

(1) Three (3) members of the board shall constitute a quorum for the transaction of business.

(2)

(a) The board shall meet at least three (3) times each year on an annual schedule approved by the board during the last quarter of each calendar year.

(b) Other meetings of the board may be called by the chair or by written request of three (3) board members.

(3) The officers of the board shall discharge the duties that usually pertain to their respective offices.

(4) All fees and monies collected shall be deposited in the State Treasury to the credit of an agency fund for the use of the board.

History

RELATES TO: KRS 326.020
STATUTORY AUTHORITY: KRS 326.020(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020(3) grants the board the authority to promulgate administrative regulations to carry out the provisions of KRS Chapter 326. This administrative regulation specifies the powers and duties of the board and its officers, and meeting date requirements.
History: 201 KAR 013:010. OD-1(1-17); 1 Ky.R. 721; eff. 5-14-75; Am. 10 Ky.R. 45; eff. 8-3-83; 27 Ky.R. 1526; 2722; eff. 4-9-2001; Crt eff. 2-21-2020; 52 Ky.R. 1550; eff. 8-18-2026.

201 KAR 13:020 Dispensing defined {#sec-201-kar-13-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:020}

Section 1. Eyeglass or spectacle frames and mountings intended for the purpose of holding corrective prescription lenses, are declared to be appurtenances thereto within the meaning of KRS 326.010. The following are ophthalmic dispensing within the meaning of KRS 326.010:

(1) Fitting, adjusting, or adapting of such frames and mountings;

(2) Performance of any act which involves a decision as to the size, shape, fitting or positioning of the frames and mountings in position before the eyes of the wearer; and

(3) The final delivery of the complete prescription lenses, spectacles or eyeglasses frames and mountings.

History

RELATES TO: KRS 326.020
STATUTORY AUTHORITY: KRS 326.020(3)
NECESSITY, FUNCTION, AND CONFORMITY: Additional definition of ophthalmic dispensing.
History: OD-6; 1 Ky.R. 721; eff. 5-14-75; Crt eff. 2-21-2020.

201 KAR 13:030 Contact lens fitting {#sec-201-kar-13-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:030}

Section 1.

(1) The fitting of contact lenses is a function of ophthalmic dispensing as outlined in KRS 326.060, and an ophthalmic dispenser's license shall be required of any person who fits contact lenses except as specified in KRS 326.070(4).

(2) Contact lenses shall be furnished only upon prescription from a physician, osteopath or optometrist and under no circumstances shall the dispenser neutralize the customer's lenses to arrive at the prescription unless authorized to do so by the physician, osteopath or optometrist.

(3) Trial lenses or sample contact lenses shall not be inserted into the eye or eyes of a person for the purpose of demonstrating, measuring or for trial or for any other purpose incident to the fitting of contact lenses unless authorized to do so by a physician, osteopath or optometrist.

(4) In all cases of contact lens fitting, the ophthalmic dispenser shall not furnish contact lenses unless the prescription from a physician, osteopath or optometrist under which such lenses are to be furnished instructs the patient to return to such physician, osteopath or optometrist to complete the fitting process.

(5) It shall be the exclusive prerogative of the prescribing physician, osteopath, or optometrist, as set out in KRS 326.010, to determine whether contact lenses are superior to other forms of visual aid glasses.

(6) Since contact lens fitting is only one part of the ophthalmic dispensing procedure, the board will not consider an application for an apprentice license under 201 KAR 13:050 for any person working exclusively in contact lenses. All persons desiring to engage in contact lens fitting shall qualify as an ophthalmic dispenser under KRS 326.030 and be licensed by this board as such.

History

RELATES TO: KRS 326.060
STATUTORY AUTHORITY: KRS 326.020(3)
NECESSITY, FUNCTION, AND CONFORMITY: Procedures and policies regarding fitting of contact lenses.
History: OD-5; 1 Ky.R. 722; eff. 7-2-75; Am. 2 Ky.R. 191; eff. 1-14-76; Crt eff. 2-21-2020.

201 KAR 13:040 Licensing {#sec-201-kar-13-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:040}

Section 1. Application for License. A person wishing to obtain a license to practice as an ophthalmic dispenser or apprentice shall make application to the Kentucky Board of Ophthalmic Dispensers on the Application for Ophthalmic Dispenser License, DPL-BOD-01or Application for Apprentice Ophthalmic Dispenser License DPL-BOD-02.

Section 2. Required Examinations.

(1) Passage of the following examinations shall satisfy the requirement established in KRS 326.040(4):

(a) Passage of both:

The American Board of Opticians (ABO) Basic Examination; and
The National Contact Lens Examiners (NCLE) Basic Examination; and

(b) Passage of either:

The National Commission of State Opticianry Regulatory Boards (NCSORB) National Practical Examination; or
Both the ABO Practical Examination and the NCLE Practical Examination.

(2)

(a) For an applicant who holds an apprentice ophthalmic dispenser license issued by the board, the ABO Basic Examination and the NCLE Basic Examination shall be:

Taken before the expiration of thirty (30) months from the date of the original receipt of the apprentice license; and
Passed within thirty-six (36) months of the date of the original receipt of the apprentice license.

(b) An apprentice ophthalmic dispenser licensed by the board shall not take an approved practical examination until all other licensure requirements have been completed.

(3) For an applicant who is applying for licensure based on credentials and experience, the candidate shall have the following:

(a) An active license as a dispensing optician issued by any state or territory of the United States or the District of Columbia that has standards at least as stringent as those required by KRS 326.040; or

(b) An active certification as a dispensing optician under the ABO and the NCLE, and at least two (2) years of experience as a dispensing optician, as verified under oath by both the applicant and by a sponsor with personal knowledge of the applicant's work history.

The verifying sponsor shall be licensed either as an ophthalmologist, an optometrist, or an optician.
An applicant for licensure based on credentials and experience under this paragraph shall have passed an approved practical examination before application.

Section 3. Experience. The following events are qualifying experience for an applicant for licensure as an ophthalmic dispenser apprentice:

(1) Attending a recognized school for ophthalmic dispensing; or

(2) Working in an optical laboratory as an ophthalmic technician.

Section 4. Licensure Renewal.

(1) Each license shall be renewed each year on or before December 31.

(2) Each licensee shall complete and submit one (1) of the following:

(a) Application for Renewal for a licensed ophthalmic dispenser;

(b) Application for Apprentice Renewal for a licensed apprentice ophthalmic dispenser; or

(3) For a renewal postmarked on or before December 31, or completed and submitted online before that date, the renewal fee shall be:

(a) $125 a licensed ophthalmic dispenser; or

(b) $100 for an apprentice ophthalmic dispenser.

(4) For a renewal postmarked or submitted on the Department of Professional Licensing website after December 31, there shall be an additional a thirty-five (35) dollar late fee.

(5) A license that has not been renewed by close of business on March 1 shall expire. Applicants may request an extension of time to renew of up to sixty (60) days for reasons related to medical issues, military service, or family emergencies. The applicant shall submit the request for an extension of time in writing, and send the request to the board by certified mail on or before the March 1 expiration date.

(6) In order to qualify for reinstatement of a license that has expired by operation of subsection (4) of this section, either an Application for Reinstatement or an Application for Apprentice Reinstatement shall be submitted to the board. In addition, a reinstatement fee shall be submitted with the application. The reinstatement requirements shall be:

(a) For an ophthalmic dispenser:

Payment of the $125 renewal fee and six (6) hours of continuing education. An additional six (6) hours of continuing education shall be completed before the end of the current licensure year if reinstatement occurs more than twelve (12) months after license expiration;
Payment of a thirty-five (35) dollar late fee; and
Payment of a $300 reinstatement fee.

(b) For an apprentice ophthalmic dispenser:

Payment of the $100 renewal fee and four (4) hours of continuing education to be completed before the end of the current licensure year. An additional four (4) hours of continuing education shall be completed before the end of the current licensure year if reinstatement occurs more than twelve (12) months after license expiration;
Payment of a thirty-five (35) dollar late fee; and
Sixty (60) dollars for reinstatement.

(7) The timeline established in Section 2.(2)(a) shall continue to run during the inactive status.

(8) A revoked and expired license shall be reinstated before the licensee may resume the practice of ophthalmic dispensing.

Section 5. Temporary Permit Application.

(1) The board shall, if requested by the applicant, issue a temporary permit to a qualified ophthalmic dispenser, who otherwise would qualify for a license, but is in the state on a temporary basis or who has not yet had an opportunity to take an examination to procure a license and whose immediate employment depends upon being licensed by the board.

(2) The permit shall be valid only until the next regular examination date and in no case shall exceed six (6) months following date of issuance.

(3) The fee for a temporary permit shall be fifty (50) dollars, which amount shall accompany the application.

Section 6. Board Action, Notification.

(1) The board shall act only upon those applications that are complete.

(2) Each applicant shall pay the license application and renewal fees required by KRS 326.040 and 326.080 upon submission of the application.

(3) Each applicant shall be notified of the action of the board; and, if favorable, when and where the examination will be held.

(4) If the board considers denying or resolves to deny an application based solely on an applicant's prior conviction of a crime, the board shall follow the notification and procedure requirements in KRS 335B.030(2).

(5) The applicant shall participate in an interview with the application committee upon written request of the board. The application committee shall conduct the interview to determine if the conviction directly relates to the occupation for which the license is sought pursuant to the criteria established in KRS 335B.020(2)(a) through (b) and 335B.030(2)(b).

Section 7. Inactive Status.

(1) Upon application, the board shall grant inactive status to a qualified licensee. While on inactive status, the licensee shall not engage in the practice of ophthalmic dispensing.

(2) The fee for licensure on inactive status shall be thirty-five (35) dollars per year.

(3)

(a) Continuing education requirements shall be waived for a licensee on inactive status during the inactive period.

(b) If the inactive licensee applies to the board to return to active status, the licensee shall submit proof that he or she has completed six (6) hours of continuing education for ophthalmic dispenser licensees and four (4) hours of continuing education for apprentice ophthalmic dispenser licensees within the last twelve (12) month period immediately preceding the date on which the application is submitted.

(c) The licensee may request that he or she be allowed to return to active status immediately, with the provision that the licensee shall receive the appropriate number of continuing education hours within six (6) months of the date on which the licensee returns to active status.

(d) Additionally, the licensee shall be responsible for meeting the requirements established in 201 KAR 13:055 in order to qualify for renewal of the license.

(4) To change from inactive status to active status, the ophthalmic dispenser licensee shall:

(a) Pay a reactivation fee of forty (40) dollars; and

(b) Complete six (6) additional hours of continuing education before the end of the current licensure year.

(5) To change from inactive status to active status, the apprentice ophthalmic dispenser licensee shall:

(a) Pay a reactivation fee of fifteen (15) dollars; and

(b) Complete four (4) additional hours of continuing education before the end of the current licensure year.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Ophthalmic Dispenser License", DPL-BOD-01, December 2025;

(b) "Application for Apprentice Ophthalmic Dispenser License", DPL-BOD-02, December 2025;

(d) "Application for Renewal as an Apprentice Ophthalmic Dispenser", DPL-BOD-04, December 2025;

(e) "Application for Reinstatement as an Ophthalmic Dispenser", DPL-BOD-05, December 2025; and

(f) "Application for Reinstatement as an Apprentice Ophthalmic Dispenser", DPL-BOD-06, December 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Ophthalmic Dispensers, 500 Mero Street , Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. and is available on the board's website at bod.ky.gov.

History

RELATES TO: KRS 326.020, 326.035, 326.040, 326.080
STATUTORY AUTHORITY: KRS 326.020(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020(3) authorizes the board to promulgate administrative regulations to carry out the purposes and provisions of KRS Chapter 326. KRS 326.040 establishes the requirements for the issuance of a license including experience and passage of an examination. KRS 326.080 requires the annual renewal of licensure. This administrative regulation prescribes the forms, required examinations, experience, renewal requirements, and provisions for inactive status required for licensees.
History: 201 KAR 013:040. OD-2; 1 Ky.R. 722; eff. 5-14-1975; Am. 11 Ky.R. 56; eff. 8-7-1984; 733; eff. 12-11-1984; 13 Ky.R. 900; eff. 12-2-1986; 21 Ky.R. 481; 1086; eff. 10-12-1994; 27 Ky.R. 1528; 2723; eff. 4-9-2001; 38 Ky.R. 1875; 39 Ky.R. 11; eff. 8-6-2012; 42 Ky.R. 2621, 2906; 43 Ky.R. 17; eff. 7-20-2016; 44 Ky.R. 552, 909; eff. 11-15-2017; 45 Ky.R. 3246, 46 Ky.R. 417, eff. 8-19-2019; Crt to Am - Am filed 2-12-2026; 52 Ky.R. 1552, 25; eff. 8-18-2026.

201 KAR 13:050 Apprentices {#sec-201-kar-13-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:050}

Section 1. Definitions.

(1) "Apprentice ophthalmic dispenser" means a person who is in training for the vocation of ophthalmic dispenser and who dispenses ophthalmic lenses, frames, and appurtenances thereto to the intended wearer only under the supervision of an ophthalmic dispenser.

(2) "Ophthalmic dispenser" means a physician, osteopath, optometrist, or licensed ophthalmic dispenser licensed pursuant to KRS 326.040 who is sponsoring an apprentice ophthalmic dispenser.

Section 2.

(1) An apprentice license shall be required of any person:

(a) Who is not a licensed ophthalmic dispenser, but is in training to be an ophthalmic dispenser;

(b) While in training works under the supervision of a licensed ophthalmic dispenser; and

(c) Whose duties require that he or she perform the services as would be normally performed by a licensed ophthalmic dispenser.

(2) The board shall revoke the apprentice license at any time if either the employer, the apprentice sponsor, or the apprentice fail to carry out the provisions of this administrative regulation.

(3) A licensed apprentice ophthalmic dispenser shall at all times work under the supervision of, and in the same establishment with, an ophthalmic dispenser, and the ophthalmic dispenser shall be responsible for the actions of the apprentice.

(4) The board shall issue an apprentice license for a period ending December 31 of the current year, upon receipt and board approval of the required application and a fee of fifty (50) dollars, as required by 201 KAR 13:040.

(5) If the apprentice's employment under the sponsoring ophthalmic dispenser is terminated for any reason, or the apprentice's sponsor changes, the board shall be notified immediately in writing and no later than thirty (30) days of the last day of employment, utilizing the "Apprentice Change of Sponsor Form", DPL-BOD-07. An apprentice ophthalmic dispenser who fails to timely notify the board of termination of employment or a change in sponsor shall be subject to disciplinary action under KRS 326.090(1)(i).

(6) A sponsor may terminate or remove an apprentice from sponsorship by utilizing the "Sponsor Removal of Apprentice Form", DPL-BOD-08.

(7) The board may reject the application for an apprentice license or rescind a license already issued if, upon inspection, it is found that any of the requirements for an apprentice license in KRS 326.035 or any administrative regulations in 201 KAR Chapter 13 not specifically excluding apprentice licenses are being violated.

Section 3.

(1) An apprentice ophthalmic dispenser shall train for the vocation of ophthalmic dispenser and demonstrate progress toward an ophthalmic dispenser license to the board by submitting to the board:

(a) Proof of the completed training schedule consistent with KRS 326.035(5) no later than twelve (12) months from the date that the apprentice ophthalmic dispenser license is issued;

(b) Proof of a passing grade on the American Board of Opticians (ABO) Basic Examination and the National Contact Lens Examiners (NCLE) Basic Examination no later than thirty-six (36) months from the date that the apprentice ophthalmic dispenser license is issued; and

(c) Proof of a passing grade on an approved practical examination no later than five (5) years from the date that the apprentice ophthalmic dispenser license is issued.

(2) An apprentice ophthalmic dispenser who fails to meet the requirements established in subsection (1) of this section shall not have the apprentice license renewed by the board.

(3) A licensee may request an extension of time in which to complete the requirements established in subsection (1) of this section by submitting a request to the board, in writing, no fewer than sixty (60) days before expiration of the applicable due date. The board may allow an extension of time for any applicant demonstrating a need based on medical necessity, family related health emergency, or military service.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Apprentice Change of Sponsor Form", DPL-BOD-07, December 2025; and

(b) "Sponsor Removal of Apprentice Form", DPL-BOD-08, December 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Ophthalmic Dispensers, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. and is available on the board's website at bod.ky.gov.

History

RELATES TO: KRS 326.020, 326.035
STATUTORY AUTHORITY: KRS 326.020(3), 326.035
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020(3)(a) authorizes the board to promulgate administrative regulations to carry out the purposes of KRS Chapter 326, including the licensing of apprentice ophthalmic dispensers. KRS 326.035 requires the board to issue an apprentice license to any person in training to be an ophthalmic dispenser, under the supervision of a licensed ophthalmic dispenser, and otherwise qualified pursuant to the administrative regulations promulgated by the board. This administrative regulation establishes the requirements for an apprentice ophthalmic dispenser.
History: 201 KAR 013:050. OD-2; 1 Ky.R. 722; eff. 5-14-1975; Am. 11 Ky.R. 56; eff. 8-7-1984; 733; eff. 12-11-1984; 21 Ky.R. 483; eff. 10-19-1994; 27 Ky.R. 1530; 2502; eff. 4-9-2001; 42 Ky.R. 2624; 43 Ky.R. 19; eff. 7-20-2016; 45 Ky.R. 3249; eff. 8-19-2019; Crt to Am - Am filed 2-12-2026; 52 Ky.R. 1555; eff. 8-18-2026.

201 KAR 13:055 Continuing education requirements {#sec-201-kar-13-055 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:055}

Section 1. "Continuing education hour" means fifty (50) minutes of participating in continuing education experiences in person before a live presenter. One (1) semester credit hour is equivalent to six (6) continuing education hours.

Section 2. Continuing education hours in excess of the number required at the time of renewal of license shall not be applied to future requirements.

Section 3.

(1) A minimum of three (3) of the required six (6) continuing education hours for renewal of ophthalmic dispenser licensure and a minimum of two (2) of the required four (4) continuing education hours for renewal of apprentice ophthalmic dispenser licensure shall be obtained through programs sponsored by entities listed in Section 4(1) of this administrative regulation.

(2) Repetitious completion of a program shall not entitle the participant to additional continuing education credit.

(3) Licenses issued after August 1 shall be exempt from the continuing education requirement for renewal by December 31 of the same year.

Section 4. Continuing education hours applicable to renewal of licensure shall be directly related to the professional growth and development of ophthalmic dispensers. They may be earned by completing any of the following educational activities:

(1) An educational program from any of the following providers shall be deemed relevant to ophthalmic dispensing and shall be approved without further review by the board:

(a) The Opticians Association of Kentucky and the Society of Dispensing Opticians of Kentucky;

(b) The United Opticians Association, or any of its affiliated state chapters;

(d) The National Academy of Opticianry, or any of its affiliated state chapters;

(e) The American Optometric Association, or any of its affiliated state chapters; or

(f) The American Academy of Ophthalmology, or any of its affiliated state chapters.

(2) An educational program from any other source shall be reviewed for relevancy to ophthalmic dispensing and subsequent approval by the board.

(a) Programs shall be submitted to the board for review and approval at least thirty (30) days prior to planned participation so the participants can know the value of the experience prior to actual participation.

(b) Requests for program changes shall be made to and accredited by the board or the evaluation and accreditation of the program becomes null and void.

(3) Related areas not specifically a part of the field of ophthalmic dispensing may be approved for up to two (2) continuing education hours, if the board believes that the related areas may serve to enhance the licensee's ability to practice.

Section 5. Sponsors and licensees requesting approval of continuing education for ophthalmic dispensers shall submit a completed "Application for Continuing Education Credit", DPL-BOD-09, and any relevant information reasonably requested by the board.

Section 6. Submission of fraudulent statements or certificates concerning continuing education shall subject the licensee to revocation or suspension of his or her license as provided in KRS Chapter 326.

Section 7. Each licensee shall submit, with the annual renewal application, on forms provided by the board, a list of accredited continuing education hours completed by the licensee during the previous license year.

Section 8.

(1) Each person registered with the board shall retain proof of attendance and completion of all continuing education requirements for a period of three (3) years from the end of the calendar year in which the continuing education was acquired.

(2) The board shall annually conduct a randomly selected audit of individual records to assure that the continuing education requirements have been met. Audited individuals shall submit:

(a) Certificates verifying the individual's attendance at the continuing education programs described above; or

(b) An official transcript verifying credit hours earned.

Section 9. Upon proper application to the board, a licensee may be granted a deferral from continuing education requirements on a year-to-year basis at the discretion of the board for reasons of illness, incapacity, or other similar extenuating circumstances.

Section 10. Each licensee shall keep the board informed of his or her correct address and place of employment. The board shall be informed in writing of any changes to the licensee's address or place of employment.

Section 11. Incorporation by Reference.

(1) "Application for Continuing Education Credit", DPL-BOD-09, December 2025, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Ophthalmic Dispensers, 500 Mero St, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:00 p.m. This material is also available on the board's website at www.bod.ky.gov.

History

RELATES TO: KRS 326.020, 326.035, 326.080
STATUTORY AUTHORITY: KRS 326.020(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020(3)(a) authorizes the board to promulgate administrative regulations to carry out the purposes and provisions of KRS Chapter 326, including the adoption of a program of continuing education for all licensees. KRS 326.020(3)(b) requires licensees of the board to complete continuing education as a condition of license renewal. This administrative regulation establishes a continuing education program for ophthalmic dispenser licensees and apprentice ophthalmic dispenser licensees and the basic requirements, methods of accreditation, and manner of reporting.
History: 201 KAR 013:055. 21 Ky.R. 712; 1087; eff. 10-19-1994; 27 Ky.R. 1530; 2503; 2725; eff. 4-9-2001; 45 Ky.R. 3251, 46 Ky.R. 419; eff. 8-19-2019; Crt to Am - Am filed 2-12-2026; 52 Ky.R. 1557, 27; eff. 8-18-2026.

201 KAR 13:060 Military service; reciprocity; endorsement {#sec-201-kar-13-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:060}

Section 1. Military Service. A licensee who is in the military service is exempt from licensure renewal until he or she is honorably discharged from the service.

Section 2. Reciprocity.

(1) A person may be licensed by reciprocity as an ophthalmic dispenser if that person:

(a) Holds a valid license as an ophthalmic dispenser in another state whose qualifications at the time of licensure were equal to or higher than those requirements established in KRS 326.040 and 201 KAR 13:040; and

(b) Has been actively engaged in the practice of ophthalmic dispensing for a period of two (2) years immediately preceding the date of application.

(2) An applicant for licensure by reciprocity shall submit:

(a) The application form required in 201 KAR 13:040, Section 1(1);

(b) The application fee established in KRS 326.040;

(d)

Documents proving passage of an approved Practical Examination; or
A statement of intent to sit for an approved Practical Examination within twelve (12) months of application for licensure.

Section 3. Endorsement.

(1) A person may be licensed by endorsement as an ophthalmic dispenser if that person:

(a) Holds an active and current certification as a dispensing optician under the American Board of Opticians (ABO) and the National Contact Lens Examiners (NCLE); and

(b) Has been actively engaged in practice as a dispensing optician for at least two (2) years under the sponsorship of a licensed ophthalmologist, licensed optometrist, or optician certified by the ABO and NCLE.

(2) An applicant for licensure by endorsement shall submit:

(a) The application form required in 201 KAR 13:040, Section 1(1);

(b) The application fee established in KRS 326.040;

(d) Documents verifying the applicant has engaged in at least two (2) years of practice as a dispensing optician sponsored by a licensed ophthalmologist, licensed optometrist, or optician certified by the ABO and NCLE; and

(e)

Documents proving passage of an approved Practical Examination or
A statement of intent to sit for an approved Practical Examination within twelve (12) months of application for licensure.

History

RELATES TO: KRS 326.020, 326.040
STATUTORY AUTHORITY: KRS 326.020(3), 326.040
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020 authorizes the board to promulgate administrative regulations to carry out the purposes and provisions of KRS Chapter 326. This administrative regulation exempts active members of the military service from licensure renewal, provides reciprocity between the states, and establishes a process for licensure by endorsement.
History: OD-1(18, 19); 1 Ky.R. 723; eff. 7-2-1975; Am. 27 Ky.R. 1533; 2504; eff. 4-9-2001; 44 Ky.R. 554, 910; eff.-11-15-2017; 45 Ky.R. 3253, 46 Ky.R. 420; eff. 8-19-2019; Crt eff. 7-22-2026.

201 KAR 13:065 Complaint Management {#sec-201-kar-13-065 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:065}

Section 1. Receipt of Complaints.

(1) A complaint:

(a) May be submitted by an:

Individual;
Organization; or
Entity;

(b) Shall be:

In writing and provided on the "Complaint Form with Information Sheet and Authorization for Release of Medical and Client Records", DPL-BOD-10;
Signed by the person submitting the complaint; and
Notarized; and

(2)

(a) Upon receipt of a complaint, a copy of the complaint with the address, phone number, and email address of the complainant redacted 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 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 complaints committee shall consider the complaint, the individual's response, the complainant's reply to the response, the preliminary recommendation of the board's attorney, and any other relevant material available to the board. The complaints committee shall determine whether there is enough evidence to warrant a formal investigation of the complaint.

(2) If the complaints committee determines before formal investigation that a complaint is without merit, it shall recommend to the board that the complaint be dismissed and that the complainant and respondent be notified of the board's decision.

(3) If the complaints committee determines that a complaint warrants a formal investigation, it shall recommend that the board authorize an investigation into the matter and for a report to be made to the complaints 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 326.010 to 326.990 or the administrative regulations promulgated thereunder, and further whether a formal complaint shall be issued.

(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 326.090; 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. The hearing shall be held in accordance with KRS Chapter 13B.

(4) If the board determines that a person, or an optical establishment as identified in KRS 326.030 and 201 KAR 13:080, may be in violation, it shall:

(a) Order the individual or the optical establishment, to cease and desist from further violations of KRS 326.030;

(b) Forward information to the county attorney of the county of residence of the person allegedly violating KRS 326.030 with a request that appropriate action be taken under KRS 326.990; or

Section 4. Settlement by Informal Proceedings; Letter of Admonishment.

(1) The board, through counsel and the complaints 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. Any 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 of the board or another member authorized by the board. The board may employ mediation as a method of resolving the matter informally.

(2)

(a) The board may, at any time during this process, issue a letter of admonishment to the individual who is named in the complaint as a means of resolving the complaint. The action may be taken if the board determines that this is an appropriate method of dispensing with the complaint. Such letter of admonishment shall be sent to the individual with a copy placed in the individual's permanent file.

(b) Within thirty (30) days of the date of the letter, the individual shall have the right to file a written response to the letter and have it attached to the letter of admonishment and placed in the permanent file.

(c) The individual shall also, within thirty (30) days of the date of the letter, have the right to appeal the letter of admonishment and be granted a full hearing on the complaint. If this appeal is requested, the board shall immediately file a formal complaint in regard to the matter and set a date for a hearing.

Section 5. Notice and Service of Process.

(1) Any notice required by the Act or this administrative regulation shall be in writing, dated and signed by the chair or another member authorized by the board.

(2) 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 of which the board has record or, if known, by such service on the named individual's attorney of record, if appropriate. Refusal of service if by certified mail, or avoidance of service if hand-delivered, shall not prevent the board from pursuing proceedings as may be appropriate.

(3) If notice of the initial date for the administrative hearing is given by either the board or the hearing officer, the notice shall be sent to the appropriate person at least twenty (20) days prior to the date of the hearing.

Section 6. Publication. The board shall make public:

(1) Its final order in a disciplinary action under KRS 319A.190 except for a written admonishment issued; and

(2) An action to restrain or enjoin a violation for the unauthorized practice of ophthalmic dispensing.

Section 7. Incorporation by Reference.

(1) "Complaint Form with Information Sheet and Authorization for Release of Medical and Client Records", DPL-BOD-10, December 2025, is incorporated by reference.

History

RELATES TO: KRS Chapter 13B, 319A.190, 326.020(5), 326.030, 326.090, 326.100
STATUTORY AUTHORITY: KRS 326.020(3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020(3)(a) authorizes the board to promulgate administrative regulations to carry out the purposes and provisions of KRS 326.010 through 326.990. This administrative regulation establishes the procedures for filing, investigating, and addressing a complaint filed against an ophthalmic dispenser, apprentice ophthalmic dispenser, or a person or entity who operates an optical establishment contrary to this chapter.
History: 201 KAR 013:065. 52 Ky.R. 1617, 28; eff. 8-18-2026.

201 KAR 13:075 Administrative hearings {#sec-201-kar-13-075 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:075}

Section 1. Right of Administrative Hearing to Appeal the Denial of License or Refusal to Renew or Reinstate a License.

(1) If the board denies an application for licensure, or refuses to renew or reinstate a license for failure to meet the regulatory requirements for renewal or reinstatement, the board shall issue a notice of denial informing the applicant of the specific reason for the board's action, including:

(a) The statutory or regulatory authority the application fails to meet for issuance, renewal, or reinstatement of the license;

(b) The factual basis on which the denial is based; and

(2) A written request for an administrative hearing shall be made in writing to the board within twenty (20) calendar days after receipt of this notification, excluding the day the applicant receives notice, or the date that the notification is returned to the board as unclaimed. The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

(3) If the request for an appeal is not timely filed, the notice of denial shall be effective upon the expiration of the time for the applicant to request an appeal.

(4) If a request for an appeal is made, the board, through counsel, shall prepare the notice of administrative hearing in accordance with KRS Chapter 13B.

(5) The administrative hearing shall be conducted in accordance with KRS Chapter 13B.

(6) The documentary evidence shall be limited to the application and supporting documents submitted to the board during the application process and what was considered as part of the application denial.

(7) A renewal applicant may petition the board, in writing, for a stay of the license denial until completion of the administrative hearing process.

Section 2. Administrative Hearing for Denial, Refusal to Renew or Reinstate, Suspension, Revocation, or Imposition of Probationary Conditions upon a License Due to Unprofessional Conduct.

(1) All administrative hearings for the board's denial, refusal to renew or reinstate, suspension, revocation, or imposition of probationary conditions upon a license shall be conducted in accordance with KRS Chapter 13B.

(2) The board, through counsel, shall prepare the formal administrative complaint and notice of administrative hearing in accordance with KRS Chapter 13B.

Section 3. Revocation of Probation.

(1) If the board moves to revoke probation, the board shall issue written notice of the revocation to the last known address on file with the board for the licensee and inform the licensee:

(a) Of the factual basis on which the revocation is based;

(b) Of each probation term violated;

(d) That the licensee may appeal the revocation to the board within twenty (20) calendar days after receipt of this notification, excluding the day he or she receives notice, or the date that the notification is returned to the board as unclaimed.

(2) A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days after receipt of this notification, excluding the day the licensee receives notice, or the date that the notification is returned to the board as unclaimed. The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

(3) If the request for an administrative hearing is not timely filed, the revocation shall be effective upon the expiration date for the licensee to request an appeal.

Section 4. Request for Administrative Hearing. A request for an administrative hearing shall be sent to the Kentucky Board of Ophthalmic Dispensers by mail to P.O. Box 1360, Frankfort, Kentucky 40602; by hand-delivery to 500 Mero Street, Frankfort, Kentucky 40601; or by email to bod@ky.gov.

Section 5. Costs and Fees. If the final order of the board is adverse to a licensee or applicant, or if the hearing is scheduled at the request of a licensee or applicant for relief from sanctions previously imposed by the board, the costs in an amount equal to the cost of stenographic services, the cost of the hearing officer, and the board's attorney fees may be assessed against the licensee or applicant. In a case of financial hardship, the board may waive all or part of the fee.

History

RELATES TO: KRS Chapter 13B, 326.020(5), 326.090, 326.100
STATUTORY AUTHORITY: KRS 326.020(3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.020(3)(a) authorizes the board to promulgate administrative regulations necessary to carry out the purposes and provisions KRS 326.010 through 326.990. KRS 326.100 requires the board to conduct administrative hearings in accordance with KRS Chapter 13B. This administrative regulation sets forth the procedures by which such hearings are to be conducted.
History: 201 KAR 013:075. 52 Ky.R. 1621, 29; eff. 8-18-2026.

201 KAR 13:080 Operation and inspection of optical establishments {#sec-201-kar-13-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 13:080}

Section 1. Definitions.

(1) "Operates an optical establishment" means to engage in business activities at an optical establishment, including the activities of the owner of the optical establishment and the authorized representative of the owner in the management of the optical establishment and its employees.

(2) "Optical establishment" is defined in KRS 326.010(3).

(3) "Person" is defined in KRS 446.010(27).

(4) "Supervision" means the oversight of the practice of ophthalmic dispensing at an optical establishment by a Kentucky-licensed ophthalmic dispenser who is physically present on the premises.

Section 2. Optical Establishment Supervisor.

(1) Each optical establishment shall have a Kentucky-licensed ophthalmic dispenser to provide supervision for the establishment.

(2) An ophthalmic dispenser who leaves the employment of an optical establishment shall notify the board within five (5) working days of his departure from that optical establishment.

Section 3.

(1) A board member, employee of the board, or an authorized agent may enter an optical establishment which is required to be under the supervision of a Kentucky-licensed ophthalmic dispenser during regular business hours to determine:

(a) If the optical establishment is under the supervision of a Kentucky-licensed ophthalmic dispenser;

(b) If every person practicing ophthalmic dispensing at the optical establishment is in compliance with the statutes and administrative regulations applying to the practice of ophthalmic dispensing; and

(2) The provisions of this administrative regulation shall not apply to a person who is exempted under KRS 326.070.

Section 4. A licensed ophthalmic dispenser or apprentice ophthalmic dispenser shall produce the appropriate license or identification for each person employed within the optical establishment upon request.

Section 5. A licensed ophthalmic dispenser shall permit the complete inspection of an optical establishment used in the practice of ophthalmic dispensing upon request.

Section 6. A licensed ophthalmic dispenser or apprentice ophthalmic dispenser shall display his license in a conspicuous place in the office in which he practices. He shall also produce, upon request, a current identification card issued by the board.

Section 7.

(1) The board may impose a fine not to exceed $1000 for a violation of KRS 326.090(2).

(2) The procedure for imposing a fine on a person for violation of KRS 326.090(2) shall be conducted in accordance with KRS Chapter 13B and 326.100.

History

RELATES TO: KRS 326.010(2), 326.010(3), 326.030, 326.070, 326.090(2), 326.990
STATUTORY AUTHORITY: KRS 326.020(3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 326.030 provides that a person shall not engage in the practice of ophthalmic dispensing unless he is licensed. KRS 326.090(2) authorizes the board to impose a fine against any person who operates an optical establishment without the supervision of a Kentucky-licensed ophthalmic dispenser. KRS 326.090(1) authorizes the board to suspend or revoke a license to practice ophthalmic dispensing for a violation of KRS Chapter 326. KRS 326.020(3)(a) authorizes the board to promulgate administrative regulations necessary to implement the chapter. This administrative regulation establishes a procedure for the operation and inspection of an optical establishment to determine if the establishment has complied with the licensing requirements.
History: 23 Ky.R. 4250; Am. 858; eff. 10-13-1997; 34 Ky.R. 618; 968; eff. 11-19-2007; Crt eff. 2-21-2020.

Chapter 14 Board of Barbering

201 KAR 14:010 Administrator's duties {#sec-201-kar-14-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:010}

Section 1. The administrator shall serve as the board's liaison officer and coordinator in working out administrative problems with the board.

Section 2. The administrator shall have full powers to inspect, during the reasonable hours, any shop or establishment licensed by the board.

Section 3. The administrator, when the board is not in session, shall have the power for and on behalf of the board to issue subpoenas for licenses, for the attendance of witnesses, and the production of such records and documents as may be reasonably necessary and material in the hearings conducted by the board.

Section 4. The administrator shall assist the members of the board in the giving and supervising of examinations.

History

RELATES TO: KRS 317.440, 317.460
STATUTORY AUTHORITY: KRS 317.470
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation sets forth the duties and powers of the administrator.
History: KBB:Admr-1; 1 Ky.R. 723; eff. 5-14-1975; Crt eff. 3-12-2019; Crt eff. 1-21-2026.

201 KAR 14:015 Retaking of examination {#sec-201-kar-14-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:015}

Section 1. Apprentice License Examination Requirements.

(1) An applicant shall pass each portion of the apprentice examination with a score of at least seventy-five (75) percent.

(2)

(a) Except as provided by paragraphs (b) and (c) of this subsection, an applicant who does not successfully complete one (1) portion of the apprentice exam may reapply to sit for the failed portion only.

(b) A passing score on one (1) portion of the apprentice exam shall only be used for a period of one (1) year to exempt the applicant from retaking that portion of the examination.

(c)

If an applicant has failed one (1) or more portions of the apprentice examination two (2) consecutive times, the applicant shall be required to:

a. Return to a barber school licensed by the board for eighty (80) additional hours of training; and

b. Retake the entire examination.

Each unsuccessful attempt to pass the examination thereafter shall require the applicant to complete the conditions delineated in subparagraph 1. of this paragraph.

Section 2. An examination fee shall be required for each examination, in accordance with 201 KAR 14:180.

Section 3. Instructor License Examination Requirements.

(1) An applicant who has failed one (1) or more portions of the instructor exam may reapply to sit for:

(a) The entire exam; or

(b) The failed portion or portions only.

(2) A passing score on one (1) or more portions of the instructor exam shall only be used for a period of one (1) year to exempt the applicant from retaking that portion or portions of the examination.

History

RELATES TO: KRS 317.440, 317.450, 317.570
STATUTORY AUTHORITY: KRS 317.440(1)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1)(f) requires the Board of Barbering to promulgate administrative regulations pertaining to exam requirements. This administrative regulation establishes the requirements for an examinee who fails one (1) or more portions of the apprentice examination and wishes to retake the exam.
History: KBB:Appr.Exam.1; 1 Ky.R. 723; eff. 6-11-1975; 10 Ky.R. 892; 1067; eff. 2-1-1984; 38 Ky.R. 86; 508; eff. 10-7-2011; 40 Ky.R. 1856; 2412; eff. 6-6-2014; 42 Ky.R. 2920; 43 Ky.R. 194; eff. 9-2-2016; 48 Ky.R. 1830; eff. 7-5-2022.

201 KAR 14:030 Five (5) year expiration of license {#sec-201-kar-14-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:030}

Section 1. If a license has been expired for more than five (5) years, an applicant for relicensure shall meet the requirements established in this section.

(1) A barber shall pass both the practical and written examination.

(2) To regain an apprentice license, an apprentice barber shall:

(a) Complete 150 additional hours in training in a barber school licensed by the board; and

(b) Pass the practical and written examinations.

(3) An instructor shall pass both practical and written examinations, in accordance with 201 KAR 14:115.

History

RELATES TO: KRS 317.410, 317.450
STATUTORY AUTHORITY: KRS 317.440, 317.450
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.450 requires the Board of Barbering to license barbers, authorizes the board to renew a license that has not been expired more than five (5) years, and requires an applicant failing to renew a license within five (5) years of its expiration to comply with the requirements for relicensure established by the board. This administrative regulation establishes the relicensing requirements for a barber whose license has been expired over five (5) years.
History: KBB:Exp.Lic; 1 Ky.R. 724; eff. 5-14-1975; Am. 10 Ky.R. 893; eff. 2-1-1984; 40 Ky.R. 1857; 2413; eff. 6-6-2014; Ky.R. 2922; 43 Ky.R.195; eff. 9-2-2016; 48 Ky.R. 1831; eff. 7-5-2022.

201 KAR 14:035 Public identification of and access to barber shops and schools {#sec-201-kar-14-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:035}

Section 1. The main entrance to each barber shop, barber school, or barber college shall display a sign indicating that it is a barber shop, barber school or barber college, and each sign shall be clearly visible.

Section 2. Any licensed barber shop located in a residence shall have an outside entrance separate from the residence entrance.

History

RELATES TO: KRS 317.410, 317.420, 317.450
STATUTORY AUTHORITY: KRS 317.410, 317.420, 317.430, 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440 requires the board to promulgate administrative regulations governing the location and housing of barber shops or schools. This administrative regulation establishes public identification for shops and schools and outside entrance.
History: KBB:Iden-1; 1 Ky.R. 724; eff. 5-14-1975; 47 Ky.R. 758, 1371; eff. 4-6-2021.

201 KAR 14:040 Inspection of shops and schools {#sec-201-kar-14-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:040}

Section 1. A board member or authorized agent may inspect a barber shop, manicuring establishment located within a barber shop, or a barber school to determine if the licensee is in compliance with KRS Chapter 317 and 201 KAR Chapter 14.

Section 2. A barber shop or school shall conspicuously display:

(1) The license and picture of each barber and independent contract owner engaged in the practice of barbering at that shop or school at the station where the barber or student is working;

(2) The license for the barber shop or school;

(3) The most recent inspection sheet furnished by the board for the barber shop, independent contract owner, or school. The inspection sheet shall include the telephone number and address for a consumer to use to file a complaint against a licensee; and

(4) The permit card and current picture taken within the last twelve (12) months shall be displayed at each student workstation in a school of barbering.

Section 3. The owner and manager of each establishment licensed by the board shall be responsible for compliance with KRS Chapter 317 and 201 KAR Chapter 14. This section shall not apply to violations committed by an independent contract owner, in accordance with KRS 317.595(2).

History

RELATES TO: KRS 317.440(1), 317.450(2), 317.590, 317.595(2)
STATUTORY AUTHORITY: KRS 317.440(1), 317.450(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1) requires the Board of Barbering to promulgate administrative regulations governing the location and housing of barber shops or schools and the quantity and quality of equipment, supplies, materials, records, and furnishings required in barber shops or schools. KRS 317.450(2) requires the board to refuse to issue a license to a barber who has failed to comply with the provisions of KRS Chapter 317 and 201 KAR Chapter 14. KRS 317.590 authorizes disciplinary action for violations of KRS Chapter 317 and 201 KAR Chapter 14. This administrative regulation establishes requirements relating to the inspection of a barber shop or school and the information to be displayed at a barber shop or school.
History: KBB:Insp-1; 1 Ky.R. 724; eff. 5-14-1975; Am. 10 Ky.R. 893; eff. 2-1-1984; 25 Ky.R. 2428; 2836; eff. 6-16-1999; 40 Ky.R. 1858; 2413; eff. 6-6-2014; Cert eff. 6-3-2021; 48 Ky.R. 1883, 2561; eff. 7-5-2022.

201 KAR 14:050 Apprentice license; qualifications {#sec-201-kar-14-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:050}

Section 1. An applicant for a license as an apprentice barber shall meet the qualifications listed in KRS 317.450(1)(a).

Section 2. A person holding a Kentucky cosmetology license shall be given credit for 750 hours toward a prescribed course of instruction at a school of barbering approved in accordance with 201 KAR 14:095.

Section 3.

(1) An apprentice licensee shall not apply for a barber license until the apprentice period required by KRS 317.450 has been served.

(2) The board may, in individual cases involving medical disability, illness, or undue hardship as determined by the board, grant an extension of the apprentice period.

(a)

A written request for an extension of time involving medical disability, illness, or undue hardship shall be submitted by an applicant.
A request involving a medical disability or illness shall be accompanied by a verifying document signed by a licensed physician.

(b) An extension of the apprentice period shall be granted by the board for a period of time not to exceed six (6) months, upon approval of the request and payment of the initial licensing fee for an apprentice license, as established in 201 KAR 14:180, Section 1(1).

(c) If the medical disability, illness, or undue hardship upon which an extension has been granted continues beyond the period of the extension, the applicant shall reapply for an extension.

Section 4. Continuous service consists of working with an apprentice license in a Kentucky licensed barber shop for an average of twenty (20) hours or more per week for six (6) continuous months.

Section 5. The applicant shall submit the Initial License Form with the initial licensing fee for a barber license, as established in 201 KAR 14:180, Section 1(2).

Section 6. Incorporation by Reference.

(1) "Initial License Form", February 2022, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Barbering, 312 Whittington Parkway, Suite 110, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material is also available on the board's Web site at https://barbering.ky.gov/.

History

RELATES TO: KRS 317.450(1)(a)-(d)
STATUTORY AUTHORITY: KRS 317.440(1)(d), 317.450(1)(a)-(d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.450(1)(a)-(d) requires the Board of Barbering to issue apprentice licenses before issuing a license to practice barbering. KRS 317.440(1)(d) requires the board to promulgate administrative regulations establishing qualifications of applicants to or enrollees in barber schools. This administrative regulation establishes the process for obtaining apprentice and barber licenses.
History: KBB:Lic.Appren-1; 1 Ky.R. 725; eff. 5-14-1975; 2 Ky.R. 123; eff. 10-8-1975; 10 Ky.R. 893; eff. 2-1-1984; 34 Ky.R. 332; 708; eff. 11-2-2007; 40 Ky.R. 1859; 2413; eff. 6-6-2014; Cert eff. 6-3-2021; 48 Ky.R. 1834, 2561; eff. 7-5-2022.

201 KAR 14:060 Licensing requirements for qualified nonresidents {#sec-201-kar-14-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:060}

Section 1.

(1) Any person who is at least eighteen (18) years of age and of good moral character and temperate habits, who has a current license or certificate of registration as a practicing barber of another state or other board recognizing authority, which has substantially the same requirements for licensing or registering barbers as are required of KRS Chapter 317 and 201 KAR Chapter 14, shall, upon payment of the fee required by 201 KAR 14:180, be granted permission to take an examination to determine his fitness to receive a license to practice barbering.

(2) When determining moral character, the board shall consider factors, such as:

(a) If the applicant has been convicted of a crime;

(b) The age of the applicant at the time any criminal conviction was entered;

(d) The relationship of any crime conviction to the ability of the applicant to properly represent the barbering profession;

(e) Recommendations from barber instructors, licensed barbers, or past or present employers who are not related to the applicant;

(f) Relevant school records; or

(g) Any other factor that is reasonably related to the applicant's ability to fulfill the duties of a professional barber.

Section 2. If an applicant is coming from a state or other board recognizing authority without substantially the same requirements, the applicant shall have been a registered barber and worked for three (3) years, in accordance with KRS 317.450(1)(e).

History

RELATES TO: KRS 317.450
STATUTORY AUTHORITY: KRS 317.440, 317.450
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.450(1)(e) authorizes the board to issue a license by endorsement to a nonresident of Kentucky. This administrative regulation establishes the licensing requirements for qualified nonresidents.
History: KBB:Lic:Non-Res-1; 1 Ky.R. 725; Am. 1224; eff. 5-14-1975; 10 Ky.R. 893; eff. 2-1-1984; 40 Ky.R. 1861; 2414; eff. 6-6-2014 Cert eff. 6-3-2021.

201 KAR 14:065 Place of business requirements {#sec-201-kar-14-065 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:065}

Section 1. Every apprentice licensee, every licensed barber, and every licensed instructor of barbering regulated by KRS Chapter 317 and 201 KAR Chapter 14 shall practice in a licensed barber shop or licensed barber school.

History

RELATES TO: KRS 317.440, 317.450
STATUTORY AUTHORITY: KRS 317.410, 317.420, 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1) requires the Board of Barbering to promulgate administrative regulations establishing requirements for barber shops or schools. This administrative regulation establishes the place of business requirements for licensees.
History: KBB:Lic:PL:Bus-1; 1 Ky.R. 725; Am. 1347; eff. 6-11-1975; 10 Ky.R. 894; eff. 2-1-1984; 40 Ky.R. 1862; 2415; eff. 6-6-2014 Cert eff. 6-3-2021; 48 Ky.R. 1835; eff. 7-5-2022.

201 KAR 14:070 Shop license applications {#sec-201-kar-14-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:070}

Section 1. All new barber shops and all barber shops moving to new locations shall comply with all city, county, and state health regulations and shall include a signature from the state plumbing inspector on an application supplied by the barber board.

Section 2. Barber shop licenses are not transferable from one (1) location to another or one (1) person to another. A new license shall be obtained.

History

RELATES TO: KRS 317.450(3)
STATUTORY AUTHORITY: KRS 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440 requires the board to promulgate administrative regulations governing the location and housing of barber shops or schools. This administrative regulation establishes the requirements for the application for shop licenses.
History: KBB:Lic.Shop-1; 1 Ky.R. 725; eff. 5-14-1975; 10 Ky.R. 894; eff. 2-1-1984; 47 Ky.R. 760, 1371; eff. 4-6-2021.

201 KAR 14:085 Sanitation requirements {#sec-201-kar-14-085 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:085}

Section 1. Any barber, apprentice licensee, student barber, manicurist, or instructor of barbering suffering from any contagious diseases or conditions shall not be allowed to practice in this state, in accordance with KRS 317.580. A person suffering from a contagious disease or condition shall not be rendered service by any barber, apprentice licensee, student barber, manicurist, or instructor of barbering in the state.

Section 2. General Sanitation. The entire licensed facility, barber shops, and barber schools, including all equipment, employees, and implements, shall be continually maintained in a sanitary manner, in accordance with KRS 317.580 and this administrative regulation.

Section 3. Methods of Sanitizing. All commercially prepared sanitizing agents shall be used in accordance with the manufacturer's instructions.

Section 4. Disinfection of Implements and Spills; Blood and Body Fluids.

(1) Implements and surfaces shall be thoroughly cleaned prior to disinfection because disinfectants are inactivated and ineffective if visibly contaminated with debris, hair, dirt, or particulates or if heavily soiled.

(a) Disinfectants shall be prepared fresh daily or more often if solution becomes diluted or soiled.

(b) Contact Time: A surface shall be left wet or completely immersed for ten (10) minutes or longer, as required by the manufacturer, for disinfecting against HIV, HBV, and all other viruses, bacteria, and fungi.

(2) All used implements shall first be cleaned of visible dirt, debris, or bodily fluids with warm soapy, detergent water and then disinfected by completely immersing in a disinfectant authorized by this subsection.

(a) All nonporous implements that come into contact with intact skin shall be thoroughly cleaned before immersion in a disinfectant authorized by this paragraph. An appropriate disinfectant for objects that come into contact with intact skin shall include:

An Environmental Protection Agency registered, hospital-grade bactericidal (especially pseudomonacidal), virucidal, and fungicidal that is mixed and used according to the manufacturer's directions; or
Household bleach in a ten (10) percent solution for ten (10) minutes.

(b) All nonporous implements which have come in contact with blood or body fluids shall be thoroughly cleaned before immersion in a disinfectant authorized by this paragraph. An appropriate disinfectant shall include:

Environmental Protection Agency registered tuberculocides or products registered against HIV/HBV; or
Household bleach in a ten (10) percent solution for ten (10) minutes.

(c) For personal protection against blood-borne pathogens, cleanup shall always be done wearing protective gloves, gowns, and eye protection for large spills.

(d) All implements, which have come in contact with blood or body fluids, shall be disinfected by complete immersion in a disinfectant in accordance with this section.

(3) Any nonporous surface that comes in contact with blood or body fluids shall first be cleaned with warm soapy, detergent water, and then a disinfectant shall be used in accordance with this subsection.

(a) An appropriate disinfectant for surfaces which have come in contact with blood or body fluids shall include:

Environmental Protection Agency registered tuberculocides or products registered against HIV/HBV; or
Household bleach in a ten (10) percent solution for ten (10) minutes.

(b) For personal protection against blood-borne pathogens, cleanup shall always be done wearing protective gloves, gowns, and eye protection for large spills.

(4) Household bleach shall be an effective disinfectant for all purposes in a shop or school, with the following considerations:

(a) Bleach solutions shall be mixed daily and used in a ten (10) to one (1) solution, nine (9) parts tap water and one (1) part bleach.

(b) Bleach shall be kept in a closed covered container and not exposed to sunlight.

May produce eye irritation or mouth, esophageal, and gastric burns; and
Is corrosive to metals.

(d) Bleach shall not be placed or stored near other chemicals used in salons, such as acrylic monomers, alcohol, other disinfecting products, or near flame because bleach vapors can react with vapors from other chemicals.

(e) Used or soiled bleach solution shall be discarded every day by pouring the solution down a sink basin or toilet bowl.

(5) A bottle container other than the original manufacturer's container used for application of authorized disinfectant shall be properly labeled as to contents, percentage solution, and date mixed.

(6) Cleanup items from minor cuts shall be double bagged or placed in biohazard containers. Licensees shall consult with the local health department for directions about disposal.

(7) All Food and Drug Administration designated "medical devices" shall only be disinfected by Environmental Protection Agency approved disinfectants, which are indicated by their registration number on the product label. The manufacturer's directions for use shall always be followed.

Section 5. Shampoo Bowls. All shampoo bowls, shampoo boards, cups, or similar items shall be sanitized, in accordance with this administrative regulation, after each use.

Section 6. Proper Protection of Neck.

(1) A shampoo apron, hair cloth, or similar article shall not be placed directly against the neck of the patron, and these items shall be kept from direct contact with the patron by means of a paper neck band or clean towel.

(2) A neck band of paper or cloth shall not be used more than once.

(3) A towel shall not be used more than once without proper laundering, in accordance with Section 12 of this administrative regulation.

Section 7. Use of Creams.

(1) All creams and other semi-solid substances shall be removed from containers with a clean, sanitized spatula.

(2) Spatulas made of a washable, nonabsorbent material shall be sanitized before being used again.

(3) Spatulas made of wood shall be discarded after one (1) use.

Section 8. Use of Styptics. Styptics to arrest bleeding shall be used only in liquid or powder form and shall be applied by clean gauze, cotton, or any other sanitary item.

Section 9. Special Solution Containers. Product containers shall be used to prevent the contamination of unused solution.

Section 10. Use of Powder. All powder shall be dispensed from a shaker or similar receptacle and shall be applied with disposable puffs or cotton pledgets, or other disposable applicators.

Section 11. Walls and Floors. Walls, floors, and fixtures shall be sanitary and kept clean at all times.

Section 12. Proper Laundering Methods.

(1) All cloth towels, robes, and similar items shall be laundered in a washing machine with laundry detergent and chlorine bleach used according to the manufacturer's directions for sanitation purposes.

(2) A closed, dustproof cabinet shall be provided for clean towels and linen, and a closed, dustproof hamper or receptacle shall be provided for all soiled towels and linens.

Section 13. Personal Hygiene.

(1) Any barber, apprentice barber, student barber, manicurist, or instructor of barbering shall wash his or her hands in antibacterial soap and water before beginning work on any and each patron.

(2) All licensees shall wear a clean, washable outer garment while serving a patron in a shop.

(3) Instruments or implements shall not be carried or stored in pockets, belts, aprons, or smocks.

Section 14. Equipment Sanitation.

(1) All equipment used in a shop shall be maintained in a sanitary manner, in accordance with this section.

(2) Razors, scissors, tweezers, combs, rubber disc, parts of vibrators, clippers, trimmers, neck dusters, and any appliances or implements that come in contact with the head, face, neck, and hands shall be sanitized in accordance with the manufacturer's instructions, KRS 317.580, and this administrative regulation and placed in a dry sanitizer such as a properly functioning cabinet sanitizer (light box, UV light) to maintain the sanitation between uses.

(3)

(a) Electrical equipment that provides circulating, whirlpool, or vacuum effects (for example, a facial machine, pedicure station, and nail drill) shall be:

Cleaned and disinfected after each use; and
Flushed, cleaned, and disinfected on a bi-weekly schedule.

(b) A record of this cleaning shall be kept in a log and made available upon any shop inspection.

(c) A bi-weekly cleaning shall include the use of a hospital grade disinfectant or ten (10) percent bleach solution that is circulated through the machine for the minimum time recommended by the manufacturer.

(4)

(a) Heated electrical equipment such as thermal irons, pressing combs, and stoves shall be considered sanitized by the heat source.

(b) Unheated parts of heated electrical equipment shall be cleaned and disinfected according to manufacturers' recommendations.

(c) Any other electrical equipment, such as clippers and attachments, shall be cleaned and disinfected after each use using the following method:

Removal of hair and all foreign matter from the equipment; and
Complete saturation of clipper blade and attachment with an EPA-registered high-level disinfectant solution, spray, or foam used according to the manufacturer's instructions.

Section 15.

(1) Rooms used for multiple purposes, such as massage, shall be permissible if all instruments, implements, and supplies are properly sanitized, in accordance with this administrative regulation.

(2) Any barber, apprentice barber, student barber, or instructor of barbering engaged in the practice of barbering work of any kind shall have a minimum of six (6) combs at his or her disposal. Each work station shall have a bottle of alcohol (ethyl alcohol seventy (70) percent) and cotton of the same sanitary condition for the purpose of sanitizing scissors, razors, clippers, and all instruments before and after each use on a patron.

(3) At least one (1) covered waste receptacle for every two (2) work stations shall be provided in each barber shop and barber school for the deposit of soiled towels. An additional covered receptacle for every two (2) work stations shall be provided for the disposal of used paper products.

(4) Laundry work in a barber shop and school shall be prohibited in the same room where any barber service is rendered. Drying of towels or linens on radiators or on lines in a barber shop and barber school shall be prohibited.

(5) The use of the following items shall be prohibited in barber shops and barber schools:

(a) Non-disposable powder puffs;

(b) Sponges;

(d) Styptic pencils.

History

RELATES TO: KRS 317.410, 317.440, 317.580
STATUTORY AUTHORITY: KRS 317.410, 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1)(b) requires the Board of Barbering to promulgate administrative regulations governing the quantity and quality of equipment, supplies, materials, records, and furnishings required in barber shops or schools. This administrative regulation establishes the sanitation requirements.
History: KBB:San-1; 1 Ky.R. 726; eff. 6-24-75; Am. 10 Ky.R. 895; eff. 2-1-1984; 40 Ky.R. 1863; 41 Ky.R. 13; eff. 8-1-2014 Cert eff. 6-3-2021; 48 Ky.R. 1837, 2562; eff. 7-5-2022.

201 KAR 14:095 Accredited school {#sec-201-kar-14-095 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:095}

Section 1. Any school in Kentucky that complies with the rules and administrative regulations set forth herein, in addition to all Kentucky laws, shall upon the certification and approval of this board be deemed an accredited barber school.

Section 2. Barber school licenses are not transferrable from one (1) location to another or from one (1) person to another. A new license shall be obtained.

History

RELATES TO: KRS 317.440
STATUTORY AUTHORITY: KRS 317.410, 317.430, 317.440, 317.450
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.450 requires the board to issue a license to operate a school of barbering to any person, firm, or corporation who or which has complied with its statutory requirements. This administrative regulation establishes the requirements for an accredited barber school.
History: KBB:Sch:Acrd-1; 1 Ky.R. 728; eff. 5-14-1975; 47 Ky.R. 761, 1371; eff. 4-6-2021.

201 KAR 14:100 School advertising {#sec-201-kar-14-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:100}

Section 1. Schools shall not advertise by any means that are knowingly false or by the use of deceptive statements or false promises which act as inducements in an effort to get students to enter the schools.

Section 2. Student equipment and books may be supplied by the students, depending upon each individual school, but school advertisements shall show what be furnished to the students.

Section 3. A school of barbering shall display in the reception room, work room, and on the mirror of each work station, a sign to read "School of Barbering - Work Done Exclusively by Students." The letters on this sign shall be large enough to be read from the opposite end of the room.

Section 4. A school shall not advertise professional work or guarantee students' work.

Section 5. A school may advertise under the description of a school operating for teaching purposes only.

Section 6. Schools shall not advertise positions or guarantee future employment to students.

History

RELATES TO: KRS 317.410, 317.440, 317.450
STATUTORY AUTHORITY: KRS 317.420, 317.430, 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.420 requires the board to promulgate administrative regulations to protect the public against misrepresentation, deceit, or fraud in the practice or teaching of barbering. This administrative regulation establishes the requirements for school advertising.
History: KBB:Sch:Adver-1; 1 Ky.R. 728; eff. 5-14-1975; 17 Ky.R. 1139; eff. 11-29-1990; 47 Ky.R. 762, 1371; eff. 4-6-2021.

201 KAR 14:105 Barbering school enrollment and postgraduate requirements {#sec-201-kar-14-105 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:105}

Section 1. Enrollment Application.

(1) Each student applicant shall complete and submit to the barbering school an Enrollment Application for Barber School, along with the required student permit card fee, as established in 201 KAR 14:180, Section 5(4).

(2) Each student applicant shall also submit to the barbering school:

(a) A copy of the applicant's high school:

Certificate;
Diploma; or
Transcript; or

(b) A copy of the applicant's General Educational Development (GED) certificate.

(3) A prospective student shall not attend a barber school until the student has complied with subsections (1) and (2) of this section and the board has notified the school, pursuant to subsection (4)(c)2.a. of this section, that the board is in receipt of the completed and correct enrollment form and documentation.

(4)

(a) The barbering school shall submit to the board the:

Student's enrollment application, the required student permit card fee, as established in 201 KAR 14:180, Section 5(4); and
Documentation required by subsection (2) of this section.

(b) The barbering school shall submit the material required by paragraph (a) of this subsection to the board by:

Scanning the application into an electronic format and emailing the application to the board;
Fax;
Post; or
Hand delivery.

(c)

Upon the first business day that the board receives from the barbering school the material required by paragraph (a) of this subsection and the required student permit card fee, the board shall print, if the submission was in electronic format, and shall date stamp the material.

a. Within two (2) business days of receiving the documentation from the barbering school, the board shall contact the barbering school by phone, fax, or email to alert the school that the student is enrolled and may begin attending.

b. The board shall follow up with an official letter, sent to the barbering school and the student applicant, which shall state the student's official enrollment eligibility date.

Section 2. Postgraduate Requirements.

(1) A barbering school shall enroll a student who requests postgraduate coursework if the student has complied with:

(a) Section 1 of this administrative regulation;

(b) 201 KAR Chapter 14; and

(2) A barbering school shall not approve postgraduate course credits for less than 150 hours, except in accordance with 201 KAR 14:015 if the applicant has failed the licensing examination twice consecutively.

Section 3. A person who is an owner of a barber school or who can make policy for the school shall not be enrolled in that barber school as a student.

Section 4. Incorporation by Reference.

(1) "Enrollment Application for Barber School," February 2022, is incorporated by reference.

(3) This material is also available on the board's Web site at https://barbering.ky.gov/licensure/Pages/Forms.aspx.

History

RELATES TO: KRS 317.410, 317.440, 317.450
STATUTORY AUTHORITY: KRS 317.430, 317.440, 317.450
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.430(1) requires the Kentucky Board of Barbering to regulate barber schools and the teaching of barbering. KRS 317.440(1) requires the Kentucky Board of Barbering to promulgate administrative regulations governing applicants for barbering licenses. KRS 317.450(1)(b) requires the Kentucky Board of Barbering to ensure that a license to practice barbering shall be issued only if an applicant has acted as a licensed apprentice to a barber for at least six (6), but not more than nine (9) months. KRS 317.450(1)(a)3. requires the Kentucky Board of Barbering to ensure that a licensed apprentice to a barber has graduated high school or possesses a General Educational Development (GED) certificate or equivalent. This administrative regulation establishes requirements for barbering school enrollment and postgraduate coursework.
History: KBB:Sch:Appl-1-1: 1 Ky.R. 728; 1348; eff. 6-11-1975; 10 Ky.R. 899; eff. 2-1-1984; 36 Ky.R. 437; 779; eff. 11-6-2009; 39 Ky.R. 821; 1112; eff. 1-4-2013; 47 Ky.R. 764, 1372; eff. 4-6-2021; 48 Ky.R. 1839, 2564; eff. 7-5-2022.

201 KAR 14:110 School equipment; plant layout {#sec-201-kar-14-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:110}

Section 1. Each barber school shall send the board a certificate from the zoning commission and a certificate from a licensed electrician or electrical firm showing the electrical equipment to be properly installed, properly grounded, and in safe operating condition.

Section 2. Barber schools shall be completely equipped with standard tonics, dyes, tints, bleaches, shampoos, cosmetics, permanents, etc., all electrical devices and other equipment for the proper instruction of students, as well as with equipment and supplies for sanitation and hygiene.

Section 3. Each barber school shall be located as entirely separate and without a connection to any beauty or barber shop or any other place of business.

Section 4. A barber school shall not be approved by this board having a space less than six (6) feet square for each student enrolled therein.

Section 5. All accredited barber schools shall have a suitable and separate room to be used for demonstration and study. The room shall have necessary charts and equipment to carry out the curriculum, including:

(1) Sufficient charts, blackboards, and whiteboards, etc., to teach all subjects of barbering; and

(2) Sufficient classroom chairs with armrests, or desks, that will enable the student to take notes.

Section 6. Every barber school shall maintain a separate lavatory and toilet for male and female students.

Section 7. All barber schools shall comply with city and state building codes and zoning com-mission codes. The board shall be notified upon any changes made to the physical layout of a school.

Section 8. Lockers, dressing rooms, and restrooms shall be provided.

Section 9. Booths and partitions in the work department shall be sufficiently low to permit the observation of students while they are working.

Section 10. A school of barbering shall not be approved by the board having less than the following equipment:

(1)

(a) Shampoo bowls with hot and cold running water to be located in the room where barbering is done; and

(b) One (1) shampoo bowl per every ten (10) students enrolled;

(2) Dryers;

(3) Hair cutting chair;

(4) Wall plates;

(5) Covered waste containers;

(6) Individual paper towels; and

(7) Containers for the use of students.

Section 11.

(1) Each barbering school shall furnish a supply or dispensing room in which each student may obtain actual experience for a period of one (1) to three (3) weeks, as indicated by the course of instruction. The student will be directly responsible to the owner for any damage incurred due to the student's negligence or willful destruction while working in the supply or dispensing room.

(2) Supply or dispensing and sterilization room equipment required for a barbering school, including:

(a) Supply of clean linens, neck cloths, etc.;

(b) Lavatory for washing all combs, instruments, containers, etc.;

(d) Wet sterilizer;

(e) Dry sterilizer;

(f) Manicuring sterilizer;

(g) Soap dispenser;

(h) Covered waste container;

(i) Cabinet for supply of clean linens;

(j) Covered containers for soiled linens;

(k) Cabinets for accessories;

(l) Paper towel dispenser or clean towel cabinet for every two (2) stations;

(m) Manicuring cups for preparation of solution from stock supplies; and

(n) Various solutions and preparations used.

Section 12. A barbering school licensed by the board prior to the effective date of this administrative regulation shall not be required to comply with the requirements of Sections 10(1)(a), 10(1)(b), and 11(2)(l) of this administrative regulation.

History

RELATES TO: KRS 317.410, 317.440
STATUTORY AUTHORITY: KRS 317.430, 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1)(b) requires the board to promulgate an administrative regulation regarding the quantity and quality of equipment, supplies, materials, records, and furnishings required in barber shops or schools. This administrative regulation establishes the barber school equipment and plant layout requirements.
History: KBB:Sch:Eqmt-1; 1 Ky.R. 728; eff. 5-14-1975; 10 Ky.R. 899; eff. 2-1-1984; 42 Ky.R. 2926; 43 Ky.R. 196; eff. 9-2-2016; 48 Ky.R. 1841, 2564; eff. 7-5-2022.

201 KAR 14:115 Examinations; school and board {#sec-201-kar-14-115 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:115}

Section 1.

(1)

(a) The requirements in this administrative regulation shall apply to all examinations given by the board, unless stated otherwise.

(b) An apprentice license shall be required to take the barber's examination.

(2) A student from a barber school shall not take any of the board's examinations:

(a) Without proof of a high school diploma, transcript, or GED certificate; and

(b) Unless the Apprentice Barber Application for Examination, Barber's Application for Examination, or Instructor's Application for Examination has reached the board's headquarters on the deadline date published by the board on its Web site at https://barbering.ky.gov/bdinfo/Pages/default.aspx.

(3)

(a) An applicant for a board examination shall complete the appropriate notarized application form by submitting either the Apprentice Barber Application for Examination, Barber's Application for Examination, or Instructor's Application for Examination.

(b) The applicant shall submit with the examination application:

The examination fee as required by 201 KAR 14:180, Section 2; and
A two (2) inch by two (2) inch passport photo.

(4) The deadline for applications is at noon (Eastern time) on the deadline date published by the board. Applications received after the deadline will have examinations scheduled for the applicants for the following month.

Section 2. The board's examination shall be given only to students who:

(1) Have been notified to appear for the examination;

(2) Are wearing a clean, washable uniform; and

(3) Have instruments to be used in the giving of their demonstrations.

Section 3. The board's examination shall include:

(1) A written examination that covers all subjects set forth in the administrative regulations relating to barbers, 201 KAR Chapter 14; and

(2) A practical demonstration on a living model.

Section 4. An applicant shall pass each portion, practice and theory, of the apprentice examination with a seventy-five (75) percent passing grade on the board's examination.

Section 5. An applicant for an instructor's license shall score a general average of eighty (80) percent on the board's examination.

Section 6. A student who works in a barber shop prior to passing the apprentice examination given by the board shall not be allowed to take the apprentice examination until first:

(1) Paying a fine, as defined in KRS 317.590, in keeping with the seriousness of the violation and the facts of the case; and

(2) Meeting all the requirements of KRS Chapter 317 and 201 KAR Chapter 14.

Section 7. The examination schedule shall be conspicuously displayed on a bulletin board provided by the school.

Section 8. Written and oral tests shall be given at intervals by a school to determine the status of the student.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Apprentice Barber Application for Examination," February 2022;

(b) "Barber's Application for Examination," February 2022; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Barbering, 312 Whittington Pkwy. Suite 110, Louisville, Kentucky 40222, Monday through Friday, 8:00 a.m. to 4:30 p.m.

(3) This material is also available on the board's Web site at https://barbering.ky.gov/bdinfo/Pages/default.aspx.

History

RELATES TO: KRS 317.410, 317.440
STATUTORY AUTHORITY: KRS 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1)(f) requires the board to promulgate an administrative regulation to establish examination requirements. This administrative regulation establishes examination applications, deadlines, and sets forth scores for passing.
History: KBB:Sch:Exam-1; 1 Ky.R. 729; eff. 5-14-1975; 3 Ky.R. 324; eff. 11-3-1976; 10 Ky.R. 900; eff. 2-1-1984; 40 Ky.R. 1866; 2688; eff. 7-7-2014; Cert eff. 6-3-2021; 48 Ky.R. 1843, 2565; eff. 7-5-2022.

201 KAR 14:125 Instructor requirements {#sec-201-kar-14-125 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:125}

Section 1.

(1) An instructor student shall achieve a passing score on the written instructor examination.

(2) A passing score shall be a minimum score of eighty (80) percent on the written examination required under subsection (1) of this section, and the oral and practical examinations required under Section 2(1)(b) and (c) of this administrative regulation.

Section 2.

(1) An instructor student shall satisfy the following before the second renewal date as established in KRS 317.450(9)(a):

(a) Complete 400 hours of instructional experience in a barber school licensed by the board, under the supervision of a board-licensed instructor with a minimum of three (3) years of experience;

(b) Achieve a passing score on the oral instructor examination required by the board; and

(2) An instructor student may request a one (1) time extension of time to complete the requirements of subsection (1) of this section. The extension may be granted by the board to the next renewal date. An extension of time request shall be filed, in writing, with the board no later than July 31 following the second renewal date.

(3) A teaching license shall not be renewed if an instructor student fails to achieve a passing score on the oral instructor examination and practical instructor examination by the second renewal period or upon the expiration of the extension of time.

(4) An individual whose teaching license is not renewed for failing to achieve a passing score on the oral instructor examination and practical instructor examination within the time period set out in subsection (3) of this section may reapply for an instructor license only after achieving a passing score on the oral instructor examination and practical instructor examination.

Section 3.

(1) An instructor shall be present in the classroom of a school during the one (1) hour of classroom instruction required, and in the study of a school during study hours for the practical learning aspects, and will be required to supervise all practice student work.

(2) An instructor student shall be under the face-to-face, direct supervision of an instructor while providing services to a client.

Section 4. A licensed barber shall not render services in a school, and an instructor student shall render services only incident to and for the purpose of instruction.

Section 5. Both instructor and instructor student in an accredited school shall devote his or her entire time during school or class hours to that of instructing the students and shall not apply his or her time to that of private or public practice for compensation during school hours or permit students to instruct or teach other students in the absence of an instructor or instructor student.

Section 6. A properly qualified, licensed barber may demonstrate to the students new processes, new preparations, and new appliances in the presence of a licensed instructor. A school shall not permit more than four (4) such demonstrations in any calendar year.

Section 7. All services rendered in a school on patrons shall be done by students only. An instructor shall be allowed to teach and aid students in performing the various services. An instructor student or instructor may finish up the patrons after the students have completed their work.

Section 8. An instructor student and instructor in attendance shall wear a clean, washable outer garment such as a coat or smock.

Section 9. A school shall require an instructor student and instructor to wear an insignia or badge indicating that he or she is an instructor.

Section 10. An instructor student who has not completed 400 hours of instructional experience in a barber school licensed by the board under the supervision of a board-licensed instructor with a minimum of three (3) years of experience shall document the hours of instructional experience. The documentation shall include the specific dates, times during the day, and the subject matter being instructed. The instructional experience documentation shall be signed by the teacher obtaining the instructional experience, the owner of the barber school where the instructional experience was obtained, and the board-licensed instructor with a minimum of three (3) years of experience. This documentation shall be filed with the board prior to taking the examinations required under Section 2(1)(b) and (c) of this administrative regulation.

Section 11. The instructor student obtaining the 400 hours of instructional experience and the board-licensed instructor with a minimum of three (3) years of experience shall notify the board, in writing, of the mentoring and the notification to the board shall be signed by both. The notification shall be submitted prior to the beginning of instructional experience.

Section 12. An instructor with a minimum of three (3) years of experience shall not mentor more than two (2) apprentice instructors who have not satisfied Section 2(1)(b) and (c) of this administrative regulation.

Section 13. An instructor who is licensed by the board prior to the effective date of this administrative regulation is exempted from the requirements of Section 1 and Section 2(1)(b) and (c) of this administrative regulation.

Section 14. An instructor student in a school shall post both a barber and barber instructor license issued by the board.

History

RELATES TO: KRS 317.440, 317.450
STATUTORY AUTHORITY: KRS 317.440, 317.450(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1)(c) requires the board to promulgate an administrative regulation regarding the qualifications of instructors of barbering. This administrative regulation establishes rules for school faculty and establishes conditions for unlicensed instructor students.
History: KBB:Sch:Fac-1; 1 Ky.R. 730; eff. 5-14-1975; 10 Ky.R. 900; eff. 2-1-1984; 43 Ky.R. 269, 566, 681; eff. 12-2-2016; 48 Ky.R.1844, 2566; eff. 7-5-2022.

201 KAR 14:130 School fees for services {#sec-201-kar-14-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:130}

Section 1. A copy of the prices shall be posted on a card in each room of the barber school where work is done on the public. Price lists shall be printed in type large enough to be read at a distance of ten (10) feet.

Section 2. Barber schools shall not be permitted to charge students any additional fees for any demonstrations, nor shall any supply house or manufacturer be permitted to charge students fees for demonstrations. Barber schools shall not charge students any fees on behalf of any individual, supply house, or manufacturer for the purpose of demonstration.

History

RELATES TO: KRS 317.410, 317.440
STATUTORY AUTHORITY: KRS 317.430, 317.440
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440 requires the board to promulgate administrative regulations to protect the public against misrepresentation, deceit, or fraud in the practice or teaching of barbering and to establish fees by administrative regulation. This administrative regulation establishes school fees and services.
History: KBB:Sch:Fees-1; 1 Ky.R. 730; eff. 5-14-1975; 10 Ky.R. 901; eff. 2-1-1984; 17 Ky.R. 1139; eff. 11-29-1990; 47 Ky.R. 765, 1372; eff. 4-6-2021.

201 KAR 14:135 School attendance hours {#sec-201-kar-14-135 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:135}

Section 1. A school of barbering shall not permit or require students to be in attendance at school more than forty-eight (48) hours in any one (1) week.

History

RELATES TO: KRS 317.440, 317.450, 317.540
STATUTORY AUTHORITY: KRS 317.440, 317.450, 317.540
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440 requires the board to promulgate administrative regulations governing the hours and courses of instruction at barber schools. This administrative regulation establishes the hours of attendance for schools of barbering.
History: KBB:Sch:HR:Reg-2; 1 Ky.R. 730; eff. 5-14-1975; 47 Ky.R. 767, 1373; eff. 4-6-2021.

201 KAR 14:140 School license {#sec-201-kar-14-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:140}

Section 1. Each person making application for a license to operate a barber school shall submit to the board satisfactory evidence as to the financial responsibility and character of the persons interested in operating the school; literature and advertising material pertaining to the school; samples of each form of record used to conduct the business of the school, including progress reports, hour sheets, and "sign-in" sheets; and a copy of the contract with the student and term or lease.

Section 2. Application for license to operate a school of barbering shall be accompanied by a floor plan of proposed premises, showing the arrangements of the classroom, the placing of equipment, the location of gas and electric outlets, and the entrance and exits.

Section 3. A license to operate a barber school shall be valid only for the person and location named in the license and is not transferable.

Section 4. Any person, establishment, firm, or corporation which accepts, directly or indirectly, compensation for teaching persons as defined in KRS 317.410 shall be classified as a barber school and shall be required to comply with all the provisions of the laws and the rules and administrative regulations of the board.

Section 5. A copy of the laws and administrative regulations concerning the licensing of barbers shall be available to all students, either in hardcopy (paper) or electronic format.

Section 6. Any barber school owner or manager found guilty by the board of willfully or fraudulently misrepresenting facts to the board concerning any information regarding his or her school, shall have their license to operate a barber school revoked as provided in KRS Chapter 317.

History

RELATES TO: KRS 317.440, 317.450, 317.540
STATUTORY AUTHORITY: KRS 317.410, 317.430, 317.440, 317.540
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440 and 317.540 require the board to promulgate administrative regulations governing barber school licensing. This administrative regulation sets forth rules for licensing a barber school.
History: KBB:Sch:Lic-1; 1 Ky.R. 730; eff. 5-14-1975; 10 Ky.R. 901; eff. 2-1-1984; 17 Ky.R. 1140; eff. 11-29-1990; 47 Ky.R. 768, 1373; eff. 4-6-2021.

201 KAR 14:150 School records {#sec-201-kar-14-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:150}

Section 1. A monthly attendance record of the entire enrollment, including full-time and part-time students and instructors, shall be kept by the schools and received at the board office not later than the tenth calendar day of each month, and this attendance record shall not be amended after the last day of the month received.

(1) A barber school shall be held fully responsible for the completeness and accuracy of the attendance record, which shall show the total hours obtained for the previous month and the total accumulated hours to date for all students and instructors.

(2)

(a) Only the hours recorded shall be submitted each month.

(b) The report shall not be:

Amended without proof of error; or
Changed after the last day of the month it was reported.

(3) A copy of the student's daily attendance record for the month of graduation through the date of a student's graduation shall be submitted with the student's certification of hours as part of the application for examination upon completion of the course.

Section 2. A copy of the monthly attendance record, as provided to the board office, shall be posted monthly on a bulletin board in the school so it is available at all times to the students, employees, board members, or agents of the board.

Section 3.

(1) Barber schools shall be required to keep a record of a student's daily work, approved and signed by the instructor of each student's practical work, work performed on clinic patrons, and classroom work.

(2) This record shall be available for inspection and shall be included:

(a) With the student's certification of hours and application for examination, upon completion of the course; or

(b) With the certification of hours:

If a student withdraws or is dismissed from school; or
Upon the closure of a school.

Section 4.

(1) A detailed record shall be kept of all enrollments, withdrawals, dismissals, and graduations.

(2) Certification of hours completed, including a copy of the student's daily attendance record for the month of graduation through the date of a student's graduation, shall be forwarded with all records of a student's daily work, to the office of the board within ten (10) calendar days of a student's withdrawal, dismissal, graduation, or closure of the barber school. Completed course hours provided to the board office shall be accurate and shall be recorded in the student's file.

(3) Completed course hours submitted to the board shall be transferable to another barbering school for no more than five (5) years.

(4) Records filed with the board shall be maintained for five (5) years, then destroyed in accordance with the board's retention schedule on file with the State Archives and Records Commission.

Section 5.

(1) All records shall be kept in a lockable file on the premises of the school and shall be available for inspection.

(2) The security of all records shall be the responsibility of the school.

(3) Records shall be locked if not in use or during nonbusiness hours.

Section 6. A school shall immediately produce a copy of any record maintained under this administrative regulation when requested by the board during hours when the school is scheduled to be open and providing services. If the request is made during hours when the school is closed and not providing services, the school shall produce a copy of any record maintained under this administrative regulation within two (2) hours of the next normal day of business.

History

RELATES TO: KRS 317.410, 317.450, 317.540
STATUTORY AUTHORITY: KRS 317.430, 317.440(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(1)(b) requires the Kentucky Board of Barbering to promulgate administrative regulations to govern quantity and quality of equipment, supplies, materials, records, and furnishings required in barber shops or schools. This administrative regulation establishes requirements for school records.
History: KBB:Sch:Rec'ds-1; 1 Ky.R. 731; eff. 5-14-1975; 10 Ky.R. 902; eff. 2-1-1984; 35 Ky.R. 1835; eff. 1-5-2009; 40 Ky.R. 1867; 2415; eff. 6-6-2014; 42 Ky.R. 2929; 43 Ky.R.197; eff. 9-2-2016; 48 Ky.R. 1846, 2567; eff. 7-5-2022.

201 KAR 14:180 Fees {#sec-201-kar-14-180 omnilex-key=us-ky-regs-official--title-201--201 KAR 14:180}

Section 1. Initial licensing fees shall be as follows:

(1) Apprentice license: fifty (50) dollars;

(2) Barber license: fifty (50) dollars;

(3) Barber school license: $500;

(4) Barber shop license: $100;

(5) Endorsement: $250;

(6) Instructor of barbering license: $100; and

(7) Independent contract owner: fifty (50) dollars.

Section 2. Examination fees shall be as follows:

(1) Apprentice examination $200;

(2) Barber examination: $200; and

(3) Instructor of barbering examination: $100 per section (three (3) sections).

Section 3. Renewal fees shall be as follows:

(1) Barber: fifty (50) dollars;

(2) Instructor of barbering: $100;

(3) Barber shop: fifty (50) dollars;

(4) Barber school: $200; and

(5) Independent contract owner: fifty (50) dollars.

Section 4. The fee for renewal of a license that has been expired for five (5) years or less shall be the lapse fee defined in KRS 317.410(9) in addition to the late fee set forth below:

(1) Barber fee: twenty-five (25) dollars;

(2) Instructor of barbering fee: fifty (50) dollars;

(3) Barber shop fee: twenty-five (25) dollars;

(4) Barber school fee: $100; and

(5) Independent contract owner: twenty-five (25) dollars.

Section 5. Miscellaneous fees shall be as follows:

(1) Duplicate license: ten (10) dollars;

(2) Certification of license: fifty (50) dollars;

(3) Demonstration permit: $100;

(4) Student permit card: fifteen (15) dollars; and

(5) Instructor student permit card: $100.

Section 6. All fees received by the Kentucky Board of Barbering shall be non-refundable.

Section 7. If a license or permit is lost, destroyed, or stolen after issuance, a duplicate license may be issued. The applicant shall submit a duplicate license fee to the board with a Duplicate License Request form to verify the loss of the license or permit. Each duplicate license or permit shall be marked "duplicate."

Section 8. Incorporation by Reference.

(1) "Duplicate License Request", May 2018, is incorporated by reference.

(3) This material is also available on the board's Web site at https://barbering.ky.gov/licensure/Pages/Forms.aspx.

History

RELATES TO: KRS 317.450
STATUTORY AUTHORITY: KRS 317.440(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 317.440(2) requires the Board of Barbering to establish fees by administrative regulation. This administrative regulation establishes fees for examinations, permits, and licenses issued by the board.
History: 25 Ky.R. 1482; eff. 2-12-1999; 26 Ky.R. 2292; 27 Ky.R. 959; eff. 10-16-2000; 33 Ky.R. 192; eff. 10-6-2006; 38 Ky.R. 1183; eff. 3-2-2012; TAm 5-28-2014; 42 Ky.R. 2930; 43 Ky.R. 198; eff. 9-2-2016; 44 Ky.R. 2566; eff. 8-24-2018; 48 Ky.R. 1848, 2567; eff. 7-5-2022.

Chapter 15 Board of Embalmers and Funeral Directors

201 KAR 15:010 Definitions {#sec-201-kar-15-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:010}

Section 1. Definitions.

(1) "Chapel" means an area where a family and the public may pay their respects to a deceased human being, or an area where funerals or memorial services can be held, and which is a separate and distinct area from the preparation room.

(2) "Direct Supervision" of an apprentice means that a Kentucky-licensed funeral director or a Kentucky-licensed embalmer, as appropriate, is:

(a) Physically present with the apprentice; and

(b) Personally observing and guiding the activities of the apprentice.

(3) "Establishment Manager" means a Kentucky-licensed embalmer or a Kentucky-licensed funeral director, who spends at least seventy five (75) percent of his or her professional time during regular business hours in the establishment for which he or she is designated as the Establishment Manager, or actively performing funeral directing or embalming services originating in, or based in, the establishment as defined in KRS316.010 and these administrative regulations.

(4) "Full-time for an apprentice" means at least forty (40) hours per week under the personal supervision of a licensed embalmer or licensed funeral director and shall not include time spent "on call".

(5) "Operating a funeral establishment" means the management of a funeral establishment including the daily activities of funeral directing, embalming, bookkeeping, and supervision of employees.

(6) "Preparation room" means an area with a minimum of 100 square feet, which is used exclusively to prepare dead human bodies for final disposition if arterial or cavity injection is a function of the establishment, and which is separate and distinct from the viewing area, chapel, or any other part of the establishment.

(7) "Supervisor" of an apprentice means the supervisor of record.

(8) "Supervisor's designee" means a Kentucky-licensed funeral director or a Kentucky-licensed embalmer, as appropriate, who has been approved by the supervisor of record to supervise an apprentice.

(9) "Viewing area" means an area in which a family and the public may pay their respects to a deceased human being.

History

RELATES TO: KRS Chapter 316
STATUTORY AUTHORITY: KRS 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.210(1) authorizes the Kentucky Board of Embalmers and Funeral Directors to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 316. This administrative regulation defines terms used in 201 KAR Chapter 15.
History: BEFD-7; 1 Ky.R. 1013; eff. 6-11-1975; Am. 15 Ky.R. 2241; 16 Ky.R. 11; eff. 7-14-1989; 20 Ky.R. 2991; eff. 7-7-1994; 22 Ky.R. 2317; 23 Ky.R. 428; eff. 8-1-1996; 46 Ky.R. 89, 1094; eff. 11-1-2019.

201 KAR 15:015 Per diem compensation of board members {#sec-201-kar-15-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:015}

Section 1. Beginning January 1, 2020, each member of the board shall receive $200 for each day spent in the discharge of his or her official duties.

History

RELATES TO: KRS 316.170, 316.210
STATUTORY AUTHORITY: KRS 316.170(5), 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.210(1) authorizes the Kentucky Board of Embalmers and Funeral Directors to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 316. KRS 316.170(5) requires the board to establish the amount of per diem compensation to be paid beginning January 1, 2015, to board members, not to exceed $200. This administrative regulation establishes the per diem amount to be received by board members.
History: 41 Ky.R. 336; Am. 1041; eff. 12-5-2014; 46 Ky.R. 90; eff. 11-1-2019.

201 KAR 15:030 Fees {#sec-201-kar-15-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:030}

Section 1.

(1) The funeral establishment license fee shall be $500.

(2) The renewal fee for a funeral establishment license shall be $500.

(3) The late fee for a funeral establishment license renewal shall be $500.

Section 2. Individual License Fees.

(1) The embalmer's license renewal fee shall be $100.

(2) The funeral director's license renewal fee shall be $100.

(3) The late fee for an embalmer's license renewal or a funeral director's license renewal shall be $100 per year.

Section 3. The fee for an annual courtesy card shall be $100 dollars.

Section 4. Apprenticeship Fees.

(1) The registration fee for an embalmer apprenticeship shall be $100.

(2) The registration fee for a funeral director apprenticeship shall be $100.

(3) The reinstatement fee for an apprenticeship shall be fifty (50) dollars per type.

(4) The registration fee for Level II funeral director registration shall be fifty (50) dollars.

(5) The registration fee for Level II embalmer registration shall be fifty (50) dollars.

(6) The licensure exam fee shall be $100 per examination.

Section 5. Surface Transportation Fees.

(1) The surface transportation license fee shall be $150.

(2) The surface transportation renewal fee shall be $150.

(3) The surface transportation course and examination fee shall be seventy-five (75) dollars.

Section 6. Inspection Fees for Establishment.

(1) A routine or requested inspection shall be $100.

(2) Except for an initial license inspection pursuant to 201 KAR 15:110, Section 5(5), a re-inspection within a period of three (3) months following a routine inspection, due to a deficiency found by the Inspector of the Board of Embalmers and Funeral Directors of the Commonwealth of Kentucky on a routine inspection shall be $200.

(3) If an establishment fails three (3) consecutive inspections within a period of six (6) months, any subsequent inspections required to determine if the failures have been cured shall be $300 for each subsequent inspection.

Section 7. The fee for processing an application for a continuing education program shall be $150 per program; for programs included in a conference or convention setting, the total fee shall not exceed $600.

Section 8. Processing and NSF.

(1) A processing fee of twenty-five (25) dollars shall apply to all document actions not covered by other fees established by KRS Chapter 316 or this administrative regulation, including national exam score requests, out-of-state verifications, official name change requests, paper submissions of any documents or applications that are available to submit electronically, processing or reprinting of any document due to a transfer or missed deadline or meeting, and revisions to wall licensure or wallet card.

(2) A fee of sixty (60) dollars shall be assessed for any payment made to the Board pursuant to KRS Chapter 316 or these administrative regulations, where the check, draft, money order, or other financial instrument is returned by the payor's bank or financial institution for insufficient funds, or cannot otherwise be deposited into the board's account.

Section 9. All fees assessed under this administrative regulation shall be nonrefundable.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference.

(a) "Individual Renewal Application", 6/2024;

(b) "Continuing Education Approval Application", 6/2024;

(d) "Medical Exemption", 6/2024;

(e) "Seventy & Inactive", 6/2024;

(f) "Establishment Renewal Application", 6/2024;

(g) "Individual Information Update", 6/2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Embalmers and Funeral Directors, 9114 Leesgate Rd, Ste 4, Louisville, Kentucky 40222, Monday through Friday 8:00 a.m. to 4:30 p.m. Materials incorporated by reference can also be found on the Kentucky Board of Embalmers and Funeral Directors Web site at: https://kbefd.ky.gov/Pages/forms.aspx.

History

RELATES TO: KRS 316.125(2), 316.130(2), (4), (5), 316.132, 316.140(2)
STATUTORY AUTHORITY: KRS 316.125(2), 316.130(2), (4), (5), 316.132, 316.140(2), 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.125(2)(a) and (b) require the board to issue an appropriate establishment license to an applicant who meets the statutory requirements. KRS 316.130(2), (4), and (5) establish the renewal and continuing education requirements for licensure. KRS 316.132 establishes the requirements for continuing education courses, board approval of continuing education courses, and certification for attendance thereof. KRS 316.140(2) establishes the requirements for a person holding an embalmer's or funeral director's license issued in another state or federal district to obtain a courtesy card. KRS 316.210(1) authorizes the board to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 316, and 316.210(6) requires the board to promulgate administrative regulations to establish fees authorized by KRS Chapter 316. This administrative regulation establishes the fees authorized by KRS Chapter 316.
History: BEFD-Rule 17; 1 Ky.R. 1013; eff. 6-11-1975; Am. 20 Ky.R. 831; eff. 12-6-1993; 22 Ky.R. 2318; eff. 8-1-1996; 25 Ky.R. 592; 1030; eff. 11-13-1998; 26 Ky.R. 1853; eff. 6-12-2000; 34 Ky.R. 1527; eff. 3-7-2008; 44 Ky.R. 117, 911; eff. 12-1-2017; 46 Ky.R. 91, 1094; eff. 11-1-2019; 48 Ky.R. 2836; eff. 11-1-2022; 51 Ky.R. 715, 1264; eff. 4-2-2025.

201 KAR 15:040 Examination {#sec-201-kar-15-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:040}

Section 1. Exam Administration.

(1) The board shall administer examinations for funeral director and embalmer licenses at intervals predefined on a published calendar.

(2) An applicant seeking to take an examination administered by the board shall submit the fee established in KRS 316.030 to the board at least forty-five (45) days before the desired examination.

(a) The examination fee shall include a license in good standing for the remainder of the fiscal year if the applicant is successful in the examination.

(b) An applicant shall be entitled to only one (1) examination for each fee paid.

(3) One (1) or more members of the board shall administer the examinations for each license issued by the board.

(4) An applicant may seek a reasonable accommodation in the manner for which an examination by the board is given.

(a) Accommodations shall be considered by the board on the same basis as reasonable accommodations that may be available under the Americans with Disabilities Act, 42 U.S.C. § 12101 et seq.

(b) An applicant who takes an examination with a reasonable accommodation shall still perform the essential functions of taking the examination and meet the normal performance requirements for passage.

(5) At the discretion of the board, examinations may be held at other times, if necessary.

Section 2. Content of Examination.

(1) The examination for an embalmer's license shall include the following subjects:

(a) Embalming;

(b) Anatomy;

(d) Pathology;

(e) Chemistry;

(f) Restorative art;

(g) Mortuary administration and law;

(h) Accounting;

(i) Sociology;

(j) Psychology; and

(k) Requirements of KRS Chapter 316 and the administrative regulations promulgated pursuant to KRS Chapter 316.

(2) The examination for a funeral director's license shall include the following subjects:

(a) Mortuary administration;

(b) Ethics;

(d) Sociology;

(e) Business law;

(f) Primary psychology;

(g) Transportation rules;

(h) Hygiene, sanitation, and disinfection; and

(i) Requirements of KRS Chapter 316 and the administrative regulations promulgated pursuant to KRS Chapter 316.

(3) All written questions for the embalmer's and funeral director's examinations are the property of the board and applicants shall return the questions to the board with their answers.

Section 3. Evaluation. A score of seventy-five (75) percent on a board-authorized examination administered by the board shall constitute a passing grade.

Section 4. Alternative to Written Examination by the Board. An applicant who has successfully completed the examination prepared and administered by the Conference of Funeral Service Examining Boards may request exemption from the written embalmer or funeral director examination. The applicant shall successfully complete an oral examination administered by one (1) or more members of the board in lieu of the written embalmer or funeral director examination.

Section 5. All applicants for a Kentucky funeral director or embalmer license shall pass the Kentucky Laws Exam. Individuals who are requesting a reciprocal license shall pass the Kentucky Laws Exam in addition to the requested license exam.

History

RELATES TO: KRS 316.030(4)(h), (5)(g)
STATUTORY AUTHORITY: KRS 316.030, 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.030(4)(h) and (5)(g) require the board to issue an embalmer's or funeral director's license to an applicant who has met the statutory requirements and passed examinations prepared or approved by the board. This administrative regulation establishes the administration, content, and evaluation of examinations by the board.
History: BEFD-Rule 18; 1 Ky.R. 1013; eff. 6-11-1975; Am. 20 Ky.R. 2655; eff. 5-18-1994; 22 Ky.R. 2319; eff. 8-1-1996; 46 Ky.R. 93, 1095; eff. 11-1-2019; 48 Ky.R. 2838; eff. 11-1-2022.

201 KAR 15:050 Apprenticeship and supervision requirements {#sec-201-kar-15-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:050}

Section 1. Apprenticeship Application.

(1) Prior to beginning an apprenticeship, an applicant shall:

(a) File an Apprenticeship Application Form with the board that includes the sworn statement required by KRS 316.030(7)(c);

(b) Pay the registration fee established in KRS 316.030(7)(b);

(d) Submit a copy of the applicant's high school transcript or diploma, or high school equivalency diploma;

(e) Submit an official copy of any college transcripts;

(f) Submit an official copy of National Board scores, if available;

(g) Submit an official copy of a current (less than ninety (90) days prior to the application) National Criminal Justice Information System (CJIS) report obtained from an agency approved by the Kentucky Board of Embalmers and Funeral Directors; and

(h) Appear before the board with the supervisor at the time and place identified by the board.

(2) The apprenticeship shall begin the day the applicant and supervisor meet with the board.

Section 2. Supervisor Responsibilities.

(1) An apprenticeship shall be served under the board-approved supervisor identified on the Apprenticeship Registration Form as the supervisor of record.

(2) Apprenticeships for both embalming and for funeral directing may be served concurrently under:

(a) A single individual acting as the supervisor of record who holds both a funeral director's license and an embalmer's license; or

(b) Two (2) individual licensees acting as the supervisor of record who together hold both a funeral director's license and an embalmer's license.

(3) Licensed embalmers and licensed funeral directors who seek approval from the board as a supervisor of record shall:

(a) Embalm or direct funerals at, and be employed by, the establishment where the apprentice is registered or at another funeral establishment if approved by the board;

(b) Appear before the board for approval with the apprentice; and

(4) The board may withdraw approval of a supervisor based upon:

(a) Evidence of the inability to supervise an apprentice properly; or

(b) A violation of KRS Chapter 316 or 201 KAR Chapter 15.

(5) Apprentices may receive supervision by licensees other than the supervisor of record.

(a) Registered embalmer apprentices may be supervised by other licensed embalmers designated by the supervisor of record.

(b) Registered apprentice funeral directors may be supervised by other licensed funeral directors designated by the supervisor of record.

(c) Supervisors of record that designate other licensees to provide supervision for an apprentice shall remain responsible for the actions of the apprentice and for the quality of the designated supervision.

(d) The apprentice shall prepare an Apprentice Travel Form and maintain it with the apprentice calendar.

(6) The supervisor shall instruct an apprentice and ensure that an apprentice receives experience in all aspects of funeral directing or embalming, as applicable to the individual's apprenticeship.

(a) The instruction shall include:

The laws relating to the profession, including KRS Chapter 316 and 201 KAR Chapter 15; and
The theory and application of funeral directing or embalming.

(b) The training and work assignments for apprentice embalmers shall cover the following service items:

Initial call details;
Removals;
Embalming;
Restorative art treatment;
Posing body and features;
Bathing and cosmeticizing of bodies;
Dressing and casketing of bodies;
Recordkeeping;
Purchasing of necessary supplies;
Preparation of autopsied bodies;
Care and maintenance of equipment and embalming room; and
Professional responsibility.

Initial call details;
Removals;
Counseling of families on the types of services and merchandise available;
Arrangements of funeral services and merchandise;
Preparing death certificates and documents;
Preparing applications for certain death benefits, such as Social Security, Veterans Administration, insurance, and lodges;
Preparing newspaper notices;
Conducting visitations or memorial services;
Directing funerals and graveside services;
Follow-up service to the family after the funeral service has been completed;
Recordkeeping;
Purchasing of necessary supplies;
Caring for equipment and premises; and
Professional responsibility.

Section 3. Supervision of Apprentices.

(1) Supervision of embalmer apprentices.

(a) For the first twenty-five (25) cases with which an embalmer apprentice assists and throughout the first six (6) months of training, the supervisor or the supervisor's designee shall be present with the apprentice and provide direct supervision of all of the apprentice's embalming activities.

(b) After the apprentice has completed both twenty-five (25) cases and six (6) months of the apprenticeship, the apprentice may perform embalming services if the supervisor or the supervisor's designee is available for consultation and supervision, in accordance with KRS 316.010(14).

(c) The supervisor shall notify the board in writing on the Level II Apprentice Registration Form that the apprentice has completed the required twenty-five (25) cases before allowing the apprentice to embalm without direct supervision. The embalmer Level II registration fee required by 201 KAR 15:030 shall be submitted with the Level II Apprentice Registration Form. The Level II apprenticeship shall commence upon receipt of a Level II apprentice card issued by the board. The supervisor or the supervisor's designee shall continue to supervise the apprentice, in accordance with KRS 316.010(14) and 316.030(4)(e), for the duration of the apprenticeship.

(d) A Level II apprenticeship may continue for a period of up to three (3) years while the apprentice completes the apprenticeship requirements and takes the licensure examination.

(e) An apprentice should take the first examination for licensure within sixty (60) days of completion of all other apprenticeship requirements.

(f) For any violation of the rules of the apprenticeship, or other rules applicable to the professions of embalming or funeral directing, the board may extend the period of apprenticeship as part of disciplinary action.

(g) The board may grant extensions of any apprenticeship upon application for an extension by an apprentice and demonstration by the apprentice of good cause or extenuating circumstances upon which an extension should be granted.

(2) Supervision of funeral director apprentices.

(a) For the first twenty-five (25) cases with which a funeral director apprentice assists and throughout the first six (6) months of training, the supervisor or the supervisor's designee shall provide direct supervision during all of an apprentice's funeral directing activities.

(b) After the apprentice has completed both twenty-five (25) cases and six (6) months of the apprenticeship, the apprentice may perform funeral directing services if the supervisor or the supervisor's designee is available for consultation and supervision, in accordance with KRS 316.010(14).

(c) The supervisor shall notify the board in writing on the Level II Apprentice Registration Form that the apprentice has completed the required twenty-five (25) cases before allowing the apprentice to practice funeral directing without direct supervision. The funeral director Level II registration fee required by 201 KAR 15:030 shall be submitted with the Level II Apprentice Registration Form. The Level II apprenticeship shall commence upon receipt of a Level II apprentice card issued by the board. The supervisor or the supervisor's designee shall continue to supervise the apprentice, in accordance with KRS 316.010(14) and 316.030(4)(f), for the duration of the apprenticeship.

(d) A Level II apprenticeship may continue for a period of up to three (3) years while the apprentice completes the apprenticeship requirements and takes the licensure examination.

(e) An apprentice should take the first examination for licensure within sixty (60) days of completion of all other apprenticeship requirements.

(f) For any apprenticeship violation of the rules of the apprenticeship, or other rules applicable to the professions of embalming or funeral directing, the board may extend the period of apprenticeship as part of disciplinary action.

(3) Removals.

(a) The supervisor or the supervisor's designee shall be present and provide direct supervision during the removal of bodies for the first six (6) months of the apprenticeship and the first twenty-five (25) removals assisted in by the apprentice.

(b) After an apprentice has served six (6) months of apprenticeship and assisted with twenty-five (25) removals, an apprentice may make removals without the direct supervision of the supervisor or the supervisor's designee if the supervisor has determined that the apprentice is competent to perform removals without direct supervision.

(c) The supervisor shall notify the board in writing on the Level II Apprenticeship Registration Form that the apprentice has completed the required twenty-five (25) removals and that the supervisor's approval has been given for the apprentice to make removals without direct supervision before the apprentice may begin making these removals.

(d) An individual who obtains or holds a permit from this board to transport dead human bodies shall not use transport removals performed under that permit to accumulate the number of removals required to complete an apprenticeship. All apprenticeship removals shall be performed within the requirements of the apprenticeship and supervision. Hours accumulated performing removals under a Transport Permit shall not count toward an apprentice's average weekly work hours requirement.

(4) Calendar.

(a) The apprentice shall maintain a calendar at the registered location of the apprenticeship that includes the apprentice's work schedule documenting an average of forty (40) regular hours per week that he or she has worked. The calendar shall be reviewed and signed on a daily basis by the supervisor to indicate that the supervisor has reviewed and approved the apprentice's work. The calendar shall be available for inspection by the state inspector during any inspection of the establishment. The calendar shall be maintained by an apprentice until the apprentice passes the required examinations and becomes licensed or the end of the apprenticeship, whichever comes first.

(b) The calendar shall identify:

The daily work schedule of the apprentice, including beginning and ending times;
The days on which the apprentice does not work; and
Activities completed within the work schedule.

(5) An apprentice may work at the funeral establishment more hours per week than required by subsection (4) of this section. An apprentice may also attend mortuary school classes or complete mortuary school classwork while serving an apprenticeship, but shall still work an average of forty (40) hours per week under the apprenticeship.

(6) If an apprentice's supervisor of record is replaced within the same establishment during the apprenticeship period, a Change of Supervisor form shall be completed and submitted within thirty (30) days following the change.

Section 4. Terminating and Reestablishing an Apprenticeship.

(1) Within five (5) days of the termination of an apprenticeship, the supervisor of record and the apprentice shall notify the board in writing of the termination, including the date on which the apprenticeship ceased.

(2) Within thirty (30) days of being employed by another establishment, an apprentice funeral director or embalmer whose apprenticeship is terminated at the establishment originally identified to the board shall:

(a) Notify the board in writing of the change in employment and apprenticeship by completing and submitting an Apprentice Registration form; and

(b) Appear before the board with the supervisor at the time and place identified by the board.

(3)

(a) A leave of apprenticeship may be taken by an apprentice funeral director or embalmer who is unable to perform the duties of the apprenticeship for a period of two (2) weeks or more because of:

The birth of a child and to care for the newborn child within one (1) year of birth;
The placement with the employee of a child for adoption or foster care and to care for the newly placed child within one (1) year of placement;
To care for the employee's spouse, child, or parent who has a serious health condition;
A serious health condition that makes the employee unable to perform the essential functions of his or her job;
Any qualifying exigency arising out of the fact that the apprentice or their spouse, son, daughter, or parent is a military member on covered active duty; or
Active, full-time enrollment in an accredited mortuary school.

(b) The apprentice shall, within five (5) business days of commencement of leave, inform the board of:

The date on which the apprentice became unable to perform the duties; and
The date on which the apprenticeship will be recommenced, not to exceed six (6) months following the commencement of the leave from apprenticeship, except for military service or mortuary school.

(4) An apprenticeship shall end ten (10) days after the administration of the first exam opportunity for a Level I apprentice or ten (10) days after the second examination opportunity for a Level II apprentice for which the apprentice is eligible.

(5) An apprentice whose apprenticeship becomes inactive under this section, or is completed without testing, shall not lose credit for the time served in the apprenticeship. An apprentice whose apprenticeship has ceased or become inactive may be reinstated to the apprenticeship by notice to the board including the name of the apprentice's supervisor upon his or her return to active apprenticeship, the establishment at which the apprentice is employed, and payment of a processing fee as established in 201 KAR 15:030. The reinstated apprentice shall be responsible for compliance with all other apprenticeship requirements from the date of reinstatement forward.

Section 5. Sworn Statements.

(1) An apprentice shall file the Apprenticeship Sworn Statement required by KRS 316.030(7) on or before May 1 and November 1 of each year relating to the six (6) month period ending with the preceding middle of April or middle of October, respectively.

(2) The Apprenticeship Sworn Statement shall include:

(a) The first and last names of the deceased and the dates of funerals in which the apprentice for a funeral director's license assisted in managing during each six (6) month period;

(b) The first and last names of the deceased and the dates of embalming in which the apprentice for an embalmer's license assisted during each six (6) month period; and

(c) The service items set forth in Section 3(6) of this administrative regulation specifically identified for each case in which the apprentice assisted during each six (6) month period.

(3) With the initial sworn statement, an apprentice shall file a report written by the apprentice summarizing the requirements of KRS Chapter 316 and 201 KAR Chapter 15.

(4) With subsequent sworn statements, an apprentice shall file a report written by the apprentice on an article or a book related to embalming or funeral directing read by the apprentice during the six (6) month period. The report shall contain a reference that includes the author, title, month and year of publication, and page numbers.

(5) The reports required by subsections (3) and (4) of this section shall be two (2) pages at a minimum and typed.

(6) Except for the initial book report established in subsection (3) of this section, an apprentice in mortuary school shall be exempt from the book report requirements of subsection (4) of this section if the apprentice submits the number of hours he or she is enrolled on the Apprenticeship Sworn Statements.

(7)

(a) The supervisor of record shall sign the sworn statements and certify that the apprentice has completed the cases and service items identified in the statement.

(b) If the apprentice has received supervision from a supervisor's designee, the supervisor of record shall still be responsible for:

The activities of the apprentice;
Signing the sworn statement; and
The certification of completion of cases and service items identified in the statement.

(8) Before the activities of the apprentice can count toward the requirements of KRS 316.030(4)(f) or (5)(e), the case shall include the following service items:

(a) For an embalming case, the apprentice shall have participated in the service items listed in Section 2(6)(b)3 through 7 of this administrative regulation; and

(b) For a funeral directing case, the apprentice shall have participated in the service items listed in Section 2(6)(c)3 through 9 of this administrative regulation.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Apprenticeship Application", 6/2024;

(b) "Change of Apprentice Supervisor", 6/2024;

(d) "Level II Apprentice Application", 6/2024;

(e) "Apprentice Travel Form", 6/2024; and

(f) "Apprenticeship Change/Reinstatement", 6/2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Embalmers and Funeral Directors, 9114 Leesgate Rd, Ste 4, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. Materials incorporated by reference can also be found on the Kentucky Board of Embalmers and Funeral Directors Web site at: https://kbefd.ky.gov/Pages/forms.aspx.

History

RELATES TO: KRS 316.030
STATUTORY AUTHORITY: KRS 316.030, 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.210(1) authorizes the Kentucky Board of Embalmers and Funeral Directors to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 316. KRS 316.030(4)(e) and (5)(d) require an applicant for an embalmer's license or a funeral director's license to serve an apprenticeship under the supervision of a Kentucky-licensed embalmer or funeral director. KRS 316.030(9) requires an applicant to file sworn statements semiannually during the apprenticeship. This administrative regulation establishes the requirements for apprentices and their supervisors, the time for filing the sworn statements, and the additional information required in the sworn statements.
History: BEFD-Rule 16; 1 Ky.R. 1014; eff. 6-11-1975; Am. 21 Ky.R. 1744; eff. 3-6-1995; 22 Ky.R. 2321; 23 Ky.R. 428; eff. 8-1-1996; 29 Ky.R. 495; 916; eff. 10-11-2002; 44 Ky.R. 118, 912; eff. 12-1-2017; 46 Ky.R. 95, 1096; eff. 11-1-2019; 48 Ky.R. 2839; 49 Ky.R. 322; eff. 11-1-2022; 51 Ky.R. 717, 1265; eff. 4-2-2025.

201 KAR 15:080 Complaints {#sec-201-kar-15-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:080}

Section 1. Complaint.

(1) A complaint that an embalmer, a funeral director, a funeral establishment, or an apprentice has violated the provisions of KRS Chapter 316 or the administrative regulations promulgated thereunder shall be made in writing to the board.

(2) The person making the complaint shall be identified in the complaint, shall provide his or her contact information, and shall sign the complaint.

(3) Anonymous complaints shall not serve as the sole justification for disciplinary action, but the board may use the information provided in any anonymous complaint as cause for further investigation.

(4) The board may file a complaint based upon credible information in its possession that is sufficient to establish probable cause for further investigation and possible disciplinary action.

(5) No complaint may be made more than two (2) years following the discovery of the alleged violation of KRS Chapter 316 or the administrative regulations promulgated thereunder. Discovery for this purpose shall be the point in time when the complainant actually discovers, or a reasonably diligent complainant would have discovered, the facts constituting the violation.

Section 2. Notice to Respondent.

(1) The board shall send via certified mail, return receipt requested, a notice with a copy of the complaint to the respondent requesting a written response to the complaint.

(2) The respondent shall file a written response to the complaint with the board within twenty (20) days after receipt of notice of the complaint. The respondent shall send a copy of the response to the complainant, and certify in the response that it has been so sent.

(3) The board may treat failure of a duly-notified respondent to file a response within twenty (20) days of receipt of the complaint as a default. Upon default, the board may treat the allegations contained in the complaint as admitted and impose such discipline as the board deems appropriate.

Section 3. Investigation of Complaint.

(1) The board may assign one (1) or more persons to conduct an investigation of the facts alleged in a complaint and submit a report to the board.

(2) The board may, at any time, conduct an investigation on its own initiative without receipt of a written complaint if the board has reason to believe that a violation of KRS Chapter 316 or the administrative regulations promulgated thereunder is taking, or has taken, place.

Section 4. Dismissal, Resolution, and Discipline.

(1) The board may dismiss a complaint at any time if the board determines that the facts stated in the complaint, or facts known to the board after investigation, fail to create a finding of probable cause of a violation which would warrant disciplinary action. The board shall notify the complainant and the respondent in writing if it dismisses the complaint.

(2) The board may negotiate a resolution of a complaint by an agreed order if the board determines that there is probable cause that a violation has occurred and that disciplinary action may be warranted.

(3) The board may impose disciplinary action established by KRS 316.150 against a licensee or registrant if the board finds, after the conduct of a KRS 13B hearing, that a violation of KRS Chapter 316 or of the administrative regulations promulgated thereunder has occurred.

History

RELATES TO: KRS 316.150
STATUTORY AUTHORITY: KRS 316.150, 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.210(1) requires the board to administer and enforce the provisions of KRS Chapter 316 and authorizes the board to promulgate administrative regulations pursuant to KRS Chapter 13A. KRS 316.150 authorizes the board to take disciplinary action against the license of an embalmer, a funeral director, or a funeral establishment or against the registration of an apprentice for violations of KRS Chapter 316. This administrative regulation establishes the procedure for filing complaints with the board.
History: BEFD-Rule 1; 1 Ky.R. 1014; eff. 6-11-75; Am. 21 Ky.R. 1747; eff. 3-6-1995; 22 Ky.R. 2322; 23 Ky.R. 429; eff. 8-1-1996; 46 Ky.R. 99, 1099; eff. 11-1-2019.

201 KAR 15:110 Funeral establishment criteria {#sec-201-kar-15-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:110}

Section 1. General Requirements.

(1) The interior and exterior of the establishment shall be kept free and clean of litter, dirt, debris, and clutter or other objects or conditions that present a potential or actual hazard to the health, safety, or welfare of the public and the funeral establishment's employees.

(2) Only the following persons shall be permitted in a preparation room during the course of embalming a dead human body:

(a) Employees of the establishment where the human body is being embalmed;

(b) Registered apprentices;

(d) Authorized representatives of the deceased; or

(e) Any other individual otherwise allowed by law.

(3) An establishment shall maintain the following documents, if applicable:

(a) Board approved embalming reports that include:

The name of each body embalmed;
The date of death;
The date and time that the embalming took place;
The name and signature of the embalmer; and
The embalmer's license number;

(b) Proper documentation of the authorization to embalm; and

The casket price list;
The outer burial container price list;
The general price list; and
The statement required by the Federal Trade Commission in 16 C.F.R. 453.2(b)(2) through (5), as maintained in the general practice of the establishment.

(4) An establishment shall maintain embalming reports and documentation of authorization to embalm for a minimum of three (3) years.

(5) Establishments located in any public office building, strip mall, public storage, mini-storage, mini-warehouse, multiunit storage complex, or similar facility used by the general public for the storage of goods shall be ineligible for a license.

(6) The building in which an establishment is located, and any sidewalks and parking areas provided adjacent to the establishment, shall be in conformity with the requirements of the applicable federal, state and local statutes, administrative regulations, ordinances, and zoning provisions relating to publicly-accessible buildings and establishments.

(7) An establishment shall display a sign that:

(a) Identifies the name of the establishment; and

(b) Is in a location visible from an adjacent public road.

(8) An establishment shall have adequate rest room facilities for members of the public if public funeral services or visitation or ceremonial services shall be conducted in the establishment.

(9) The owner or manager of a Kentucky licensed funeral establishment may contract with a Kentucky licensed embalmer employed by another Kentucky licensed funeral establishment to provide embalming services at the Kentucky licensed funeral establishment and pay the contracted Kentucky licensed embalmer for services rendered.

Section 2. Visitation and Ceremonial Funeral Service Establishment. An establishment that provides visitation and ceremonial funeral services shall have:

(1) A viewing area or chapel that shall be at least 400 square feet in size; and

(2) The applicable equipment necessary for conducting and arranging funeral services, including:

(a) Tables or desks and chairs for arrangement conferences;

(b) Seating for the viewing room;

(d) Register book stand;

(e) Officiant stand;

(f) Flower display stands; and

(g) Organ, piano, music-producing equipment, or any suitable combination of these items.

Section 3. Embalming Service Establishment.

(1) An establishment that provides embalming services shall:

(a) Have facilities and a preparation room that comply with the requirements of the Occupational Safety and Health Act, 29 U.S.C. 651;

(b) Have at least one (1) approved embalming table and all professional instruments necessary for embalming and the preparation of dead human bodies; and

(c) Ensure that a preparation room shall not be used as a storage area other than for supplies pertaining to the embalming and preparation of dead human bodies.

(2) Human remains shall be prepared for disposition by a licensed embalmer or a Level 2 apprentice, in accordance with KRS 316.030, in a preparation room that meets the requirements of this administrative regulation.

(3) All windows and doors shall be constructed or screened to prevent persons from looking into the preparation room.

(4) Each preparation room entrance shall be lockable, shall be locked when not in use, and shall display a sign indicating private or restricted entry.

(5) Licensed embalmers may perform removals and transport dead bodies.

Section 4. Full Service Funeral Establishments. A full service funeral establishment shall have:

(1) An area available to the public devoted to the display of funeral merchandise. Caskets or casket sections may be viewed by sample, computer, catalog, or other display that corresponds to the current general price list for the funeral establishment; and

(2) A separate room or office for arranging funerals. This room may be used to satisfy the requirements of subsection (1) of this section.

Section 5. Inspections.

(1) Each establishment shall be subject to inspection at the convenience of the board inspector.

(a) An establishment that is sited on more than one (1) parcel of real estate shall be required to notify the inspector of the location and identity of the separate parcels, and shall be charged a separate inspection fee for each separate parcel, as if each parcel were a separately-licensed establishment.

(b) Failure of the establishment to be open and available for an inspection within a reasonable period of time after the inspector requests access for inspection shall be deemed by the board to be a violation of KRS Chapter 316, including KRS 316.150(1)(a), and may subject the establishment and its establishment manager to disciplinary action.

(2) The inspector shall inspect the establishment to see if it has suitable and dignified quarters appropriate for the category of services for which it is licensed.

(3) An establishment that provides embalming services shall have completed and signed embalming reports available for inspection upon request.

(4) The following forms shall be available for inspection or copying by the inspector:

(a) A current general price list of charges for services to the public;

(b) A current price list of caskets as charged to the public;

(d) All apprentice calendars and apprentice travel forms.

(5)

(a) An establishment seeking an initial inspection for the purpose of obtaining a new license under KRS Chapter 316 may request the inspection by the inspector of the Board of Funeral Directors and Embalmers of the Commonwealth of Kentucky, and shall be assessed a fee, as established in 201 KAR 15:030, for the inspection. This fee shall cover the inspector's initial visit, and one (1) subsequent visit for re-inspection to assure that any initial deficiencies have been cured.

(b) An establishment licensed under KRS Chapter 316 that is routinely inspected by the inspector of the Board of Funeral Directors and Embalmers of the Commonwealth of Kentucky shall be assessed an inspection fee, as established in 201 KAR 15:030, payable to the board. This fee shall not be assessed more than one (1) time per calendar year.

(c) An establishment licensed under KRS Chapter 316 that requires a re-inspection within a period of three (3) months following a routine inspection, due to a deficiency found by the inspector of the Board of Funeral Directors and Embalmers of the Commonwealth of Kentucky on a routine inspection, shall be assessed a re-inspection fee, as established in 201 KAR 15:030. This fee shall be paid regardless of any disciplinary action that otherwise may be taken against the establishment for the failure of the inspection.

(d) An establishment licensed under KRS Chapter 316 may request an inspection by the inspector of the Board of Funeral Directors and Embalmers of the Commonwealth of Kentucky, and shall pay a fee, as established in 201 KAR 15:030, for the inspection.

(e) If an establishment fails three (3) consecutive inspections within a period of six (6) months, any subsequent inspections required to determine if the failures have been cured shall require payment, as established in 201 KAR 15:030, for each subsequent inspection. If an establishment has three (3) consecutive failures of inspections within six (6) months, the board may also, in its sole discretion, direct that the establishment in question cease operations for an appropriate period of time to permit the establishment to become compliant, and may assess a fine based upon the violations and failure to correct same.

(f) Inspection fees shall be invoiced by the board to the licensee, and shall not be due at the time of the inspection.

Section 6. Establishment Manager.

(1) Each establishment shall have a Kentucky-licensed funeral director, a Kentucky-licensed embalmer, or an individual licensee as required by KRS 316.125(2)(b)(5) to manage and supervise the establishment.

(2) The establishment shall notify the board of a change of the funeral director or the establishment manager by submitting the Establishment Update Application signed by the licensed owner and the new establishment manager within five (5) working days of the change.

(3) An establishment manager who leaves the employment of an establishment shall notify the board in writing within five (5) working days of the departure.

Section 7. Transferability.

(1) Establishment licenses shall not be transferable.

(2) If a sale or lease occurs:

(a) The existing establishment license may remain in force by mutual consent of the parties for a period of thirty (30) days or until the next regularly scheduled board meeting, whichever occurs first.

(b) During the transition period, the establishment shall be operated under the name shown on the existing license until a new license is issued.

(c) An application for a new license shall be submitted for review at the next board meeting following the sale or lease.

(3) If a relocation or name change occurs, an Information and Name Change Application shall be submitted to the board.

(4)

(a) Following the death of a Kentucky-licensed owner, funeral director, or embalmer, the establishment may operate for ninety (90) days while under temporary supervision by a licensed funeral director or embalmer. A licensee who is already identified as the establishment manager for another establishment under KRS 316.125(4) may act as the temporary establishment manager for the establishment under this section for the limited ninety (90) day period.

(b) The temporary establishment manager shall be identified to the board in writing by letter within fifteen (15) days of the death of the Kentucky-licensed owner, funeral director, or embalmer.

Section 8. Opening of an Establishment.

(1) An establishment shall not operate or be opened for business prior to passing an inspection by the state board inspector and the issuance of an establishment license by the board for that establishment.

(2) To apply for an establishment license, the following shall be submitted to the board:

(a) A completed Establishment Application;

(b) The fee required by 201 KAR 15:030;

(d) A picture of the establishment manager;

(e) If purchasing the establishment, a certified copy of the property deed or other document demonstrating the property transfer and applicant's ownership;

(f) If a corporation, the articles of incorporation;

(g) If a partnership, the partnership agreement;

(h) If a limited liability company, the LLC agreement; and

(i) If the property is not owned by the applicant, a commercial lease, certificate of occupancy, or other legal document that demonstrates that the applicant has possession and control of the premises sufficient to be responsible for the property being configured to meet the requirements of this administrative regulation.

(3) Violation of this section shall be grounds for denial of the application for the license by the board.

(4) All establishment licenses shall expire July 31 of each year. Establishments shall renew by submitting the following to the board:

(a) An Establishment Renewal Application;

(b) The renewal fee established in KRS 316.130(4) and 201 KAR 15:030; and

Section 9. Signage.

(1) An establishment shall use the exact name listed on the license for the establishment in all advertisements and signage.

(2) Descriptive terms shall be distinctly separated from the name of the establishment in all signage and advertisements unless registered as part of the official name.

(3) Any advertising, designation, or signage for the funeral establishment shall match the classification on the establishment's license.

Section 10. Advertising.

(1) A funeral establishment may engage in activity to advertise and promote its business.

(2) Promotional activity shall be available to the public and not intended to solicit the purchase of a funeral.

(3) A funeral establishment may sponsor and participate in community activities. Personal information provided by individuals attending community activities, educational activities, participating in raffles or other activities, shall not be used to contact them following the activity. A funeral establishment may respond to a question but shall not initiate contact regarding the purchase of a funeral. Any document or registration that has personal information included shall contain the following information: "The information provided shall not be used to contact a person regarding the purchase of a funeral. If a person is contacted about the purchase of a funeral following an event sponsored by or in part by a funeral establishment, please contact the Kentucky State Board of Embalmers and Funeral Directors at 502-426-4589."

(4) Meal and learn sessions shall not be considered solicitation so long as the sponsoring license holder does not collect information from attendees (information not to be collected includes names, addresses, telephone numbers, or any other form of contact for direct communication). Attendees may contact the sponsoring license holder after the event, but the sponsoring license holder shall not contact attendees directly after the event.

Section 11. Closure of an Establishment.

(1) If an establishment is to be closed, for any reason, the establishment licensee shall notify the board that the establishment is to be closed, and whether the closure is permanent or for a specified period of time using the appropriate form and shall return the establishment license to the board office in the case of permanent closure within ten (10) days of closure.

(2) An establishment that is closing shall give notice of closure to the Office of the Attorney General together with a listing of any pre-need contracts that remain in effect for the closing establishment.

(3) The licensee for a closing establishment shall give written notice of closure to clients with whom the establishment has a pre-need contract, and shall include in that notice how the establishment intends to honor its contractual obligation.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Establishment Application", 6/2024;

(b) "Establishment Update Application", 6/2024;

(d) "Notice of Manager/Owner Death", 6/2024; and

(e) "Establishment Closure Form", 6/2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Embalmers and Funeral Directors, 9114 Leesgate Rd, Ste 4, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. Material incorporated by reference can also be found on the Kentucky Board of Embalmers and Funeral Directors Web site at: https://kbefd.ky.gov/Pages/forms.aspx.

History

RELATES TO: KRS 316.010, 316.030, 316.125, 316.127, 316.130, 316.260, 16 C.F.R. 453.2(b)(2)-(5), 29 U.S.C. 651
STATUTORY AUTHORITY: KRS 316.125(1), 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.125(1) prohibits operating a full-service funeral establishment, a visitation and ceremonial funeral service establishment, or an embalming service establishment without first obtaining the applicable license from the board. KRS 316.210(1) authorizes the board to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 316. This administrative regulation establishes the minimum requirements for the licensing and operation of a funeral establishment.
History: 33 Ky.R. 652; 1066; eff. 11-3-2006; 34 Ky.R. 1528; 1948; eff. 3-7-2008; 44 Ky.R. 121, 914; eff. 12-1-2017; 46 Ky.R. 100, 1100; eff. 11-1-2019; 48 Ky.R. 2843; eff. 11-1-2022; 51 Ky.R. 721, 1267; eff. 4-2-2025.

201 KAR 15:120 Requirements for applicants holding a license in another state {#sec-201-kar-15-120 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:120}

Section 1.

(1) The board shall accept an applicant licensed in another state as eligible to apply for an embalmer's or funeral director's license who has:

(a) A diploma from a school of mortuary science that is accredited by the American Board of Funeral Service Education or its predecessor; and

(b) Either:

Thirty (30) semester or forty-five (45) quarter hours of college credit from an accredited college or university as shown on an official transcript; or
Engaged in the fulltime practice of embalming or funeral directing under licensure for ten (10) of the twelve (12) years immediately preceding the date of the application as demonstrated by the submission of W-2 forms or an affidavit from two (2) licensed embalmers or funeral directors in his state of original licensure which verify that he has been so engaged in practice full time.

(2) An applicant from another state shall:

(a) Submit a copy of his or her current license verification from the state in which he is licensed;

(b) Pass the current Kentucky jurisprudence examination and examinations for a funeral director license or embalmer license or both, as applicable;

(c) Submit a recently completed (within the preceding ninety (90) days) National Criminal Justice Information System (CJIS) report obtained by the applicant from an agency approved by the Kentucky Board of Embalmers and Funeral Directors;

(d) Inform the board of any disciplinary actions in states where he or she held a license; and

(e) Pay the examination fee and the fees required by 201 KAR 15:030.

Section 2. Incorporation by Reference.

(1) "Application for Licensure", 6/2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Embalmers and Funeral Directors, 9114 Leesgate Rd, Ste 4, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. Materials incorporated by reference can also be found on the Kentucky Board of Embalmers and Funeral Directors Web site at: https://kbefd.ky.gov/Pages/forms.aspx.

History

RELATES TO: KRS 316.140(1)
STATUTORY AUTHORITY: KRS 316.140, 316.210(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.140(1) authorizes the Board of Embalmers and Funeral Directors to issue a license to an applicant that is licensed in another state and who has met the same or similar requirements for a license as the standards set out in KRS 316.030. This administrative regulation establishes the criteria for determining whether applicants who are licensed in another state qualify for a Kentucky embalmer's license or a Kentucky funeral director's license.
History: 30 Ky.R. 2118; eff. 8-6-2004; 46 Ky.R. 104, 1102; eff. 11-1-2019; 51 Ky.R. 725, 1270; eff. 4-2-2025.

201 KAR 15:125 Surface transportation permit {#sec-201-kar-15-125 omnilex-key=us-ky-regs-official--title-201--201 KAR 15:125}

Section 1. Application.

(1) An applicant seeking a permit to provide surface transportation for dead human bodies shall be of the age of eighteen (18) prior to submitting an application.

(2) An applicant applying for a permit to provide surface transportation and removal services for dead human bodies shall submit:

(a) A completed and signed application form;

(b) The fee established in 201 KAR 15:030;

(c) Evidence of recent (within the previous twelve (12) months) training and compliance with the standards of the Occupational Safety and Health Administration for universal precautions and blood-borne pathogens, 29 C.F.R. 1910.1030;

(d) Two (2) passport-sized photographs of the applicant;

(e) An official copy of a Criminal Justice Information System (CJIS) report obtained from an agency approved by the Kentucky Board of Embalmers and Funeral Directors no more than ninety (90) days prior to the application;

(f) Evidence of possession and control or ownership of an appropriate vehicle and necessary supplies for surface transportation of dead human bodies by providing proof of insurance with not less than thirty (30) days before the expiration date; and

(g) Proof of an active driver's license.

(3)

(a) An appropriate vehicle shall have enclosed cargo space of sufficient size to transport a dead human body securely and without exposure to weather.

(b) Necessary supplies shall include:

Mortuary or ambulance cot;
Collapsible or flexible stretcher;
Sheets and cot cover;
Pillow or head block;
Rubber or plastic sheeting;
Towels;
Zippered mortuary body bag or disaster pouch;
Straps;
Protective clothing; and
Sanitary accessories.

Section 2. Examination.

(1) An applicant seeking a surface transportation permit shall be required to pass an examination on Kentucky laws and transport procedures. The examination fee established in 201 KAR 15:030 shall be paid at the time of application.

(2) The examination shall be administered at the conclusion of the course.

(3) The board shall offer a training course related to the subject matter of the examination.

Section 3. Scope of Permit.

(1) Permit holders shall only engage in surface transportation of dead human bodies requested by an authorized person from the establishment by which the permit holder is employed. Surface transportation shall be limited to obtaining the dead human bodies from the location from which the transportation services were requested and transporting the dead human bodies to the establishment by which the permit holder is employed.

(2) To establish that the permit holder is employed by the establishment to which transport is being requested, a permit holder shall present a photo identification to the person or establishment requesting transport.

(3) Permit holders shall not engage in any services of funeral directing or embalming or distribute any documents or materials related to those services.

(4) Permit holders may only be employed by one (1) establishment and its registered affiliate establishments at one (1) time.

(5) Permit holders shall register to assist affiliated establishments and pay the applicable fee for each establishment.

(6) Permit holders shall not be required to use a casket for transportation of dead human bodies, but shall be required to use a container as may be required by OSHA guidelines.

(7) An individual who obtains or holds a permit from this board to transport dead human bodies shall not use transport removals performed under that permit to accumulate the number of removals required to complete an apprenticeship. All apprenticeship removals shall be performed within the requirements of the apprenticeship and under supervision, to the extent set forth in administrative regulations promulgated by the board. Hours accumulated in performing removals under a Transport Permit shall not be counted toward the apprentice's weekly work hours requirement.

Section 4. Permit Issuance and Renewal.

(1) The Surface Transportation Permit issued or renewed under this administrative regulation shall expire July 31 following the date of issuance unless sooner revoked, surrendered, or canceled.

(2) An individual seeking renewal of the Surface Transportation Permit shall submit to the board:

(a) A completed Surface Transportation and Removal Permit Application with the Renewal box checked and shall include on the form any new or changed information;

(b) A renewal fee as established in 201 KAR 15:030;

(c) Evidence of possession and control or ownership of an appropriate vehicle and the necessary supplies for surface transportation of dead human bodies by providing proof of insurance with not less than thirty (30) days before the expiration date;

(d) Evidence of recent (within the previous twelve (12) months) training and compliance with the standards of the Occupational Safety and Health Administration for universal precautions and blood-borne pathogens, 29 C.F.R. 1910.1030;

(e) Two (2) passport-sized photographs of the applicant as requested; and

(f) Proof of an active driver's license.

Section 5. Incorporation by Reference.

(1) "Surface Transportation & Removal Permit Application", 6/2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Embalmers and Funeral Directors, 9114 Leesgate Rd., Ste 4, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. Materials incorporated by reference can also be found on the Kentucky Board of Embalmers and Funeral Directors Web site at https://kbefd.ky.gov/Pages/forms.aspx.

History

RELATES TO: KRS 316.165
STATUTORY AUTHORITY: KRS 316.165, 316.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 316.210 authorizes the Board of Embalmers and Funeral Directors to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 316. KRS 316.165(1) authorizes the board to issue a permit to an applicant for the sole and limited purpose of being allowed to provide surface transportation of dead human bodies. This administrative regulation establishes the criteria for issuance of these permits.
History: 46 Ky.R. 292, 1102; eff. 11-1-2019; 48 Ky.R. 2846; eff. 11-1-2022; 51 Ky.R. 727,1270; eff. 4-2-2025.

Chapter 16 Board of Veterinary Examiners

201 KAR 16:500 Code of ethical conduct for veterinarians {#sec-201-kar-16-500 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:500}

Section 1. A veterinarian shall not engage in fraud, deceit, or misrepresentation in the practice of veterinary medicine.

Section 2. A veterinarian shall bill accurately and truthfully for services rendered.

Section 3. A veterinarian shall not engage in false, misleading, or deceptive advertising.

Section 4. A veterinarian shall not issue a certificate of veterinary inspection (CVI) unless the veterinarian has personal knowledge through appropriate examination. A veterinarian shall not issue a CVI unless he or she has complied with all entry requirements of the jurisdiction of destination.

Section 5. A veterinarian shall not represent to the public that he or she is a board certified specialist in any specialty of veterinary medicine unless that veterinarian has been certified by an entity approved by the American Veterinary Medical Association (AVMA) and has submitted the certification for filing with the board.

Section 6. A veterinarian's conduct shall conform to the currently accepted standards in the practice of veterinary medicine.

Section 7. A veterinarian shall maintain adequate equipment to treat patients that he or she is called upon to treat in the practice of veterinary medicine.

Section 8. A veterinarian shall maintain his or her service premises and equipment in a clean and sanitary condition.

Section 9. A veterinarian shall take sufficient time to perform a complete physical exam and recommend the appropriate tests as needed to diagnose the condition of the patient.

Section 10. A veterinarian shall not neglect a patient under his or her care.

Section 11. A veterinarian shall not physically abuse a patient under his or her care.

Section 12. Except as provided by Section 41 of this administrative regulation, a veterinarian shall have the right to refuse any patient.

Section 13. A veterinarian shall not practice veterinary medicine in a manner that endangers the health of a patient or endangers the health, safety, or welfare of the public.

Section 14. A veterinarian shall not practice veterinary medicine if his or her ability to practice with reasonable skill and safety is adversely affected by the use of alcohol, drugs, narcotics, chemicals, or other substances.

Section 15. A veterinarian shall not over utilize his or her practice. A practice shall be deemed to be over utilized if it exceeds the needs of the patient, considering the patient's history and subjective symptoms; the veterinarian's objective findings, the veterinarian's reasonable clinical judgment, and other information relevant to the practice of veterinary medicine.

Section 16. A veterinarian shall not aid or abet any person in the unlawful practice of veterinary medicine.

Section 17. A veterinarian shall ascertain, before hiring, whether a person who may be hired as a veterinarian has a license to practice veterinary medicine in the Commonwealth of Kentucky and shall be responsible for ensuring that the employee's license remains current.

Section 18. A veterinarian shall not permit a veterinary technician or veterinary assistant to diagnose, prescribe medical treatment, or perform surgical procedures other than the castrating and dehorning of food animals.

Section 19. A veterinarian shall create adequate records to document the veterinarian's examination and treatment of his or her patients in accordance with KRS 321.185(2).

Section 20. A veterinarian shall retain records of his or her examination and treatment of each patient for a period of at least five (5) years from the most recent examination of the patient.

Section 21.

(1) A veterinarian shall provide copies of the veterinarian's medical records of the examination and treatment of a patient upon the request of the client.

(2) Copies of records may be released to the client's designee or another veterinarian engaged by the client to examine or treat the patient upon submission of a signed Authorization for the Release of Medical Records form pursuant to KRS 321.185(3).

(3) A veterinarian shall provide copies of the veterinarian's medical records to the board upon request by the board or the board's designee for inspection or investigation pursuant to KRS 321.185(3)(e)1.

Section 22. A veterinarian shall not sell, or offer for sale, prescription medications, including controlled substances, at any place other than in his or her office, clinic, hospital, or mobile unit; or in another place where he or she is treating patients.

Section 23.

(1) Except as provided by subsection (2) of this section, a veterinarian shall prescribe, dispense, sell, or offer for sale, prescription medications only for his or her own patients.

(2) A veterinarian may dispense a non-controlled substance medication for a client that was prescribed by another veterinarian who has established a veterinarian-client-patient relationship (VCPR).

Section 24. A veterinarian shall comply with the requirements of 201 KAR 16:600.

Section 25. A veterinarian shall not write testimonials as to the virtue of medications, remedies, or foods except to report the results of properly controlled, unbiased experiments, or clinical studies.

Section 26. A veterinarian shall post at his or her facility, and make available over the telephone or online, the veterinarian's policy regarding the hours, emergency coverage, and other similar provisions for the operation of the facility.

Section 27. A veterinarian shall maintain a confidential relationship with his or her clients in accordance with KRS 321.185(3) and in accordance with KRS 257.080, or exceptions otherwise provided by law, or required by considerations related to public health or animal health.

Section 28. A veterinarian shall obtain the consent of the patient's owner (or the owner's agent) before administering general anesthesia or performing any surgical procedure unless circumstances qualifying as an emergency do not permit obtaining the consent.

Section 29. A veterinarian shall attempt to obtain the consent of a patient's owner (or the owner's agent) in writing, if feasible, before euthanizing a patient or transporting a patient to another facility. If it is not feasible to obtain consent in writing, the veterinarian shall obtain oral consent from the patient's owner (or the owner's agent) and document the consent in the medical record.

Section 30. A veterinarian shall make reasonable efforts to obtain the consent of the owner (or the owner's agent) before disposing of any patient that dies while in the veterinarian's care. Any patient disposal shall be done according to all applicable health and safety laws and regulations.

Section 31. A veterinarian shall, where possible, preserve the body of any patient that dies while in the veterinarian's care while its owner (or the owner's agent) is away, except as otherwise provided by law.

Section 32. A veterinarian shall not abuse or take advantage of the confidence of the client.

Section 33. A veterinarian shall not enter into a business transaction with a client in which the veterinarian and his or her client have differing interests:

(1) If the client reasonably expects the veterinarian to exercise his or her professional judgment for the protection of the client;

(2) If the veterinarian has not fully disclosed his or her interest in the transaction; or

(3) If the client has not given his or her informed consent to the transaction.

Section 34.

(1) If a veterinarian performed an inspection of an animal on behalf of a person that the veterinarian knew (or reasonably should have known) planned to sell that animal within sixty (60) days from the date of inspection, then the veterinarian shall not perform an inspection of that animal on behalf of any person that the veterinarian knows (or reasonably should know) is a potential buyer of the animal without first disclosing to the potential buyer the fact and circumstances of the veterinarian's previous inspection of the animal.

(2) The creation, review, or analysis of a radiograph shall constitute an "inspection" for the purposes of this section.

Section 35. An applicant for a license shall be truthful in his or her representations to the board.

Section 36. A veterinarian shall comply with the board's request to appear before the board, to provide information to the board, or to make his or her premises available for inspection by the board.

Section 37. A veterinarian shall comply with restrictions on his or her practice of veterinary medicine imposed by the board.

Section 38. A veterinarian shall notify the board within thirty (30) days of a change to his or her legal name.

Section 39. A veterinarian shall notify the board within thirty (30) days of a change to his or her permanent address or mailing address.

Section 40. A veterinarian shall notify the board within thirty (30) days of the occurrence of the following events:

(1) Disciplinary action, revocation, suspension, or the voluntary surrender of his or her license to practice veterinary medicine in another jurisdiction;

(2) The suspension, revocation, or voluntary surrender of his or her United States Department of Agriculture (USDA) Animal and Plant Health Inspection Service (APHIS) Accreditation;

(3) The suspension, revocation, or voluntary surrender of his or her federal Drug Enforcement Administration (DEA) registration;

(4) The suspension, revocation, or voluntary surrender of his or her state controlled substances license in any jurisdiction; or

(5) The conviction, in any jurisdiction, of any felony or misdemeanor other than a minor traffic violation.

Section 41. A veterinarian shall not refuse treatment of a patient on the basis of the client's race, color, sex, gender identity, age, religion, national origin, veteran status, or disability.

Section 42. A veterinarian shall conduct professional activities in conformity with all federal, state, and municipal laws, ordinances, or regulations.

Section 43. A veterinarian shall not verbally abuse or harass, nor physically threaten or assault a client, an employee, a board member, or any agent of the board.

Section 44. Incorporation by Reference.

(1) "Authorization for the Release of Medical Records", 2/2020, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS 257.080, 321.185, 321.351(1)(g)
STATUTORY AUTHORITY: KRS 321.235(3), 321.240(5), (6), 321.351(1)(g)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.240(6) requires the Kentucky Board of Veterinary Examiners to establish a code of ethical conduct governing the practice of veterinary medicine. KRS 321.351(1)(g) provides for the suspension or revocation of a license, imposition of probationary conditions or an administrative fine, or the issuance of a written reprimand for any violation of the code of ethical conduct promulgated by the board. KRS 321.235(3) and 321.240(5) authorize the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation establishes a code of ethical conduct for veterinarians.
History: 46 Ky.R. 1720, 2602; eff. 6-30-2020.

201 KAR 16:510 Fees for veterinarians {#sec-201-kar-16-510 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:510}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Examination Fees for Veterinarians.

(1) The fee for the North American Veterinary Licensing Examination (NAVLE) shall be paid directly to the International Council for Veterinary Assessment (ICVA), its designee, or current test administrator.

(2) The fee for the Kentucky Board of Veterinary Examiners state jurisprudence exam shall be $100 paid directly to the board.

Section 3. Fees for Special Permits.

(1) The fee for a special permit issued by the board pursuant to KRS 321.201 shall be $200.

(2) The fee shall be attached to either the Application for Licensure as a Veterinarian form incorporated by reference in 201 KAR 16:540 or the Application for a Special Permit form incorporated by reference in 201 KAR 16:530, or online equivalent forms.

(3) A special permit application shall be accepted by the board only if a current Application for Licensure as a Veterinarian is on file with the board or included with the application for special permit.

(4) A special permit shall not be renewed. Following expiration of a special permit, an individual shall reapply for a new special permit pursuant to the limitations established in KRS 321.201.

Section 4. Application Fees for Veterinarians.

(1) The application fee for a veterinarian license shall be $350.

(2) The fee shall be attached to the completed Application for Licensure as a Veterinarian form incorporated by reference in 201 KAR 16:540 or online equivalent form, including all required attachments.

Section 5. Renewal Fees for Veterinarian Licenses.

(1) The renewal deadline shall be September 30 of each year ending in an even number. The renewal biennium shall be the time period beginning the day after the renewal deadline to the next renewal deadline.

(2) Except as established in subsections (5) and (6) of this section, the biennial renewal fee for licensure as a veterinarian in active status shall:

(a) Until June 30, 2026, be $275;

(b) Between July 1, 2026, and June 30, 2028, be $495;

(d) Between July 1, 2030, and June 30, 2032, be $550.

(3) The Renewal Application for Veterinarians form incorporated by reference in 201 KAR 16:570 or online equivalent form shall be complete, and include all required attachments, continuing education credits, and fee payment.

(4) No later than September 30 of the second year of the renewal biennium, the complete package shall be submitted to the board for review and approval.

(5) For veterinarians who are initially licensed in the second year of the biennium between 365 days and 182 days prior to the end of the renewal biennium, the licensure renewal fee shall be reduced by half during a licensee's first licensure cycle. The late fee for renewal, if applicable, shall not be reduced or waived without board authorization.

(6) For veterinarians who are initially licensed in the second year of the biennium between 181 days and the last day of the renewal biennium, the licensure renewal fee shall be waived during a licensee's first licensure cycle.

(7) Utilization of Renewal Grace Period.

(a) During the sixty (60) day grace period established by KRS 321.211(2), a licensed veterinarian who failed to meet the September 30 renewal deadline may continue to function as though licensed until a late renewal application is submitted to and approved by the board.

(b) The late fee for biennial renewal shall be $300 in addition to the renewal fee established in subsections (2), (5), and (6) of this section.

(c) The veterinarian shall submit the complete Renewal Application for Veterinarians form incorporated by reference in 201 KAR 16:570 or online equivalent form, including all required attachments, continuing education hours, and fee payment, to the board between October 1 and November 30 of a year ending in an even number.

(8) A veterinarian's license shall expire if a renewal application package and all attachments, and late fee if applicable, is not submitted to the board by November 30 each year ending in an even number.

Section 6. Reinstatement Fees for Veterinarians.

(1)

(a) Except as established in subsection 2 of this section, and Section 7 of this administrative regulation, if not more than five (5) years have elapsed since the last date of license expiration pursuant to KRS 321.211(6), a veterinarian shall pay a reinstatement fee as established in subparagraphs 1. through 3. of this paragraph to reinstate their license to active status.

Until June 30, 2026, the licensure reinstatement fee shall be $675.
Between July 1, 2026, and June 30, 2028, the licensure reinstatement fee shall be $775.
After June 30, 2028, the licensure reinstatement fee shall be $850.

(b) The applicant shall submit a complete Reinstatement Application for Veterinarians form incorporated by reference in 201 KAR 16:540 or online equivalent form, including all required attachments, to the board for reinstatement of their license.

(c) A veterinarian shall not apply for a new license during this five (5) year window; a reinstatement application shall be required.

(2) If more than five (5) years have elapsed since the last date of license expiration, a veterinarian shall apply as a new applicant to obtain a license in the Commonwealth of Kentucky.

Section 7. Inactive Status of License.

(1)

(a) A veterinarian shall request inactive licensure status in accordance with 201 KAR 16:580.

(b) If more than ninety (90) days prior to the renewal deadline or more than 150 days prior to the grace period deadline, the Request for Licensure Status Change form incorporated by reference in 201 KAR 16:580, or online equivalent form, shall be required, and there shall not be a fee.

(c) If less than ninety (90) days prior to the renewal deadline or less than 150 days prior to the grace period deadline, the Renewal Application for Veterinarians form incorporated by reference in 201 KAR 16:570, or online equivalent form, shall be required, and the required fee shall be paid as established in subsection (2) of this section.

(2) Renewal of an inactive veterinary license.

(a) The biennial renewal fee for inactive veterinarian licensure status shall be $100 per renewal biennium.

(b) The late fee for biennial renewal of an inactive veterinarian license shall be $200 in addition to the renewal fee established in paragraph(a) of this subsection, and shall apply to a veterinarian license in an inactive status that was not renewed by September 30 of the second year of the renewal biennium.

(3) Reinstatement of inactive veterinarian license status to active status.

(a) A veterinarian licensee in inactive status may reinstate their license to active status in accordance with 201 KAR 16:580.

(b) There shall be a reinstatement fee due at the time of application, as established in subparagraphs 1. and 2. of this paragraph.

For an inactive veterinarian license that has been in inactive status less than twenty-four (24) months:

a. Until June 30, 2026, the licensure reinstatement fee shall be $500;

b. Between July 1, 2026, and June 30, 2028, the licensure reinstatement fee shall be $550; and

c. After June 30, 2028, the licensure reinstatement fee shall be $600.

For an inactive veterinarian license that has been in inactive status greater than twenty-four (24) months, the licensure reinstatement fee shall be $400.

Section 8. Retirement of a Veterinary License.

(1)

(a) A veterinarian may request to retire their license at any time.

(b) The one-time fee for this service shall be twenty-five (25) dollars, which shall be attached to a Request for Licensure Status Change form incorporated by reference in 201 KAR 16:580 or the Renewal Application for Veterinarians form incorporated by reference in 201 KAR 16:570 or online equivalent forms.

(2) Once a license is retired it shall not be reactivated. If a veterinarian holds a retired license and wishes to practice again, they shall apply to the board for a new license to practice veterinary medicine in the Commonwealth of Kentucky.

Section 9. Fee Reduction for Military Personnel.

(1) If a veterinarian applicant submits a copy of their current military orders or DD-214 (or other documentation acceptable to the board) with their application or renewal paperwork, the board shall waive or reduce fees as established in this section.

(a) For active duty military, active reserves, and National Guard service persons, an individual's initial application fees, the Kentucky State Exam fee, and the biennial renewal fees shall be waived.

(b) For retired military personnel with twenty (20) or more years of service, an individual's initial application fees shall be waived, and the biennial renewal fees shall be reduced by half, rounded to the nearest whole dollar.

(d) All other requirements of licensure, including renewal deadlines and continuing education requirements established in 201 KAR 16:590, shall be met.

(2) In conformity with federal Pub.L. No 117-333, for a veterinarian applicant who is an active duty servicemember, or whose spouse is an active duty servicemember, all application fees to the board shall be waived if:

(a) The servicemember, or the service member's spouse, has their residency relocated to Kentucky for the duration of current military orders;

(b) The veterinarian holds at least one (1) license equivalent in scope in another United States jurisdiction;

(c) Within ninety (90) days of relocating, the veterinarian registers with the board on the Application for Licensure as a Veterinarian form incorporated by reference in 201 KAR 16:540 or online equivalent form, in conformity with this subsection;

(d) The servicemember submits a copy of their current military orders to the board;

(e) All veterinarian licenses held in any jurisdiction by the veterinarian remain in good standing;

(f) In order to demonstrate compliance with the requirement of paragraph (e) of this subsection, the servicemember or their spouse submits an AAVSB VAULT report to the board; and

(g) The veterinarian licensee submits to the authority of the board for the purposes of standards of practice, discipline, and fulfillment of any continuing education requirements.

History

RELATES TO: KRS 321.190, 321.193, 321.201, 321.211, 321.221, 321.235, 321.320
STATUTORY AUTHORITY: KRS 321.193(2), 321.201(1), 321.211(1)–(3), (5), 321.221(1), 321.235(1)(c), 321.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(c) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations as it may deem necessary and proper to effectively carry out and enforce the provisions of KRS Chapter 321, including to establish authorized fees. KRS 321.211(1) requires veterinarians to pay a renewal fee to the board as a condition of licensure. KRS 321.201 authorizes the board to issue a special permit for the practice of veterinary medicine, and KRS 321.235(1)(c) requires the board to set fees for such special permits. This administrative regulation establishes application, examination, renewal, late, reinstatement, inactive status, and retirement fees for veterinarians, as well as fees for special permits. This administrative regulation also establishes reduced and waived fees for military servicemembers.
History: 201 KAR 016:510. 46 Ky.R. 1723, 2460, 2604; eff. 6-30-2020; 50 Ky.R. 721, 1291, 1469; eff. 4-2-2024; 51 Ky.R. 972, 1661; eff. 7-1-2025.

201 KAR 16:512 Fees for veterinary technicians {#sec-201-kar-16-512 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:512}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Examination Fees for Veterinary Technicians. The fee for the Veterinary Technician National Exam (VTNE) shall be paid directly to the American Association of Veterinary State Boards (AAVSB), its designee, or current test administrator.

Section 3. Application Fees for Veterinary Technicians.

(1) The application fee for a veterinary technician shall be fifty (50) dollars.

(2) The fee shall be attached to the completed Application for Licensure as a Veterinary Technician form as found in 201 KAR 16:540 or online equivalent form, including all required attachments.

Section 4. Renewal Fees for Veterinary Technicians.

(1) The renewal deadline shall be September 30 of each year. The renewal period shall be the time period beginning the day after the renewal deadline to the next renewal deadline.

(2) Except as established in subsection (5) of this section, the annual renewal fee for licensure as a veterinary technician in active status shall :

(a) Until June 29, 2026, be forty (40) dollars;

(b) Between June 30, 2026, and June 30, 2028, be forty-five (45) dollars; and

(3) The Renewal Application for Veterinary Technicians form as found in 201 KAR 16:570 or online equivalent form shall be complete, and include all required attachments, continuing education credits, and fee payment.

(4) [2 No later than September 30 of the renewal period, the complete package shall be submitted to the board for review and approval .

(5) For a veterinary technician who is initially licensed 120 days prior to the end of the renewal period, the licensure renewal fee shall be waived during a licensee's first licensure cycle.

(6) Utilization of Renewal Grace Period.

(a) A sixty (60) day grace period shall be allowed after September 30, during which time the licensed veterinary technician who failed to meet the September 30 renewal deadline may continue to function as though licensed until a late renewal application is submitted to the board.

(b) The late fee for annual renewal shall be thirty (30) dollars in addition to the renewal fee established in subsections (2) and (5) of this section.

(c) The veterinary technician shall submit the complete Renewal Application for Veterinary Technicians form as found in 201 KAR 16:570, including all required attachments, continuing education credits, and fee payment, to the board between October 1 and November 30.

(7) A veterinary technician's license shall expire if a renewal application package and all attachments, and late fee if applicable, is not submitted to the board by November 30.

Section 5. Reinstatement Fees for Veterinary Technicians.

(1)

(a) Except as established in subsection (2) of this section and Section 6(3) of this administrative regulation, if not more than five (5) years have elapsed since the last date of license expiration, a veterinary technician shall pay a reinstatement fee as established in subparagraphs 1. through 3. of this paragraph to reinstate their license to active status.

Until June 29, 2026, the licensure reinstatement fee shall be ninety (90) dollars.
Between June 30, 2026, and June 30, 2028, the licensure reinstatement fee shall be $100.
After June 30, 2028, the licensure reinstatement fee shall be $115.

(b) The applicant shall submit a complete Reinstatement Application for Veterinary Technicians form as found in 201 KAR 16:540 or online equivalent form, including all required attachments, to the board for reinstatement of their license.

(c) A veterinary technician shall not apply for a new license during this five (5) year window; a reinstatement application shall be required.

(2) If more than five (5) years have elapsed since the last date of license expiration, a veterinary technician shall apply as a new applicant to obtain a license in the Commonwealth of Kentucky.

Section 6. Inactive Status of a License.

(1)

(a) A veterinary technician shall request inactive licensure status in accordance with 201 KAR 16:580.

(b) If more than ninety (90) days prior to the renewal deadline or more than 150 days prior to the grace period deadline,,] the Request for Licensure Status Change form shall be required, and there shall not be a fee.

(c) If less than ninety (90) days prior to the renewal deadline or less than 150 days prior to the grace period deadline, the Renewal Application for Veterinary Technicians form shall be required, and the required fee shall be paid as established in subsection (2) of this section.

(2) Renewal of an inactive veterinary technician license.

(a) The annual renewal fee for inactive veterinary technician licensure status shall be ten (10) dollars per renewal period.

(b) The late fee for renewal of an inactive veterinary technician license shall be twenty-five (25) dollars in addition to the renewal fee established in paragraph (a) of this subsection, and shall apply to a veterinarian technician license in an inactive status that was not renewed annually by September 30.

(c) A veterinarian technician license in an inactive status that is not renewed by November 30 shall be moved to an expired status.

(3) Reinstatement of inactive veterinary technician license status to active status.

(a) A licensed veterinary technician in inactive status may reinstate their license to active status in accordance with 201 KAR 16:580.

(b) There shall be a reinstatement fee due at the time of application, as established in subparagraphs 1. and 2. of this paragraph.

For an inactive veterinary technician license that has been in inactive status less than twelve (12) months:

a. Until June 29, 2026, the licensure reinstatement fee shall be ninety (90) dollars;

b. Between June 30, 2026, and June 30, 2028, the licensure reinstatement fee shall be $100; and

c. After June 30, 2028, the licensure reinstatement fee shall be $115.

For an inactive veterinary technician license that has been in inactive status greater than twelve (12) months, the licensure reinstatement fee shall be seventy-five (75) dollars.

Section 7. Retirement of a Veterinary Technician License.

(1)

(a) A veterinary technician may request to retire their license at any time.

(b) The one-time fee for this service shall be ten (10) dollars, which shall be attached to a Request for Licensure Status Change form as found in 201 KAR 16:580, Renewal Application for Veterinary Technicians form as found in 201 KAR 16:570, or online equivalent forms.

(2) Once a license is retired, it shall not be reactivated. If a veterinary technician holds a retired license and wishes to practice again, they shall apply to the board for a new license to practice the profession of a veterinary technician in the Commonwealth of Kentucky.

Section 8. Fee Reduction for Military Personnel.

(1) If a veterinary technician applicant submits a copy of their current military orders or DD-214 (or other documentation acceptable to the board) with their application or renewal paperwork, the board shall waive or reduce fees as established in this section.

(a) For active duty military, active reserves, and National Guard service persons, an individual's initial application fees and annual renewal fees shall be waived.

(b) For retired career military, an individual's initial application fees shall be waived, and the annual renewal fees shall be reduced by half, rounded to the nearest whole dollar.

(d) All other requirements of licensure, including renewal deadlines and continuing education requirements established in 201 KAR 16:590, shall be met.

(2) In conformity with federal Pub.L. No 117-333, for a veterinary technician applicant who is an active duty servicemember, or whose spouse is an active duty servicemember, all application fees to the board shall be waived if:

(a) The servicemember, or the service member's spouse, has their residency relocated to Kentucky for the duration of current military orders;

(b) The veterinary technician holds at least one (1) license equivalent in scope in another United States jurisdiction;

(c) Within ninety (90) days of relocating, the veterinary technician registers with the board on the Application for Licensure as a Veterinary Technician form as found in 201 KAR 16:540 or online equivalent form, in conformity with 201 KAR 16:540, Section 1(4);

(d) The servicemember submits a copy of their current military orders to the board;

(e) All veterinary technician licenses held in any jurisdiction by the veterinary technician remain in good standing;

(f) In order to demonstrate compliance with the requirement of paragraph (e) of this subsection, the servicemember or their spouse submits an AAVSB VAULT report to the board; and

(g) The veterinary technician licensee submits to the authority of the board for the purposes of standards of practice, discipline, and fulfillment of any continuing education requirements.

History

RELATES TO: KRS 321.190, 321.235, 321.441, 321.442
STATUTORY AUTHORITY: KRS 321.235(1)(c), 321.320, 321.441(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(c) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations as it may deem necessary and proper to effectively carry out and enforce the provisions of KRS Chapter 321, including to establish authorized fees. KRS 321.441(7) requires veterinary technicians to pay an annual fee to the board as a condition of licensure. This administrative regulation establishes application, examination, renewal, late, reinstatement, inactive status, and retirement fees for veterinary technicians. This administrative regulation also establishes reduced and waived fees for military servicemembers applying for a veterinary technician license.
History: 46 Ky.R. 1725, 2461, 2605; eff. 6-30-2020; 50 Ky.R. 724, 1294, 1471; eff. 4-2-2024.

201 KAR 16:513 Fees for Allied Animal Health Professional (AAHP) Permits {#sec-201-kar-16-513 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:513}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Application Fees for Allied Animal Health Professional Permits

(1) The application fee for an AAHP permit shall be $250.

(2) The fee shall be attached to the completed Application for Allied Animal Health Professional Provider Permit form incorporated by reference in 201 KAR 16:732 or online equivalent form, including all required attachments.

Section 3. Examination Fees for Allied Animal Health Professionals. The fee for the Kentucky Board of Veterinary Examiners State Jurisprudence Examination for AAHP applicants shall be $100 paid directly to the board.

Section 4. Renewal Fees for Allied Animal Health Professional Permits. The following fees shall be paid to renew an AAHP permit.

(1) Except as established in subsection (2)(c) of this section, the annual renewal fee for an AAHP permit in active status shall:

(a) Until June 30, 2026, be $150;

(b) Between July 1, 2026 and June 30, 2028, be $175; and

(2) Ontime renewal.

(a) The fee shall be attached to the complete Renewal Application for AAHP Permits form incorporated by reference in 201 KAR 16:735 or online equivalent form, including all required attachments, continuing education credits, and other documents required by the board.

(b) The complete package shall be submitted to the board for review and approval not later than September 30 of each year.

(c) For an AAHP permittee who is initially permitted 120 days prior to the end of the renewal period, the permit renewal fee and any continuing education (CE) shall be waived during the first permit cycle.

(3)

(a) A renewal grace period shall be provided for sixty (60) days following the renewal deadline. During the grace period, an AAHP permittee who failed to meet the September 30 renewal deadline may continue to function as though permitted by the board until a late renewal application is submitted to the board.

(b) The late fee for renewal shall be $300 in addition to the renewal fee as described in subsection (1) of this section.

(c) The fee shall be attached to the complete Renewal Application for AAHP Permits form incorporated by reference in 201 KAR 16:735 or online equivalent form, including all required attachments, an accounting of earned continuing education hours, and other documents required by the board, to the board between October 1 and November 30. If audited by the board, the AAHP permittee shall provide proof of CE credits earned in accordance with 201 KAR 16:735.

(4) An AAHP's permit shall expire if no renewal application package and all attachments, and late fee if applicable, is paid to the board by November 30 of each year.

Section 5. Reinstatement Fees for Allied Animal Health Professional Permits.

(1) The reinstatement period is limited to five (5) years past the date of permit expiration.

(a) Except as provided by Section 6(3)(b)3. of this administrative regulation, if not more than five (5) years have elapsed since the last date of permit expiration, an AAHP may pay a reinstatement fee of $675 and submit a complete Reinstatement Application for AAHP Permits form incorporated by reference in 201 KAR 16:732 or online equivalent form, including all required attachments, to the board for reinstatement of the permit.

(b) An AAHP permittee shall not apply for a new permit during this five (5) year window; a reinstatement application shall be required.

(2) If more than five (5) years have elapsed since the last date of permit expiration, an AAHP shall apply as a new applicant to obtain a new permit from the Kentucky Board of Veterinary Examiners.

Section 6. Inactive Status of Permits.

(1)

(a) An AAHP permittee shall request inactive permit status in accordance with 201 KAR 16:580.

(b) If more than ninety (90) days prior to the renewal deadline or more than 150 days prior to the grace period deadline, the Request for Licensure Status Change form incorporated in 201 KAR 16:580, or online equivalent form shall be required, and there shall not be a fee.

(c) If less than ninety (90) days prior to the renewal deadline or less than 150 days prior to the grace period deadline, the Renewal Application for AAHP Permits incorporated by reference in 201 KAR 16:735, or online equivalent form shall be required, and the required fee shall be paid as established in subsection (2) of this section.

(2) Renewal of an inactive AAHP permit.

(a) The annual renewal fee for inactive AAHP permits status shall be $50 per renewal.

(b) The late fee for annual renewal of an inactive AAHP permit shall be $150 in addition to the renewal fee as described in paragraph (a) of this subsection, and shall apply to a AAHP permit in an inactive status that was not renewed by September 30 of the renewal period.

(3) Reinstatement of inactive AAHP permit status to active status.

(a) A AAHP permittee in inactive status may reinstate their permit to active status in accordance with 201 KAR 16:580.

(b) There shall be a reinstatement fee due at the time of application, as provided for in subparagraphs 1.-2. of this paragraph.

For an inactive AAHP permit that has been in inactive status less than twenty-four (24) months, the permit reinstatement fee shall be $600.
For an inactive AAHP permit that has been in inactive status greater than twenty-four (24) months to seven (7) years, the permit reinstatement fee shall be $400.
After seven (7) years, the permit shall expire and the permit holder shall be required to apply for a new AAHP permit.

History

RELATES TO: KRS 321.175, 321.181(1)-(4), 321.235
STATUTORY AUTHORITY: KRS 321.175(2)(c), (5), 321.181(1)-(4), 321.235(1)(a)-(c), (2)(b)2
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(a)-(c) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations as it may deem necessary and proper to effectively carry out and enforce the provisions of KRS Chapter 321, including regulations to establish authorized fees. KRS 321.235(2)(b)2. authorizes the board to promulgate administrative regulations regarding allied animal health professional (AAHP) permits. This administrative regulation establishes fees for AAHP permits.
History: 201 KAR 016:513. 51 Ky.R. 1012, 1664; eff. 7-1-2025.

201 KAR 16:514 Fees for animal control agencies and animal euthanasia specialists {#sec-201-kar-16-514 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:514}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Application Fees.

(1) The application fee for issuance of a board certificate authorizing an animal control agency to apply for a restricted controlled substance registration with the United States Drug Enforcement Administration (DEA) shall be $300. The fee shall be attached to the completed Application for Certification as an Animal Control Agency form as found in 201 KAR 16:550 or online equivalent form, including all required attachments. The animal control agency shall undergo inspection by an authorized representative of the board in accordance with 201 KAR 16:550, Section 1(3) prior to the issuance of a certificate.

(2) The application fee for a certified animal euthanasia specialist shall be fifty (50) dollars. The fee shall be attached to the completed Application for Certification as an Animal Euthanasia Specialist form as found in 201 KAR 16:560 or online equivalent form, including all required attachments.

Section 3. Renewal Fees for Animal Control Agencies.

(1) The renewal deadline shall be March 1 of each year. The renewal period shall be the time period beginning the day after the renewal deadline to the next renewal deadline.

(2) Except as established in subsection (4) of this section, a certified animal control agency shall annually pay to the board a renewal fee as established in paragraphs (a) through (c) of this subsection for the renewal of the certificate.

(a) Until June 29, 2026, the renewal fee shall be ninety (90) dollars.

(b) Between June 30, 2026, and June 30, 2028, the renewal fee shall be $115.

(3) The animal control agency shall submit the complete Renewal Application for Animal Control Agencies form as found in 201 KAR 16:572 or online equivalent form, including all required attachments, and fee payment to the board.

(4) The renewal fee for the first renewal shall be waived for a certificate issued 120 days prior to the end of the renewal period.

(5) Utilization of Renewal Grace Period.

(a) A sixty (60) day grace period shall be allowed after March 1, during which time the animal control agency may continue to function as though certified until a late renewal application is submitted to the board.

(b) The late fee for renewal shall be seventy-five (75) dollars in addition to the renewal fee established in subsection(2) of this section. The late fee for renewal, if applicable, shall not be reduced or waived without board authorization.

(c) The animal control agency shall submit the complete Renewal Application for Animal Control Agencies form as found in 201 KAR 16:572 or online equivalent form, including all required attachments, and fee payment, to the board between March 2 and April 30 of the grace period.

(6) An animal control agency restricted controlled substance registration certificate shall expire if a renewal package, and late fee if applicable, is not submitted to the board annually by April 30.

(7) If not more than five (5) years have elapsed since the last date of certificate expiration, an animal control agency that has an expired restricted controlled substance registration certificate may be reinstated upon the submission of a completed Reinstatement Application for Animal Control Agencies form as found in 201 KAR 16:550 or online equivalent form, including all attachments, and the payment of a reinstatement fee of $300. The animal control agency shall undergo inspection by an authorized representative of the board in accordance with 201 KAR 16:550, Section 5 prior to the reinstatement of a certificate. An animal control agency shall not apply for a new certificate during this five (5) year window; a reinstatement application shall be required.

(8) If more than five (5) years have elapsed since the last date of certificate expiration, an animal control agency shall reapply to obtain a board certificate authorizing restricted controlled substance registration with the DEA.

Section 4. Renewal Fees for Animal Euthanasia Specialists.

(1) The renewal deadline shall be March 1 of each year. The renewal period shall be the time period beginning the day after the renewal deadline to the next renewal deadline.

(a) Except as established in paragraph (b) of this subsection, a certified animal euthanasia specialist shall annually, on or before March 1, pay to the board a renewal fee of fifty (50) dollars for the renewal of the certificate. The animal euthanasia specialist shall submit the complete Renewal Application for Animal Euthanasia Specialists form as found in 201 KAR 16:572 or online equivalent form, including all required attachments, and fee payment to the board.

(b) The renewal fee for the first renewal shall be waived for a certificate issued 120 days prior to the end of the renewal period.

(2) A sixty (60) day grace period shall be allowed after March 1, during which time the certified animal euthanasia specialist may continue to function as though certified until a late renewal application is submitted to the board. The late fee for renewal shall be fifty (50) dollars in addition to the renewal fee established in subsection (1) of this section. The animal euthanasia specialist shall submit the complete Renewal Application for Animal Euthanasia Specialists form as found in 201 KAR 16:572 or online equivalent form, including all required attachments and fee payments, to the board between March 2 and April 30 of the renewal period. The late fee for renewal, if applicable, shall not be reduced without board authorization.

(3) An animal euthanasia specialist certificate shall expire if a renewal package, and late fee if applicable, is not submitted to the board annually by April 30.

(4) If not more than five (5) years have elapsed since the last date of certificate expiration, an animal euthanasia certificate that has expired may be reinstated upon the submission of a completed Reinstatement Application for Animal Euthanasia Specialists form as found in 201 KAR 16:560 or online equivalent form, including all attachments, and the payment of a reinstatement fee of seventy-five (75) dollars. An animal euthanasia specialist shall not apply for a new certificate during this five (5) year window; a reinstatement application shall be required.

(5) If more than five (5) years have elapsed since the last date of certificate expiration, an individual shall reapply to obtain a certificate as an animal euthanasia specialist in the Commonwealth of Kentucky.

Section 5. Inactive Status for Animal Euthanasia Specialists.

(1)

(a) A certified animal euthanasia specialist may request to be moved to inactive status, or be moved to inactive licensure status by the board in accordance with 201 KAR 16:580. There shall not be a fee.

(b) There shall not be a renewal fee for a certified animal euthanasia specialist with inactive licensure status.

(2)

(a) A certified animal euthanasia specialist shall reinstate their certificate to active status in accordance with 201 KAR 16:580.

(b) There shall be a reinstatement fee of fifty (50) dollars only if the certificate was placed in inactive status as a result of:

The certificate holder's request; or
By severing employment with the affiliated animal control agency on record with the board.

History

RELATES TO: KRS 321.200(1)(p), 321.207, 321.208, 321.235
STATUTORY AUTHORITY: KRS 321.207, 321.208, 321.235(1)(c), 321.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.207(1) requires the Kentucky Board of Veterinary Examiners to permit qualified animal control agencies in the Commonwealth of Kentucky to apply for a registration certificate from the United States Drug Enforcement Administration (DEA) to purchase, manage, and utilize the specific drugs approved by the board for the purpose of euthanizing animals. KRS 321.207(4) requires the board to issue certificates to those persons who are deemed to be qualified to work as animal euthanasia specialists. KRS 321.235(1)(c) requires the board to promulgate administrative regulations as it may deem necessary and proper to effectively carry out and enforce the provisions of KRS Chapter 321, including to establish authorized fees. This administrative regulation establishes fees for animal control agencies and animal euthanasia specialists.
History: 46 Ky.R. 1726, 2463, 2606; eff. 6-30-2020; 50 Ky.R. 726, 1297, 1473; eff. 4-2-2024.

201 KAR 16:515 Fees for veterinary facility registrations {#sec-201-kar-16-515 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:515}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Application Fees for Veterinary Facility Registration.

(1)

(a) In accordance with KRS 321.236(2), the initial registration fee for a veterinary facility that is registered with the board by June 30, 2025, shall be $200 and reduced by half to $100 for facilities registered by the mandated deadline.

(b) After June 30, 2025, the initial application fee for a veterinary facility with up to two (2) mobile units shall:

Until June 30, 2026, be $500;
Between July 1, 2026, and June 30, 2028, be $550; and
After June 30, 2028, be $625.

(2) In addition to the initial application fee for a registered veterinary facility, an additional fee shall be paid to the board, calculated based on the number of mobile units associated with the facility, as follows:

(a) For a registered veterinary facility with two (2) or fewer mobile units identified on the application, no additional fees shall be collected; and

(b) For a registered veterinary facility with three (3) or more mobile units identified on the application, an additional fee of twenty-five (25) dollars per mobile unit shall be due to the board with the initial application for each additional mobile unit beyond two (2) mobile units per veterinary facility.

(3) The fees shall be attached to the completed Application for Veterinary Facility Registration form incorporated by reference in 201 KAR 16:762 or online equivalent form, including all required attachments.

Section 3. Renewal Fees for Veterinary Facility Registration. The following fees shall be paid biennially for the renewal of a veterinary facility registration:

(1)

(a) Except as provided for in subsection (3) of this section, the base renewal fee for a veterinary facility registration in active status shall be $200.

(b) The fees shall be attached to the Renewal Application for Registered Veterinary Facilities form incorporated by reference in 201 KAR 16:765 or online equivalent form.

To qualify for renewal, the form shall be complete, including all required attachments, continuing education credits if required, and fee payment; and
The complete package is submitted to the board for review and approval not later than September 30 of each odd-numbered year.

(2) In addition to the renewal base fee for a registered veterinary facility, an additional fee shall be paid to the board, calculated based on the number of mobile units associated with the facility, as follows:

(a) For a registered veterinary facility with two (2) or fewer mobile units identified on the registration, no additional fees shall be collected; and

(b) For a registered veterinary facility with three (3) or more mobile units identified on the registration, an additional fee of twenty-five (25) dollars per mobile unit shall be due to the board with the biennial renewal application for each additional mobile unit beyond two (2) mobile units per veterinary facility registration.

(3) For a veterinary facility initially registered less than 120 days prior to the end of the renewal period, the registration renewal fees shall be waived during the first registration cycle.

(4) There shall be no renewal grace period provided for veterinary facility registrations. Veterinary facilities that fail to renew their registration by September 30 of each odd-numbered year shall expire. If a veterinary facility intends to continue operations following a missed renewal, the registered responsible party or veterinary manager shall apply for reinstatement for the veterinary facility and obtain board approval before continuing operations at the registered facility.

Section 4. Reinstatement Fees for Veterinary Facility Registration.

(1) To reinstate a veterinary facility registration following expiration, the registered responsible party or veterinary manager shall submit a complete Reinstatement Application for Registered Veterinary Facilities form incorporated by reference in 201 KAR 16:765 or online equivalent form, including all required attachments and fees, to the board for reinstatement of the veterinary facility registration.

(a) If less than six (6) months has elapsed since the expiration date of the facility registration, the veterinary facility shall pay a reinstatement fee of $675.

(b) If more than six (6) months and not more than five (5) years have elapsed since the expiration date of the facility registration, the veterinary facility reinstatement fee shall:

Until June 30, 2027, be $725;
Between July 1, 2027, and June 30, 2029, be $900; and
After June 30, 2029, be $1,050.

(2) A veterinary facility shall not apply for a new registration during this five (5) year window; a reinstatement application shall be required.

(3) If more than five (5) years have elapsed since the last date of registration expiration, a veterinary facility shall apply as a new applicant to obtain a new veterinary facility registration in the Commonwealth of Kentucky.

History

RELATES TO: KRS 321.203, 321.235, 321.320
STATUTORY AUTHORITY: KRS 321.203, 321.205, 321.235(1)(c), 321.236, 321.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(c) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to establish the fee amounts for all fees required by KRS Chapter 321 and the fees for services provided by the board. KRS 321.236(1)(a) and (4) authorize the board to establish application fees for veterinary facilities and mobile units. This administrative regulation establishes fees for veterinary facility registrants and their associated mobile units, including the cost for application, renewal, and reinstatement.
History: 201 KAR 016:515. 51 Ky.R. 1014, 1666; eff. 7-1-2025.

201 KAR 16:516 Fees – other fees {#sec-201-kar-16-516 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:516}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Fees for License Verification Letters and Letters of Good Standing.

(1) The fee for a license verification letter or a letter of good standing shall be thirty (30) dollars per jurisdiction per request.

(a) Except as established in paragraph (b) of this subsection, the fee shall be attached to a Request for Licensure Verification form or online equivalent form.

(b) The board may accept orders for licensure verification letters without the required form from the American Association of Veterinary State Boards (AAVSB) on behalf of licensees requesting the letter through the AAVSB VAULT Transfer program, billed by invoice on a periodic basis at the same rate as individual requests.

(2) Upon receipt of the request and payment, the board shall issue the requested letter and complete any forms required by regulatory bodies in other jurisdictions.

Section 3. Fees for Board Credential Holder Mailing Lists.

(1)

(a) The fee for a request to obtain a copy of the mailing list for a commercial purpose shall be sixty (60) dollars.

(b) The fee for a request to obtain a copy of the mailing list for a non-commercial purpose shall be thirty (30) dollars.

(c) The board shall not charge a fee to obtain a copy of the mailing list for the first three (3) requests in a calendar year to the Kentucky Veterinary Medical Association (KVMA), its constituent in-state VMAs, or Kentucky state universities.

(2) The fee shall be attached to a Request for Mailing List form or online equivalent form.

(3) Within thirty (30) calendar days of the receipt of the request and payment, the board shall send a current credential holder mailing list to the requesting party.

Section 4. Fees for Duplicate Wall Certificates and Laminated Credentials.

(1) The fee for a duplicate wall certificate, including the board's seal, shall be thirty (30)dollars.

(2) The fee for a new laminated wallet-sized card shall be thirty (30) dollars.

(3) The fee shall be attached to a Request for Printed Credentials form or online equivalent form.

Section 5. Request for Continuing Education Approval. The fee for an applicant to obtain board approval as an Approved Program of Continuing Education shall be fifty (50) dollars paid directly to the board and attached to the Request for Continuing Education Approval form as found in 201 KAR 16:590 or online equivalent form.

Section 6. Fees for Processing Payments.

(1) The board may require a reasonable service charge for processing any payments submitted online or in paper form. The fees shall be calculated as a percentage of the underlying fee and shall not be higher than the board's current contracted rate for payment processing services.

(2) Service charges fees shall be non-refundable.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Request for Licensure Verification", 8/2023;

(b) "Request for Mailing List", 8/2023;

(d) "Request for Continuing Education Course Approval", 8/2023.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS 321.235(1)(c)
STATUTORY AUTHORITY: KRS 321.235(1)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(c) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations as it may deem necessary and proper to effectively carry out and enforce the provisions of KRS Chapter 321, including to establish authorized fees. This administrative regulation establishes fees for various services provided by the board.
History: 46 Ky.R. 1728, 2465, 2608; eff. 6-30-2020; 50 Ky.R. 729, 1299, 1474; eff. 4-2-2024.

201 KAR 16:517 Fees for AAHP facility registrations {#sec-201-kar-16-517 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:517}

Section 1. Payment and Submission of Fees.

(1) Fees to the board shall be paid by check or money order, or, if available, online payment by debit or credit card. Checks and money orders shall be made payable to the Kentucky State Treasurer.

(2) All fees shall be nonrefundable.

Section 2. Application Fees for Allied Animal Health Professional (AAHP) Facility Registration.

(1)

(a) In accordance with KRS 321.236(2), the initial registration fee for an AAHP facility shall be $200 and if the facility is registered with the board by June 30, 2025, the fee shall be reduced by half to $100.

(b) After June 30, 2025, the initial application fee for an AAHP facility registration with up to two (2) mobile units shall:

Until June 30, 2026, be $500;
Between July 1, 2026 and June 30, 2028, be $550; and
After June 30, 2028, be $625.

(2) In addition to the initial application fee for a registered AAHP facility, an additional fee shall be paid to the board, calculated based on the number of mobile units associated with the facility, as follows:

(a) For a registered AAHP facility with two (2) or fewer mobile units identified on the application, no additional fees shall be collected; and

(b) For a registered AAHP facility with three (3) or more mobile units identified on the application, an additional fee of twenty-five (25) dollars per mobile unit shall be due to the board with the initial application for each additional mobile unit beyond two (2) mobile units per AAHP facility.

(3) The fees shall be attached to the completed Application for AAHP Facility Registration form incorporated by reference in 201 KAR 16:772 or online equivalent form, including all required attachments.

Section 3. Renewal Fees for AAHP Facility Registration. The following fees shall be paid biennially for the renewal of an AAHP facility registration:

(1)

(a) Except as provided for in subsection (3) of this section, the renewal base fee for a AAHP facility registration in active status shall be $200.

(b) The fees shall be attached to the completed Renewal Application for Registered AAHP Facilities form incorporated by reference in 201 KAR 16:775 or online equivalent form.

To qualify for renewal, the form shall be complete, including all required attachments, and continuing education credits, if required, and fee payment; and
The complete package is submitted to the board for review and approval not later than September 30 of each odd-numbered year.

(2) In addition to the renewal base fee for a registered AAHP facility, an additional fee shall be paid to the board, calculated based on the number of mobile units associated with the facility, as follows:

(a) For a registered AAHP facility with two (2) or fewer mobile units identified on the registration, no additional fees shall be collected; and

(b) For a registered AAHP facility with three (3) or more mobile units identified on the registration, an additional fee of twenty-five (25) dollars shall be due to the board with the biennial renewal application for each additional mobile unit beyond two (2) mobile units per AAHP facility registration.

(3) For an AAHP facility initially registered less than 120 days prior to the end of the renewal period, the registration renewal fee shall be waived during the first registration cycle.

(4) There shall be no grace period afforded to registered AAHP facilities. AAHP facilities that fail to renew their registration by September 30 of each odd-numbered year shall expire. If an AAHP facility intends to continue operations following a missed renewal, the registered responsible party or AAHP manager shall apply for reinstatement for the AAHP facility and obtain board approval before continuing operations at the registered facility.

Section 4. Reinstatement Fees for AAHP Facility Registration.

(1) To reinstate an AAHP facility registration following expiration, the registered responsible party or AAHP manager shall submit a complete Reinstatement Application for Registered AAHP Facilities form incorporated by reference in 201 KAR 16:775 or online equivalent form, including all required attachments and fees, to the board for reinstatement of the AAHP facility registration.

(a) If less than six (6) months has elapsed since the expiration date of the facility registration, the AAHP facility shall pay a reinstatement fee of $675.

(b) If more than six (6) months and not more than five (5) years have elapsed since the expiration date of the facility registration, the AAHP facility reinstatement fee shall:

Until June 30, 2027, be $725;
Between July 1, 2027, and June 30, 2029, be $900; and
After June 30, 2029, be $1,050.

(2) An AAHP facility shall not apply for a new registration during this five (5) year window; a reinstatement application shall be required.

(3) If more than five (5) years have elapsed since the last date of license expiration, an AAHP facility shall apply as a new applicant to obtain a new AAHP facility registration in the Commonwealth of Kentucky.

History

RELATES TO: KRS 321.203, 321.205, 321.235, 321.320
STATUTORY AUTHORITY: KRS 321.203, 321.205, 321.235(1)(c), 321.236, 321.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(c) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to establish the fee amounts for all fees required by KRS Chapter 321 and the fees for services provided by the board. KRS 321.236(1)(a) and (4) authorize the board to establish application fees for allied animal health professional (AAHP) facilities and mobile units. This administrative regulation establishes fees for AAHP facility registrants and their associated mobile units, including the cost for application, renewal, and reinstatement.
History: 201 KAR 016:517. 51 Ky.R. 1016, 1670; eff. 7-1-2025.

201 KAR 16:520 Approved veterinary medical programs for veterinarians; approved veterinary technology programs for veterinary technicians {#sec-201-kar-16-520 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:520}

Section 1. Definitions.

(1) "Approved foreign equivalency program" is defined by KRS 321.181(10).

(2) "Approved veterinary medical program" is defined by KRS 321.181(13).

(3) "Approved veterinary technology program" is defined by KRS 321.181(14).

Section 2. Licensure of Veterinarians who Graduated from an Approved Veterinary Medical Program.

(1) The board approves a veterinary medical program as an approved veterinary medical program if the program holds full accreditation, limited accreditation, or approval by the American Veterinary Medical Association (AVMA) Council on Education (COE).

(2) As one (1) part of the requirements for a veterinarian license to be granted, the applicant shall hold an advanced veterinary medical degree from an approved veterinary medical program which held full accreditation, limited accreditation, or approval by the AVMA COE on the date when the applicant received their degree from the program.

Section 3. Licensure of Veterinarians who Graduated from a Program that is Not an Approved Veterinary Medical Program.

(1) If an applicant for a veterinarian license does not possess a degree from an approved veterinary medical program, the applicant shall be eligible to qualify for licensure and board approval after successfully completing and receiving certification from an approved foreign equivalency program for veterinarians.

(2) The board approves each of the following programs as an approved foreign equivalency program for veterinarians:

(a) The Educational Commission for Foreign Veterinary Graduates (ECFVG) of the American Veterinary Medical Association (AVMA); or

(b) The Program for the Assessment of Veterinary Education Equivalence (PAVE) of the American Association of Veterinary State Boards (AAVSB).

Section 4. Licensure of Veterinary Technicians who Graduated from an Approved Veterinary Technology Program.

(1) The board approves a veterinary technician program, or veterinary technologist program, or veterinary nurse program, as an approved veterinary technology program if the program holds full accreditation, limited accreditation, or approval by the American Veterinary Medical Association (AVMA) Committee on Veterinary Technician Education and Activities (CVTEA).

(2) As one (1) part of the requirements for a veterinary technician license to be granted, the applicant shall hold a veterinary technology degree from an approved veterinary technology program which held full accreditation, limited accreditation, or approval by the AVMA CVTEA on the date when the applicant received their degree from the program.

Section 5. Licensure of Veterinary Technicians who Graduated from a Program that is Not an Approved Veterinary Technology Program.

(1) If an applicant for a veterinary technician license does not hold a degree from an approved veterinary technology program, the applicant shall be eligible to qualify for licensure and board approval by successfully completing and receiving certification from an approved foreign equivalency program for veterinary technicians.

(2) The board approves as an approved foreign equivalency program for veterinary technicians the Program for the Assessment of Veterinary Education Equivalence (PAVE) or its equivalent program of the American Association of Veterinary State Boards (AAVSB) for veterinary technicians.

History

RELATES TO: KRS 321.181, 321.193, 321.441
STATUTORY AUTHORITY: KRS 321.190, 321.193(4), 321.235(1)(a)-(c), (2)(b)1.a., 3.b., 321.441(1)(a), (d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.193(4) requires a veterinarian applicant to have received a degree from an approved veterinary medical program. KRS 321.441(1)(a) requires a veterinary technician applicant to be a graduate of an approved veterinary technology program. KRS 321.235(1)(a)-(c) requires[, the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)1.a. and 3.b. authorizes the board to promulgate administrative regulations to establish and enforce minimum standards for the criteria of programs or other mechanisms to ensure continuing competence, and to administer licensure, certification, permitting, and registration. This administrative regulation establishes the approved veterinary medical programs and approved veterinary technology programs that are authorized by the board.
History: 46 Ky.R. 1730, 2608; eff. 6-30-2020; 51 Ky.R. 729, 1425; eff. 5-6-2025.

201 KAR 16:530 Examination requirements for veterinarians and veterinary technicians {#sec-201-kar-16-530 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:530}

Section 1. National Exam Qualifications for Veterinarians.

(1) The board shall require a passing score on a board-approved national veterinary medical examination as one (1) requirement for licensure by the board as a veterinarian.

(2) The required qualifying national veterinary medical examination for veterinarian licensure shall be determined by the date of the completed examination, and shall be approved by the board as listed in this subsection.

(a) Applicants for licensure who tested during or after May 2000 shall be required to successfully complete and achieve a passing score on the North American Veterinary Licensing Examination (NAVLE) as administered by the International Council for Veterinary Assessment (ICVA), its designee, or current administrator of the NAVLE for admission to the examination. A passing score shall be established by the ICVA or current examination administrator at the time of testing.

(b) New applicants for licensure who tested between 1954 and April 2000 shall have successfully completed and achieved a passing score on the National Board Examination (NBE). A passing score on the NBE shall be seventy-five (75).

(c) Applicants for licensure who tested prior to 1954 shall have successfully completed and achieved a passing score on a state level competency exam, if one (1) was available.

(3) Exam Qualification and Registration.

(a) Applicants for licensure shall apply to the board for verification of eligibility to take or retake the NAVLE through the spring 2024 testing window. For all future testing windows, the ICVA shall conduct examination eligibility review.

(b) Candidates seeking to take the NAVLE shall apply directly to the ICVA, its designee, or current administrator of the NAVLE for admission to the examination.

Sit for the examination up to twelve (12) months in advance of the applicant's anticipated graduation date from an approved veterinary medical program if the veterinary student is in good academic standing with the approved veterinary medical program; and
Seek to retest after five (5) attempts if the candidates make a request to the board to sit for the examination for additional times beyond five (5) attempts.

a. A candidate request to retest after five (5) attempts shall include a detailed remediation plan, including the process by which the applicant proposes to improve their performance on the NAVLE, the time proposed to be spent on remediation, and with whom the applicant proposes to study or obtain further instruction, and any other information requested by the board.

b. Upon approval of the remediation plan by the board, the board shall petition ICVA or the current examination administrator for the candidate to have the opportunity to sit for the exam again.

(4) Applicants for veterinarian licensure to the board shall request and pay all necessary fees directly to the ICVA, its designee, the American Association of Veterinary State Boards (AAVSB), or current official records custodian, to have examination scores sent directly to the board. Unofficial copies of scores from applicants or other sources shall not be accepted.

(5) Candidates for the NAVLE who designate Kentucky as their chosen state for a score report, and who do not receive a passing score shall apply to the board to retake the NAVLE on the Application for a Special Permit form or online equivalent form through the spring 2024 testing window. For all future testing windows, the ICVA shall conduct examination eligibility review.

Section 2. State Jurisprudence Exam Requirements for Veterinarians.

(1) The board shall require a passing score on a board-approved state jurisprudence examination as one (1) requirement for licensure by the board as a veterinarian.

(2) Candidates seeking a veterinarian license shall pay a state examination fee pursuant to 201 KAR 16:510.

(3) Candidates shall complete the Kentucky Board of Veterinary Examiners Jurisprudence Examination for Veterinarians, which shall cover the specific requirements of KRS Chapter 321 and 201 KAR Chapter 16, in either paper or electronic format.

(4) Applicants for a veterinarian license shall be required to achieve a score of eighty (80) percent or higher on the Kentucky Board of Veterinary Examiners Jurisprudence Examination for Veterinarians.

Section 3. National Exam Qualifications for Veterinary Technicians.

(1)

(a) Except as provided by paragraph (b) of this subsection, the examination required for licensure by the board as a veterinary technician shall be the successful completion of the Veterinary Technician National Exam (VTNE). A passing score for the VTNE shall be established by the AAVSB or current examination administrator at the time of testing.

(b) If the applicant for licensure as a veterinary technician graduated from an approved veterinary technology program prior to 1990, and successfully completed and passed one (1) of the following examinations prior to 1990, the board shall, as qualification for board approved licensure, accept official score report results showing a passing score on:

The Animal Technician National Exam (ATNE) if taken during the years 1986 – 1989; or
A jurisdictional level competency exam if taken prior to 1986.

(2) Candidates seeking to take the VTNE shall apply directly to the AAVSB, its designee, or current administrator of the VTNE for verification of eligibility and admission to the examination.

(3)

(a) Candidates seeking to take the VTNE may:

Apply to sit for the exam up to two (2) months in advance of graduation from an approved veterinary technology program provided the student is in good academic standing with the program, and a resident of Kentucky; and
Seek to retest after five (5) attempts if the candidates make a request to the board to sit for the examination for additional times beyond five (5) attempts.

(b) A candidate request to retest after five (5) attempts shall include a detailed remediation plan, including the process by which the applicant proposes to improve their performance on the VTNE, the time proposed to be spent on remediation, and with whom the applicant proposes to study or obtain further instruction, and any other information requested by the board.

(c) Upon approval of the remediation plan by the board, the board shall petition AAVSB or the current examination administrator for the candidate to have the opportunity to sit for the exam again.

(4) Applicants for veterinary technician licensure to the board shall request and pay any required fees directly to the AAVSB, the current exam service provider, one (1) of their designees, or to the current official records custodian to have examination scores sent directly to the board. Copies of scores from applicants or other sources shall not be accepted.

Section 4. Incorporation by Reference.

(1) "Application for a Special Permit", 09/2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 4047 Iron Works Parkway, Suite 104, Lexington, Kentucky 40511, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at kbve.ky.gov.

History

RELATES TO: KRS 321.193, 321.201, 321.441
STATUTORY AUTHORITY: KRS 321.190, 321.193(5) , 321.235(1)(a)-(c), (2)(b)1.a., 3.b., 321.441(1)(b), (d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.193(5) requires the Kentucky Board of Veterinary Examiners to establish required examinations and passing scores for veterinarian applicants. KRS 321.441(1)(b) requires the board to establish required examinations and passing scores for veterinary technician applicants. KRS 321.235(1)(a)-(c) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)1.a. and 3.b. authorizes the board to promulgate administrative regulations to establish and enforce mechanisms to ensure continuing competence, and to administer licensure, certification, permitting, and registration. This administrative regulation establishes examination requirements and passing scores for veterinarians and veterinary technicians for applicants to qualify for licensure by the board.
History: 46 Ky.R. 1731, 2609; eff. 6-30-2020; 51 K.R. 731, 1426; eff. 5-6-2025.

201 KAR 16:540 Application requirements for veterinarians and veterinary technicians {#sec-201-kar-16-540 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:540}

Section 1.

(1) A new application to the board for licensure as a veterinarian shall include the following components:

(a) A completed application on an Application for Licensure as a Veterinarian form or online equivalent form, including all required attachments;

(b) A current color photograph of the applicant not smaller than 2 in. x 2 in., or a color copy of the applicant's current valid driver's license or passport with photo;

(d) A copy of any court documents, final orders, settlement agreements, or other documents requested by the board in support of the application;

(e) An official copy of an applicant's testing score report. The score report shall be sent directly to the board from the International Council for Veterinary Assessment (ICVA), the American Association of Veterinary State Boards (AAVSB), other board recognized testing body, their designee, or official records custodian. The report shall include results for either:

The North American Veterinary Licensing Exam (NAVLE); or
The National Board Examination (NBE) and the Clinical Competency Test (CCT), if completed prior to May 31, 2000;

(f) The completed State Exam Answer Sheet; and

(g) Payment for the application fee required by 201 KAR 16:510.

(2) In addition to the requirements listed in subsection (1)(a), (b), (d), (f), and (g) of this section, requirements for veterinary license endorsement applications shall include:

(a) Licensure verifications from all jurisdictions in which an applicant once held or currently holds a license as a veterinarian; and

(b) A current Veterinary Application for Uniform Licensure Transfer (VAULT) credential report, which shall include an applicant's score report for the NAVLE or NBE and CCT, directly from the AAVSB, its designee, or official records custodian.

(3) In addition to the requirements listed in subsection (1)(a), (b), (d), (f), and (g) of this section, requirements for foreign graduate veterinary license applications shall include:

(a) Licensure verifications from all jurisdictions in which an applicant once held or currently holds a license as a veterinarian;

(b) A current VAULT credential report, which shall include an applicant's score report for the NAVLE or NBE and CCT, directly from the AAVSB, its designee, or official records custodian; and

(c) An official report or letter showing completion of one (1) of the programs listed in subparagraphs 1 and 2 of this paragraph. The report or letter shall be sent directly to the board from the testing organization, its designee, or current official records custodian.

The Educational Commission for Foreign Veterinary Graduates (ECFVG) Program of the American Veterinary Medical Association (AVMA); or
The Program for the Assessment of Veterinary Education Equivalence (PAVE) of the AAVSB.

Section 2. A veterinarian may apply for reinstatement of an expired license if not more than five (5) years have elapsed since the last date of license expiration pursuant to KRS 321.211(3). Reinstatement applications to the board for licensure as a veterinarian shall include the following components:

(1) A completed application on a Reinstatement Application for Veterinarians form or online equivalent form, including all required attachments;

(2) A copy of any court documents, final orders, settlement agreements, or other documents requested by the board in support of the application;

(3) Licensure verifications from all jurisdictions in which an applicant once held or currently holds a license as a veterinarian;

(4) A current VAULT credential report directly from the AAVSB, its designee, or official records custodian;

(5) Proof of a minimum of thirty (30) continuing education credits (as approved pursuant to 201 KAR 16:590) during the twenty-four (24) months immediately prior to the date of application; and

(6) Payment for the reinstatement application fee pursuant to 201 KAR 16:510.

Section 3. A veterinary license holder of the board shall renew his or her license pursuant to 201 KAR 16:570.

Section 4.

(1) New applications to the board for licensure as a veterinary technician shall include the following components:

(a) A completed application on an Application for Licensure as a Veterinary Technician form or online equivalent form, including all required attachments;

(b) A current color photograph of the applicant not smaller than 2 in. x 2 in., or color copy of the applicant's current valid driver's license or passport with photo;

(d) A copy of any court documents, final orders, settlement agreements, or other documents requested by the board in support of the application;

(e) An official copy of an applicant's test scores pursuant to 201 KAR 16:530, Section 2(1), directly from PSI Services, the American Association of Veterinary State Boards (AAVSB), their designee, or official records custodian; and

(f) Payment for the application fee pursuant to 201 KAR 16:512.

(2) In addition to the requirements listed in subsection (1) of this section, requirements for endorsement veterinary technician applications shall include licensure verifications from all jurisdictions in which an applicant once held or currently holds a license as a veterinary technician.

(3) In addition to the requirements listed in subsection (1) of this section, requirements for foreign graduate veterinary technician license applications shall include:

(a) Licensure verifications from all jurisdictions in which an applicant once held or currently holds a license as a veterinary technician;

(b) A current Veterinary Application for Uniform Licensure Transfer (VAULT) credential report directly from the AAVSB, its designee, or official records custodian; and

(c) An official score report or letter showing results for the Program for the Assessment of Veterinary Education Equivalence (PAVE) or equivalent program of the AAVSB for veterinary technicians. The score report shall be sent directly to the board from the testing organization, its designee, or official records custodian.

Section 5. A veterinary technician may apply for reinstatement of an expired license if not more than five (5) years have elapsed since the last date of license expiration. Reinstatement applications to the board for licensure as a veterinary technician shall include the following components:

(1) A completed application on a Reinstatement Application for Veterinary Technicians form or online equivalent form, including all required attachments;

(2) A copy of any court documents, settlement agreements, or other documents requested by the board in support of the application;

(3) Proof of a minimum of six (6) continuing education credits (as approved pursuant to 201 KAR 16:590) during the twelve (12) months immediately prior to the date of application;

(4) Licensure verifications from all jurisdictions in which the applicant once held or currently holds a license as a veterinary technician;

(5) If more than one (1) year since the date of license expiration, a current VAULT credential report from the AAVSB; and

(6) Payment for the application fee pursuant to 201 KAR 16:512.

Section 6. A veterinary technician license holder of the board shall renew his or her license pursuant to 201 KAR 16:570.

Section 7. Change in Licensure Status. Veterinarian and veterinary technician license holders may apply to the board for a change in licensure status in accordance with 201 KAR 16:580.

Section 8. Background checks. The board may conduct a national or jurisdictional level background check on each applicant for licensure. The check shall be processed by a board-approved background check provider, and may include a copy of the applicant's fingerprints captured at a board-approved location. The board may reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old. The board may impose additional requirements as a condition of licensure or deny licensure following the board's review of findings from a background check.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure as a Veterinarian", 3/2020;

(b) "Reinstatement Application for Veterinarians", 3/2020;

(d) "Reinstatement Application for Veterinary Technicians", 3/2020.

History

RELATES TO: KRS 321.193, 321.235, 321.221, 321.441
STATUTORY AUTHORITY: KRS 321.193, 321.221(1), 321.235(3), 321.240(5), 321.441(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.193, 321.235(3), and 321.221(1) authorize the Kentucky Board of Veterinary Examiners to establish application requirements for veterinarians. KRS 321.441(1) authorizes the board to establish the requirements for licensure as a veterinary technician. KRS 321.235(3) and 321.240(5) authorize the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation establishes application requirements for veterinarians and veterinary technicians applying for licensure in the Commonwealth of Kentucky from the board.
History: 46 Ky.R. 1732, 2466, 2610; eff. 6-30-2020.

201 KAR 16:550 Authorization for animal control agencies to apply for a restricted controlled substances certificate from DEA {#sec-201-kar-16-550 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:550}

Section 1. Definitions.

(1) "Animal control agency" means an animal shelter fulfilling the duties required pursuant to KRS Chapter 258, and the animal shelter is either owned, contracted with, or in service on behalf of a county or municipality.

(2)

(a) "Animal shelter" means a public agency or private humane society, society for the prevention of cruelty to animals, animal protection shelter or control agency, or other facility that provides shelter and care for homeless, stray, unwanted, or injured animals.

(b) An "animal shelter" shall not include:

Shelter or care of wildlife; or
Premises of a Kentucky Department of Fish and Wildlife Resources credentialed:

a. Certified wildlife rehabilitator;

b. Commercial nuisance wildlife control operator;

c. Captive wildlife holder; or

d. Wildlife transporter.

(3) "Certified animal control agency" means an animal shelter that is certified under the provisions of KRS Chapter 321 and 201 KAR Chapter 16.

(4) "Designated on-site manager" means a person who registers with the board to assume responsibility for the procurement, management, and disposal of drugs at a board-certified animal control agency.

(5) "Dispose" means to destroy or transfer.

(6) "Manage" means to administer, dispense, or inventory.

(7) "Procure" means to order, purchase, or receive.

Section 2. Application and Renewal Requirements.

(1) An applicant animal shelter shall apply to the board for authorization to operate as a certified animal control agency and to apply to the federal Drug Enforcement Administration (DEA) for a Controlled Substance Registration as established by KRS 321.207.

(2) A complete application to the board shall include:

(a) A completed Application for Certification as an Animal Control Agency form or online equivalent form, including all required attachments;

(b) Identification of the agency designated on-site manager;

(c) A complete and current list of all individuals performing euthanasia or related activities at the animal shelter, whether or not each individual holds a credential from the board;

(d) An animal control agency verification letter signed by the governing body within the county or municipality, including a statement about the animal shelter's role as an animal control agency or contractor pursuant to KRS 258.195;

(e) A list of all Kentucky counties which are provided service by the animal shelter; and

(f) Payment of the fee in accordance with 201 KAR 16:514.

(3) Prior to the board's issuance of the animal control agency certificate, an applicant shall undergo an inspection of the facility by the board, its inspector, or other designee of the board in accordance with Section 5 of this administrative regulation.

(4) Following board application approval, an applicant shall apply to the DEA for registration as a practitioner and designate "animal shelter" on the appropriate DEA application form.

(5) A certified animal control agency shall submit to inspection by a board representative at any time, with or without advanced notice.

(6) A certified animal control agency shall identify a designated on-site manager in accordance with 201 KAR 16:552.

(a) The agency shall notify the board in writing within ten (10) days of any change in the designated on-site manager of the certified animal control agency by submitting a completed Request for a New Designated On-site Manager form or online equivalent form, including all required attachments.

(b) The designated on-site manager shall be responsible for complying with all state and federal laws related to the ordering, purchase, storage, tracking, management, and disposal of the drugs obtained under the DEA controlled substances registration.

(7) Background checks. Pursuant to KRS 321.189, the board shallconduct a national or jurisdictional level background check on each designated on-site manager. The check shall be processed by a board approved background check provider, and shall include a copy of the designated on-site manager's fingerprints captured at a board approved location.

(a) The board may accept the results of a state-wide employment background check in lieu of a state or federal background check if the background check results are not more than ninety (90) days old from the date of application.

(b) The board may reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old.

(c) The board may impose additional administrative or safety requirements as a condition of certification for the animal control agency or deny certification following the board's review of findings from a background check.

Section 3. Renewal Requirements for a Certified Animal Control Agency.

(1) A board-certified animal control agency shall renew the board certification annually in accordance with 201 KAR 16:572.

(2) Failure to renew the certificate for an animal control agency shall result in the following actions by the board:

(a) The animal control agency certificate shall be moved to expired status;

(b) Each "active" status certified animal euthanasia specialist under the employment of the expired certified animal control agency shall be moved to "inactive" status;

(d) The board shall conduct a closeout inspection within six (6) months of the date of expiration of the certificate to ensure that the controlled substances and other drugs on-site are properly disposed of. An animal shelter with an expired certificate shall continue to maintain the drugs in accordance with 201 KAR 16:552, and the Kentucky Veterinary Medicine Practice Act (KRS Chapter 321), and 201 KAR Chapter 16, until the drugs are transferred in accordance with state and federal laws, or disposed of in accordance with 201 KAR 16:552, Section 7.

Section 4. Reinstatement Requirements for Certified Animal Control Agencies.

(1) An animal control agency with an expired certificate shall have five (5) years to reinstate their certificate by submitting a completed Reinstatement Application for Animal Control Agencies form or online equivalent form, including all required attachments and payment of the reinstatement application fee pursuant to 201 KAR 16:514.

(2) The animal control agency shall undergo inspection by an authorized representative of the board in accordance with Section 5(3) of this administrative regulation prior to the reinstatement of a certificate.

(3) After five (5) years of the date of the expiration of the certificate, the agency shall not reinstate the certificate and the animal control agency shall be required to apply for a new certificate in accordance with 201 KAR Chapter 16.

Section 5. Inspection Requirements.

(1) A certified animal control agency shall be subject to inspection by the board, its investigator, or a board representative.

(2) An inspection may occur at any time, with or without advance notice. The designated on-site manager shall make themselves available to provide access and information during the inspection.

(3) An inspection shall be required:

(a) Prior to the approval of a new Application for Certification as an Animal Control Agency;

(b) Prior to the approval of a Reinstatement Application for Animal Control Agencies, if the last inspection was completed more than twelve (12) months prior to the date of the application;

(c) Periodically on a schedule set by the board, not more routinely than every ten (10) months, and at least once every two (2) years;

(d) As needed due to staff turnover at the animal control agency;

(e) Under suspicion of probable cause for violation of KRS Chapter 321 or 201 KAR Chapter 16; and

(f) Following the expiration, termination, suspension, or surrender of the certificate in accordance with Section 3(2)(d) of this administrative regulation.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Certification as an Animal Control Agency", 7/2023;

(b) "Reinstatement Application for Animal Control Agencies", 7/2023; and

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS 217.177(1), (4), Chapter 258, Chapter 321, 321.207, 321.351
STATUTORY AUTHORITY: KRS 321.207(1) – (3),(5)-(8), 321.235(1)(a), (b), (2)(b)3
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.207(1) requires the Kentucky Board of Veterinary Examiners to authorize an animal control agency, which the board determines to be qualified, to apply for a registration certificate by the United States Drug Enforcement Administration (DEA) to euthanize animals. KRS 321.207(2) requires an applicant agency to comply with administrative regulations that establish standards for the proper storage and handling of drugs, including procurement, management, and disposal of drugs the board has authorized for use, and other provisions that may be necessary to ensure that the drugs are used safely and solely for the purpose of euthanizing animals. KRS 321.235(1)(a) and (b) require the board to promulgate administrative regulations to implement KRS Chapter 321. KRS 321.235(2)(b)3. authorizes the board to promulgate administrative regulations to establish standards in veterinary medicine, medical records, and other matters pertaining to veterinarians, veterinary technicians, animal control agencies, animal euthanasia specialists, designated on-site mangers, allied animal health professionals, veterinary facilities, AAHP facilities, veterinarian managers, AAHP managers, registered responsible parties, or unlicensed persons. This administrative regulation establishes the application, renewal, and reinstatement requirements for certification of an animal shelter as an animal control agency, and the requirements for board inspections at certified animal control agencies.
History: 46 Ky.R. 1735, 2468, 2611; eff. 6-30-2020; 49 Ky.R.1473, 1903; eff. 7-5-2023; 50 Ky.R. 413, 1301, 1475; eff. 4-2-2024.

201 KAR 16:552 Responsibilities for certified animal control agencies; limitations on drugs {#sec-201-kar-16-552 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:552}

Section 1. Definitions.

(1) "Dispose" means to destroy or transfer.

(2) "Manage" means to administer, dispense, or inventory.

(3) "Procure" means to order, purchase, or receive.

Section 2. Responsibilities of a Certified Animal Control Agency. A certified animal control agency shall:

(1) Ensure staff shall comply with all requirements of KRS Chapter 321 and 201 KAR Chapter 16;

(2) Identify an agency designated on-site manager and ensure the person complies with the requirements in Section 3 of this administrative regulation;

(3) Report any change to the designated on-site manager in writing to the board within ten (10) business days by submitting a completed Request for a New Designated On-site Manager form or online equivalent form, including all required attachments;

(4) Notify the board in writing within ten (10) business days following the termination or severance of employment of a certified animal euthanasia specialist in order that the certificate of the animal euthanasia specialist may be moved to inactive status;

(5) Ensure that the United States Drug Enforcement Administration (DEA) Controlled Substances Registration is kept in active status if there are controlled substances in the possession of the animal control agency;

(6) Submit to inspection by a board representative at any time, with or without advanced notice in accordance with 201 KAR 16:550, Section 5; and

(7) Report to the board and to DEA within twenty-four (24) hours any suspected diversion of controlled substances or theft of controlled substances.

Section 3. Responsibilities of a Designated On-site Manager.

(1) The designated on-site manager shall be responsible for reviewing educational materials provided by the board and submitting a responsive answer sheet for review by the board. A board inspector or representative shall periodically review educational materials with the designated on-site manager.

(2) The designated on-site manager shall:

(a) Ensure proper controls are in place in accordance with all state and federal laws for all controlled substances and other drugs at the animal control agency;

(b) Ensure drugs for euthanasia and drugs used for sedation prior to euthanasia shall be limited to the substances identified in Section 4 of this administrative regulation;

(c) Ensure all employees authorized to conduct animal euthanasia at the certified animal control agency are trained and certified in accordance with the requirements of 201 KAR 16:560 and 16:562, unless the employee is a board-licensed veterinarian or board-licensed veterinary technician;

(d) Ensure all animal euthanasia specialists who conduct euthanasia at the certified animal control agency maintain an active certificate with the board;

(e) Notify the board in writing within ten (10) business days following the termination of a certified animal euthanasia specialist so the certificate of the animal euthanasia specialist may be taken out of active status;

(f) Develop and maintain standard operating procedures in writing for carcass disposal in accordance with all state and local laws and ordinances;

(g) Ensure that a designated area is provided for animal euthanasia activities, and that the area is kept clean and orderly, and is maintained as a safe workspace;

(h) Ensure that drugs ordered under DEA Registration held by any person or entity other than the certified animal control agency are kept in separate secure storage pursuant to KRS 321.207(8); and

(i) Be responsive and cooperative to the board's request for access and information to the certified animal control agency.

(3) The designated on-site manager shall ensure that the animal euthanasia process shall be conducted within the restrictions set forth in this subsection.

(a) Euthanasia shall only be conducted upon animals owned by the certified animal control agency, except in cases of emergency care as defined by KRS 321.181(33).

Transfer of ownership or a temporary contract shall not be used for the purpose of circumventing this subsection.
Wildlife shall be redirected to one (1) of the following:

a. A board-licensed veterinarian;

b. A Certified Wildlife Rehabilitator authorized to operate pursuant to 301 KAR 2:075;

c. A Commercial Nuisance Wildlife Control Operator authorized to operate pursuant to 301 KAR 3:120;

d. A Captive Wildlife Holder authorized to operate pursuant to 301 KAR 2:081;

e. A Wildlife Transporter authorized to operate pursuant to 301 KAR 2:082;

f. KDFWR wildlife biologist; or

g. KDFWR conservation officer.

(b) Euthanasia shall only be conducted upon the premises of the certified animal control agency, except in cases of emergency care as defined by KRS 321.181(33).

(c) All euthanized animals shall be disposed of in accordance with the certified animal control agency's standard operating procedures for carcass disposal.

Section 4. Authorized Drugs for Animal Euthanasia and Anesthesia or Sedation of Animals Prior to Euthanasia.

(1) For the purpose of animal euthanasia, a certified animal control agency shall be restricted to the purchase of only sodium pentobarbital.

(2) For the purpose of animal anesthesia or sedation prior to euthanasia, a certified animal control agency shall be restricted to the purchase of only the following board-authorized specific drugs, or any combination thereof:

(a) Acepromazine;

(b) Dexmedetomidine;

(d) Xylazine.

(3) Scheduled drugs (controlled substances) shall be limited to a thirty (30) day supply, or the smallest quantity available for purchase if that quantity is greater than a thirty (30) day supply.

(4) The DEA's Schedule II order forms (titled "DEA-222") shall be used for each purchase or transfer of board authorized controlled substances.

(5) Expired drugs.

(a) Expired drugs shall not be used.

(b) Expired drugs shall be properly disposed of in accordance with Section 8 of this administrative regulation.

Section 5. Storage.

(1) Board authorized euthanasia and sedation drugs shall be stored at the DEA address of record for the certified animal control agency in a secure steel safe or securely locked steel cabinet within:

(a) A locked storage room; or

(b) Other locked enclosure; and

(2) DEA Controlled Substance Schedule II order forms shall be maintained at the DEA address of record for the certified animal control agency in a securely locked cabinet that is:

(a) Separate from the storage location of the drugs; and

(b) Within a locked storage room or other locked enclosure.

Section 6. Disposal of Needles and Medical Waste.

(1) All needles in an animal control agency shall:

(a) Not be accessible to the public;

(b) After one (1) use, be rendered incapable of re-use; and

(2) All syringes used in the process of euthanasia shall be disposed of in an approved biohazard or sharps container.

Section 7. Records.

(1) A certified animal control agency shall maintain records of procurement, management, and disposal of board authorized euthanasia drugs and sedation drugs, as listed in Section 4 of this administrative regulation, for a minimum of two (2) years.

(2) Records of administration shall, at a minimum, include:

(a) The date of use;

(b) Identification of the animal;

(d) Any amount wasted;

(e) The signature of the person administering the drug;

(f) The signature of the designated on-site manager certifying the accuracy of the administration of board authorized euthanasia drugs and sedation drugs not less than once per month; and

(g) The signature of the designated on-site manager certifying to the accuracy of the records not less than once per month, as well as on the annual inventory.

(3) Records of procurement and destruction of board authorized euthanasia drugs and sedation drugs shall be maintained in a separate file from the records of administration of those substances.

(4) The records of procurement, management, and disposal may be audited by representatives of the DEA or authorized designees of the board to determine adequacy, accuracy, and validity of the recordkeeping. The board may impose restrictions and administrative penalties on certificate holders or designated on-site managers as a result of substandard controls or records of the drugs.

(5) The records of purchase, administration, transfer, and destruction of euthanasia and sedation drugs, shall be maintained at the DEA address of record for the certified animal control agency.

Section 8. Destruction or Disposal of Drugs. Drugs at an animal control agency that require disposal shall be disposed of in accordance with one (1) of the methods set forth in this section. A written receipt with appropriate signatures shall be obtained for the methods in subsections (1) through (3) of this section, and a record of the action taken shall be made for the method in subsection (4) of this section. The record shall be maintained with the drug logs at the animal control agency.

(1) Transfer non-expired, non-controlled drugs to a licensed veterinarian.

(2) Transfer non-expired, controlled drugs to a DEA registered, board-licensed veterinarian using DEA Form 222. Copies of the DEA Form 222 shall be distributed per federal law.

(3) Surrender expired or non-expired drugs to local law enforcement for destruction.

(4) Inject expired or non-expired drugs into and incinerate an animal carcass in accordance with state and local rules on incineration. Written documentation shall describe the amounts disposed of, type of carcass, date of injection and incineration, witnesses, and any other pertinent details.

Section 9. Disciplinary Action. An animal control agency, designated on-site manager, and animal euthanasia specialists shall be subject to disciplinary action pursuant to KRS 321.235 and 321.351 for a violation of state or federal statutes or administrative regulations.

Section 10. Incorporation by Reference.

(1) "Request for a New Designated On-site Manager", 07/2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS 321.181, 321.207, 321.235, 321.351
STATUTORY AUTHORITY: KRS 321.207(1) – (3),(5)-(8), 321.235(1)(a), (b), (2)(b)3.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.207(1) requires the Kentucky Board of Veterinary Examiners to authorize an animal control agency, that it determines to be qualified, to apply for a registration certificate by the United States Drug Enforcement Administration (DEA) to procure, manage, and dispose of controlled substances which are authorized by the board for use in animal sedation and euthanasia. KRS 321.207(2) requires an applicant agency to comply with administrative regulations that establish standards for the proper storage and handling of the drugs the board has authorized for use, and other provisions that may be necessary to ensure that the drugs are used safely and solely for the purpose of euthanizing animals. KRS 321.235(1)(a) and (b) require the board to promulgate administrative regulations to implement KRS Chapter 321. KRS 321.235(2)(b)3. authorizes the board to establish standards in veterinary medicine, medical records, and other matters pertaining to veterinarians, veterinary technicians, animal control agencies, animal euthanasia specialists, designated on-site mangers, allied animal health professionals, veterinary facilities, AAHP facilities, veterinarian managers, AAHP managers, registered responsible parties, or unlicensed persons. This administrative regulation establishes the duties for the animal control agency designated on-site manager, standards for proper drug storage, and drugs that may be used by certified animal control agencies and the certified animal euthanasia specialists they employ.
History: 49 Ky.R. 1540, 1905; eff. 7-5-2023; 50 Ky.R. 416, 1304, 1476; eff. 4-2-2024.

201 KAR 16:560 Certification as an animal euthanasia specialist {#sec-201-kar-16-560 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:560}

Section 1. To be eligible for certification as a board-certified animal euthanasia specialist an applicant shall:

(1) Be at least twenty-one (21) years of age;

(2) Be of good moral character;

(3) Not have been convicted of, or entered an "Alford" plea or plea of nolo contendere to, irrespective of an order granting probation or suspending imposition of any sentence imposed following the conviction or entry of the plea, one (1) or more or the following in the last ten (10) years, subject to the provisions of KRS Chapter 335B:

(a) A felony;

(b) An act involving moral turpitude or gross immorality; or

(c) A violation of any law, rule, or administrative regulation of this state, any other state, or the United States government that involves the use or trafficking of illegal substances;

(4) Have a high school diploma or general equivalency degree (GED);

(5) Pay the certification fee as specified in 201 KAR 16:514;

(6) Be employed by a board-certified animal control agency; and

(7) Have successfully completed a board approved sixteen (16) hour euthanasia by injection (EBI) course as established in Section 2 of this administrative regulation within twelve (12) months prior to application.

Section 2. Euthanasia by Injection (EBI) Training Course Curriculum.

(1) The curriculum for the sixteen (16) hour EBI course shall provide information on the following subjects:

(a) Pharmacology, proper administration, and storage of euthanasia solutions that shall consist of a minimum of eight (8) hours;

(b) Federal and state laws regulating the procurement, management, and disposal for euthanasia drugs and sedation drugs used to assist in euthanasia;

(d) Proper animal handling with emphasis on easing the trauma and stress to the animal; and

(e) Disposal of euthanized animals.

(2) An EBI training course shall be reviewed and approved by the board prior to presentation. A provider of an EBI training shall submit the following information to the board for consideration of approval:

(a) A published course or similar description;

(b) Names and qualifications of current instructors;

(d) A copy of the full program curriculum;

(e) A copy of an official certificate of completion from the sponsoring agency; and

(f) Upon completion of the instruction of a sixteen (16)-hour euthanasia course, a complete attendee list to the board, including the following:

The dates and locations of the course;
Each attendee's full name and address; and
Notation by an individual's name if the course was not completed, or more than fifteen (15) consecutive minutes of any portion of the course was missed.

Section 3. An application to the board for certification as an animal euthanasia specialist shall include the following:

(1) A completed application on an Application for Certification as an Animal Euthanasia Specialist form or online equivalent form, including all required attachments;

(2) An official copy of final transcripts or a copy of the applicant's diploma from high school, or GED certificate, or other highest level of education attained;

(3) A copy of a certificate of completion from a board approved sixteen (16)-hour euthanasia by injection training course; and

(4) Payment for the application fee pursuant to 201 KAR 16:514.

Section 4. Renewal Requirements for a Certified Animal Euthanasia Specialist.

(1) A board-certified animal euthanasia specialist shall renew the board certification annually in accordance with 201 KAR 16:572.

(2) Failure to renew the certificate for an animal euthanasia specialist shall result in expiration of the certificate.

Section 5. An individual with an expired animal euthanasia specialist certificate may reinstate their certificate if not more than five (5) years have elapsed since the last date of certificate expiration. Reinstatement applications seeking board approval for certification as an animal euthanasia specialist shall include the following:

(1) A completed application on a Reinstatement Application for Animal Euthanasia Specialists form or online equivalent form, including all required attachments;

(2) Payment for the application fee pursuant to 201 KAR 16:514; and

(3) Proof of certification in the 16-hour euthanasia by injection training course pursuant to Section 1(7).

Section 6. An application to the board for approval for a change in certification status shall be made in accordance with 201 KAR 16:580.

Section 7. Background Checks. Pursuant to KRS 321.189, the board may:

(1) Conduct a national or jurisdictional level background check on each applicant for certification. The check shall be processed by a board approved background check provider, and may include a copy of the applicant's fingerprints captured at a board approved location;

(2) Accept the results of a state-wide employment background check in lieu of a state or federal background check if the background check results are not more than six (6) months old from the date of application;

(3) Reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old; and

(4) Impose additional administrative or safety requirements as a condition of certification or deny certification following the board's review of findings from a background check.

Section 8. Employment and Termination.

(1) A person may function as a certified animal euthanasia specialist only while the person remains employed by a board-certified animal control agency in the Commonwealth of Kentucky.

(2) Upon termination of employment with a certified animal control agency, a certified animal euthanasia specialist's certificate status shall automatically be moved by the board from an active to inactive status. The inactive certified individual shall not perform animal euthanasia until the person has obtained employment with a certified animal control agency with a certificate in active status, and applied to the board and been approved to move the animal euthanasia specialist certificate back into active status in accordance with 201 KAR 16:580.

Section 9. Disciplinary Action. A certified animal euthanasia specialist shall be subject to disciplinary action pursuant to KRS 321.235 and 321.351 for a violation of state or federal statutes or administrative regulations.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Certification as an Animal Euthanasia Specialist", 07/2023; and

(b) "Reinstatement Application for Animal Euthanasia Specialists", 07/2023.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS 257.160, 321.207, 321.351, Chapter 335B
STATUTORY AUTHORITY: KRS 321.207(4)-(7), 321.235(1)(a), (b), (2)(b)3
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.207(3) requires the Kentucky Board of Veterinary Examiners to issue a certificate to a person who meets the qualifications of an animal euthanasia specialist and is approved by the board for a certificate. KRS 321.235(1)(a), (b), and (2)(b)3. authorize the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation establishes the qualifications for certification as an animal euthanasia specialist, renewal, and reinstatement requirements, and the required course contents for the euthanasia by injection training each applicant is required to receive.
History: 46 Ky.R. 1736, 2470, 2612; eff. 6-30-2020; 49 Ky.R. 1475, 1907; eff. 7-5-2023; 50 Ky.R. 419, 1307, 1478; eff. 4-2-2024.

201 KAR 16:562 Duties and responsibilities of an animal euthanasia specialist {#sec-201-kar-16-562 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:562}

Section 1. Duties of a Certified Animal Euthanasia Specialist. The duties of a board-certified animal euthanasia specialist shall include:

(1) Preparing animals for euthanasia;

(2) Carefully and accurately recording dosages, administration, and drug waste;

(3) Ordering supplies and drugs in accordance with the employing certified animal control agency's operating procedures;

(4) Maintaining the security of all controlled substances and board-approved drugs in accordance with 201 KAR 16:550, 16:552, and other applicable federal, state, and local laws;

(5) Reporting to the board any infraction of KRS Chapter 321 or 201 KAR Chapter 16;

(6) Humanely euthanizing animals;

(7) Disposing of the carcasses in a manner consistent with local, state, and federal laws, including KRS 257.160, and shall be carried out according to the standard operating procedures of the board-certified animal control agency;

(8) Maintaining active certification with the board;

(9) Reporting to the board any change of address, phone, or email within thirty (30) days; and

(10) Providing a written response to a grievance or inquiry from the board within twenty (20) days of receipt.

Section 2. Animals Approved for Euthanasia by Board-certified Animal Euthanasia Specialists. Animal euthanasia shall be conducted within the restrictions outlined in this section, or the practice shall be considered the practice of veterinary medicine and subject to a penalty for practicing without a license.

(1) Euthanasia shall only be conducted upon animals owned by the certified animal control agency, except in cases of emergency care as defined by KRS 321.181(33).

(a) Temporary transfer of ownership or a temporary contract shall not be used for the purpose of circumventing this subsection; and

(b) Wildlife shall be redirected to a board-licensed veterinarian, Certified Wildlife Rehabilitator authorized to operate pursuant to 301 KAR 2:075, or to a Nuisance Wildlife Control Operator authorized to operate pursuant to 301 KAR 3:120.

(2) Euthanasia shall only be conducted upon the premises of the certified animal control agency, except in cases of emergency care as defined by KRS 321.181(33).

(3) All euthanized animals shall be disposed of in accordance with the certified animal control agency's standard operating procedures for carcass disposal in accordance with Section 1(7) of this administrative regulation, and shall not be returned to a prior owner.

Section 3. Approved Drugs for Animal Euthanasia, and Anesthesia or Sedation of Animals Prior to Euthanasia by Certified Animal Euthanasia Specialists.

(1) The drugs approved by the board for euthanasia are:

(a) Sodium pentobarbital; and

(b) Sodium pentobarbital mix which has been approved by the U.S. Food and Drug Administration for animal euthanasia.

(2) The drugs approved by the board for animal anesthesia or sedation prior to euthanasia are, or any combination thereof:

(a) Acepromazine;

(b) Dexmedetomidine;

(d) Xylazine.

(3) Expired drugs shall not be used.

(4) Expired drugs shall be disposed of in accordance with 201 KAR 16:552, Section 8.

Section 4. Approved Methods of Euthanasia.

(1) A certified animal euthanasia specialist shall perform euthanasia by means of lethal injection on an animal by use of board-approved euthanasia drugs and drugs used to anesthetize or sedate an animal prior to euthanasia in accordance with subsection (2) of this section.

(2) When using a lethal solution to perform euthanasia on an animal, a certified animal euthanasia specialist shall use the appropriate solution in accordance with the following methods and in the following order of preference, ensuring both humane euthanasia of the animal and the safety of the individuals handling the animal:

(a) Intravenous injection by hypodermic needle;

(b) Intracardial injection by hypodermic needle, but only on an anesthetized or unconscious animal;

(d) Solution or powder added to food.

Section 5. Except as provided for performing the duties set forth in this administrative regulation, an animal euthanasia specialist shall be prohibited from practicing veterinary medicine.

Section 6. Disciplinary Action. A certified animal euthanasia specialist shall be subject to disciplinary action pursuant to KRS 321.235 and 321.351 for a violation of state statutes or administrative regulations.

History

RELATES TO: KRS 257.160, 321.181, 321.207, 321.235, 321.351
STATUTORY AUTHORITY: KRS 321.207, 321.235
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.207(4) requires the Kentucky Board of Veterinary Examiners to issue a certificate to a person who meets the qualifications of an animal euthanasia specialist and is approved by the board for a certificate. KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation establishes the duties and responsibilities of an animal euthanasia specialist.
History: 49 Ky.R. 1543, 1908; eff. 7-5-2023; 51 Ky.R. 734, 1271; eff. 4-2-2025.

201 KAR 16:570 License renewal for veterinarians and veterinary technicians; renewal notice {#sec-201-kar-16-570 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:570}

Section 1.

(1) The board shall, not later than August 31 of each even-numbered year, email or mail to each licensed veterinarian a biennial renewal notice.

(2) The board shall, not later than August 31 of each year, email or mail to each licensed veterinary technician an annual renewal notice.

(3) The renewal application shall be completed by the licensee and returned to the board, including all required attachments and, if required by the board, proof of course completion for the required continuing education.

(4) Timely receipt of renewal application.

(a) Renewals bearing a postmark, or, if an online renewal, a timestamp, of September 30 or earlier shall be considered received on time.

(b) Renewals bearing a postmark, or, if an online renewal, a timestamp, between October 1 and November 30 shall be considered late and therefore incur a late fee pursuant to 201 KAR 16:510 for veterinarians and 201 KAR 16:512 for veterinary technicians.

(5)

(a) The renewal fee shall be attached to the completed renewal form when it is returned to the board.

(b) The renewal fee shall be paid in accordance with 201 KAR 16:510 for veterinarians and 201 KAR 16:512 for veterinary technicians.

Section 2.

(1) Every licensed veterinarian shall list his or her continuing education hours received pursuant to 201 KAR 16:590 on the Renewal Application for Veterinarians form or online equivalent form, including all required attachments, and if required, proof of attendance or completion of training to the board.

(2) Every licensed veterinary technician shall list his or her continuing education hours received pursuant to 201 KAR 16:590 on the Renewal Application for Veterinary Technicians form or online equivalent form, including all required attachments, and if required by the board, proof of course completion of the required continuing education.

(3)

(a) The board shall not renew the license of any person who fails to appropriately document the required hours of continuing education.

(b) The veterinarian license shall expire and subsequently be terminated as prescribed by KRS 321.211.

Section 3. The board shall not be held responsible or liable for lost renewal notices, or renewal notices not received, or not received on time.

(1) Regardless of cause, the board shall not have to refund money to a licensee who fails to renew in a timely manner pursuant to Section 1(4) of this administrative regulation.

(2) If a licensee fails to renew by the grace period deadline, the license shall expire. The former licensee may apply for reinstatement of the license within five (5) years from the date of expiration in accordance with 201 KAR 16:540. A reinstatement application shall be required during this period; an application for a new license shall not be accepted until five (5) years after the last date of expiration.

Section 4. Every licensed veterinarian or veterinary technician shall:

(1) File his or her legal name and proper and current mailing address with the board at its principal office; and

(2) Within thirty (30) days, notify the board of any changes of his or her legal name or mailing address by submitting a completed Request for Name or Address Change form.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Renewal Application for Veterinarians", 3/2020;

(b) "Renewal Application for Veterinary Technicians", 3/2020; and

History

RELATES TO: KRS 321.193, 321.211, 321.221, 321.441
STATUTORY AUTHORITY: KRS 321.235(3), 321.240(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.193, 321.221, and 321.441 require the Kentucky Board of Veterinary Examiners to issue a license to all persons successfully passing the examination and being qualified to engage in the practice of veterinary medicine or as a veterinary technician in the Commonwealth of Kentucky. KRS 321.211 and 321.441 provide for the renewal of the license. KRS 321.235(3) and 321.240(5) authorize the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation requires a renewal notice to all licensed veterinarians and veterinary technicians and requires all licensed veterinarians and veterinary technicians to complete the renewal application and return it, along with the renewal fee, to the board. It further requires all licensed veterinarians and veterinary technicians to keep the board apprised of the legal name and current address of the licensee.
History: 46 Ky.R. 1738,2614; eff. 6-30-2020.

201 KAR 16:572 Certificate renewal for animal control agencies and animal euthanasia specialists; renewal notice {#sec-201-kar-16-572 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:572}

Section 1.

(1) The board shall, not later than February 1 of each year, email or mail to each certified animal control agency and animal euthanasia specialist a renewal notice.

(2) The renewal application shall be completed by the credential holder and returned to the board, including all required attachments and fees.

(3) Timely receipt of renewal application.

(a) Renewals bearing a postmark, or, if an online renewal, a timestamp, of March 1 or earlier shall be considered received on time.

(b) Renewals bearing a postmark, or, if an online renewal, a timestamp, between March 2 and April 30 shall be considered late and therefore incur a late fee pursuant to 201 KAR 16:514.

(4) The renewal fee shall be attached to the completed renewal form when it is returned to the board.

(a) For certified animal control agencies, the renewal form shall be the Renewal Application for Animal Control Agencies form or online equivalent form, including all required attachments.

(b) For certified animal euthanasia specialists, the renewal form shall be the Renewal Application for Animal Euthanasia Specialists form or online equivalent form, including all required attachments.

(5) The renewal fee shall be paid in accordance with 201 KAR 16:514.

Section 2. The board shall not be held responsible or liable for lost renewal notices, or renewal notices not received, or not received on time.

(1) Regardless of cause, the board shall not have to refund money to a certificate holder who fails to renew in a timely manner pursuant to Section 1(3) of this administrative regulation.

(2) If a certificate holder fails to renew by the grace period deadline, the certificate shall expire. The former certificate holder may apply for reinstatement of the certificate within five (5) years from the date of expiration in accordance with 201 KAR 16:550 and 201 KAR 16:560. A reinstatement application shall be required during this period; an application for a new certificate shall not be accepted until five (5) years after the last date of expiration.

Section 3. Current contact information shall be on file with the board.

(1)

(a) Every certified animal control agency shall:

File a proper and current mailing address, phone, and, if available, email with the board at its principal office;
Within thirty (30) days, notify the board of any changes of the agency's mailing address by submitting a completed Request for Name or Address Change form or online equivalent form provided by the board; and
Identify on the renewal form each person who is currently employed for the purpose of animal euthanasia and each board credential holder who is employed with, either directly or by contract or agreement, to conduct animal euthanasia or the practice of veterinary medicine or the practice of veterinary technology at the animal control agency.

(b)

Every certified animal control agency shall file an update with the board to notify the board of any changes to the designated on-site manager tasked with management of controlled substances and the euthanasia program pursuant to 201 KAR 16:550, or of any changes of the on-site manager's legal name or personal address.
Updates may be filed on the annual Renewal Application for Animal Control Agencies form or online equivalent form, or on the Request for a New Designated On-site Manager form or online equivalent form, including all required attachments.

(c) Background checks. For a new agency designated on-site manager, the board may conduct a national or jurisdictional level background check on each designated on-site manager. The check shall be processed by a board approved background check provider, and may include a copy of the designated on-site manager's fingerprints captured at a board approved location. The board may accept the results of an employment background check from the county office in lieu of a state or federal background check if the background check results are not more than six (6) months old from the date of application. The board may reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old. The board may impose additional requirements as a condition of certification or deny certification following the board's review of findings from a background check. The results shall be submitted to the board within thirty (30) days of designating a new designated on-site manager.

(2)

(a) Every certified animal euthanasia specialist shall:

File his or her legal name and proper and current mailing address with the board at its principal office; and
Within thirty (30) days, notify the board of any changes of his or her legal name or mailing address by submitting a completed Request for Name or Address Change form or online equivalent form provided by the board.

(b) Updates may be filed on the annual Renewal Application for Animal Euthanasia Specialists form or online equivalent form, or on the Request for Name or Address Change form or online equivalent form, including all required attachments.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Renewal Application for Animal Control Agencies", 12/2022;

(b) "Renewal Application for Animal Euthanasia Specialists", 12/2022;

(d) "Request for Name or Address Change", 12/2022.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS 321.207
STATUTORY AUTHORITY: KRS 321.207(1), (3), 321.235(3), 321.240(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.207(1) and (3) require the Kentucky Board of Veterinary Examiners to issue a certificate to all animal control agencies being qualified to register with the United States Drug Enforcement Administration (DEA) to purchase, possess, and use board authorized controlled substances, and to all persons qualified to engage in the practice of animal euthanasia in the Commonwealth of Kentucky. KRS 321.235(3) and 321.240(5) authorize the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation requires a renewal notice to all certified animal control agencies and animal euthanasia specialists and requires all certified animal control agencies and animal euthanasia specialists to complete the renewal application and return it, along with the renewal fee to the board. It further requires all certified animal control agencies and animal euthanasia specialists to keep the board apprised of the legal name and current address of the certificate holder.
History: 46 Ky.R. 1740, 2472, 2615; eff. 6-30-2020; 49 Ky.R. 1476, 1909; eff. 7-5-2023.

201 KAR 16:580 Board issued licenses and certificates, inactive and retired statuses {#sec-201-kar-16-580 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:580}

Section 1. Inactive License Status for Veterinarians and Veterinary Technicians.

(1) A veterinarian or veterinary technician licensee of the board with a license in active status may request inactive licensure status by:

(a) Submitting a completed application Request for Licensure Status Change form or online equivalent form, including all required attachments; or

(b) Designating his or her intent to convert to inactive status on the appropriate renewal form for that license type during a renewal period in accordance with 201 KAR 16:570.

(2) A licensee whose license is designated with an inactive status shall pay a renewal fee during each license cycle in accordance with 201 KAR 16:510 for veterinarians and 201 KAR 16:512 for veterinary technicians.

(3) Continuing education credits shall not be required for licensees while in inactive status.

(4) A licensee whose license is in an inactive status may request reinstatement to an active license status by:

(a)

Completing and submitting the appropriate reinstatement application or online equivalent form, including all required attachments:

a. Reinstatement Application for Veterinarians; or

b. Reinstatement Application for Veterinary Technicians; or

Designating intent to reinstate to active status on the appropriate renewal form for that license type during a renewal period in accordance with 201 KAR 16:570;

(b) Completing and providing proof of continuing education in accordance with 201 KAR 16:590; and

(c) Paying the reinstatement fee pursuant to 201 KAR 16:510 for veterinarians and 201 KAR 16:512 for veterinary technicians.

(5) There shall be no time limit on the number of years a veterinarian's license or veterinary technician's license may remain in an inactive status.

(6) A licensee whose license is in an inactive status shall not practice his or her profession in any capacity within the Commonwealth of Kentucky as long as the license remains in inactive status.

Section 2. Inactive License Status for Animal Euthanasia Specialists.

(1) A certified animal euthanasia specialist with a certificate in active status may request inactive licensure status by:

(a) Submitting a completed application Request for Licensure Status Change form or online equivalent form, including all required attachments; or

(b) Designating his or her intent to convert to inactive status on the Renewal Application for Animal Euthanasia Specialists form as found in 201 KAR 16:572 during a renewal period.

(2) A certified animal euthanasia specialist with a certificate in active status shall be moved to inactive licensure status by the board if:

(a) His or her employment is severed with the animal control agency of record in the certificate holder's file; or

(b) The animal control agency employing the animal euthanasia specialist fails to renew its certificate in a timely manner.

(3) A certified animal euthanasia specialist whose certificate is designated with a status of inactive shall not pay a renewal fee.

(4) A certified animal euthanasia specialist whose certificate is in an inactive status pursuant to subsection (1) of this section may request reinstatement to an active certificate status by:

(a)

Submitting a completed Reinstatement Application for Animal Euthanasia Specialists form, including all required attachments; or
Designating his or her intent to reinstate to active status on the Renewal Application for Animal Euthanasia Specialists form as found in 201 KAR 16:572 during a renewal period; and

(b) Paying the reinstatement fee pursuant to 201 KAR 16:514.

(5)

(a) A certified animal euthanasia specialist whose certificate is in an inactive status due to a board action may request reinstatement to active certificate status if:

The certificate of the animal control agency of record has been reinstated; or
The certified animal euthanasia specialist is employed by another certified animal control agency.

(b) The request shall be made by submitting a completed Reinstatement Application for Animal Euthanasia Specialists form and paying the reinstatement fee pursuant to 201 KAR 16:514.

(6) An animal euthanasia specialist certificate in inactive status shall expire after five (5) years.

(7) A certificate holder whose license is in an inactive status shall not practice his or her profession in any capacity within the Commonwealth of Kentucky as long as the certificate remains in inactive status.

Section 3. Background checks. The board may conduct a national or jurisdictional level background check on each applicant for reinstatement of licensure or certification. The check shall be processed by a board approved background check provider, and may include a copy of the applicant's fingerprints captured at a board approved location. The board may reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old. The board may impose additional requirements as a condition of licensure or certification or deny licensure or certification following the board's review of findings from a background check.

Section 4. Retired License Status.

(1) A licensee of the board may request retired status by:

(a) Submitting a completed application Request for Licensure Status Change form or online equivalent form, including all required attachments; or

(b) Designating his or her intent to convert to retired status on the appropriate renewal form for that license type during a renewal period in accordance with 201 KAR 16:570.

(2) A licensee whose license is designated in a retired status shall pay a one-time fee in accordance with 201 KAR 16:510 for veterinarians and 201 KAR 16:512 for veterinary technicians.

(3) Once a license has been designated in a retired status, the license cannot be reinstated.

(a) The board shall not authorize a person whose license is in a retired status to reinstate his or her license.

(b) A person whose license is in a retired status who desires to practice again shall complete and submit a new application for licensure to the board in accordance with 201 KAR 16:540.

(4) A person whose license is a retired status shall not be able to practice his or her profession in any capacity within the Commonwealth of Kentucky unless he or she holds a new, separate license issued by the board.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Request for Licensure Status Change", 2/ 2020;

(b) "Reinstatement Application for Veterinarians", 3/2020;

(d) "Reinstatement Application for Animal Euthanasia Specialists", 3/2020.

History

RELATES TO: KRS 321.207, 321.211, 321.441
STATUTORY AUTHORITY: KRS 321.190, 321.211(8), 321.235(3), (6), 321.240(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(3) and 321.240(5) authorize the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to implement KRS Chapter 321. KRS 321.235(6) authorizes the board to promulgate administrative regulations regarding the issuance and renewal of retired and inactive licenses. This administrative regulation establishes the procedures for the issuance and renewal of retired and inactive licenses and certificates.
History: 46 Ky.R. 1741, 2474, 2616; eff. 6-30-2020.

201 KAR 16:590 Continuing education requirements, veterinarians and veterinary technicians {#sec-201-kar-16-590 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:590}

Section 1. Definitions.

(1) "Approved program of continuing education" is defined by KRS 321.181(11).

(2) "Approved provider of continuing education" is defined by KRS 321.181(12).

(3) "Continuing education" is defined by KRS 321.181(25).

Section 2. Continuing education (CE) is designed to ensure the continued competence of a board credential holder. CE is a part of personal life-long learning in the credential holder's area of expertise, responsibility, and domains of practice, ensuring a commitment to furthering the person's professional knowledge, as well as learning new skills and techniques in the person's area of practice, in order to best serve and protect the public and animals of the Commonwealth.

Section 3. Continuing Education Requirements for Veterinarian and Veterinary Technician License Renewal and Reinstatement.

(1) A veterinarian shall complete biennially thirty (30) hours of continuing education to be eligible for renewal of their license.

(a) At least twenty (20) of the thirty (30) hours shall be directly related to the practice of veterinary medicine.

(b) For the renewal period and reinstatements beginning after September 30, 2024, at least two (2) of the thirty (30) required renewal hours shall be in:

Pharmacy or controlled substances;
Antimicrobials; or
State or federal laws and regulations related to the practice of veterinary medicine.

(c) No more than ten (10) of the thirty (30) hours shall pertain to practice management or other administrative, wellbeing, and professional topics that are not directly related to the practice of veterinary medicine.

(2) A veterinary technician shall annually complete six (6) hours of continuing education in the area of the practice of veterinary medicine or veterinary technology to be eligible for renewal of their license.

(a) For the renewal period and reinstatements beginning after September 30, 2024, at least one (1) of the six (6) hours shall be in:

Pharmacy or controlled substances;
Antimicrobials; or
State or federal laws and regulations related to the practice of veterinary medicine or the practice of veterinary technology.

(b) No more than three (3) of the six (6) hours shall pertain to practice management or other administrative, wellbeing, and professional topics that are not directly related to the practice of veterinary medicine or the practice of veterinary technology.

(3) In addition to attendance at a conference, lecture, or seminar, a veterinarian or veterinary technician may complete the hours of continuing education required for renewal or reinstatement by the completion of audio or video recordings or electronic, computer, or interactive material prepared or approved by any of the organizations established in Section 4(1) and (2) of this administrative regulation.

(a) A veterinarian shall earn at least fifteen (15) of the required thirty (30) CE hours and a veterinary technician shall earn at least three (3) of the required six (6) CE hours in a live, realtime format either in-person or online.

(b) A veterinarian shall earn no more than fifteen (15) of the required thirty (30) CE hours and a veterinary technician shall earn no more than three (3) of the required six (6) CE hours in an online format that is pre-recorded.

(4) All CE earned shall be new, continuing education. A veterinarian or veterinary technician shall not apply CE earned in the immediate prior renewal period, or earned and applied for licensure reinstatement toward renewal of their license in the current renewal cycle.

(5)

(a) Continuing education shall be earned from October 1 of each renewal period until September 30 at the end of the period, or until November 30 at the end of the grace period with the addition of a late fee in accordance with 201 KAR 16:510 for veterinarians and 201 KAR 16:512 for veterinary technicians.

(b) A licensee may apply continuing education hours to only one (1) renewal cycle. Continuing education hours earned for a given course shall not be applied to the total required hours again in any subsequent renewal cycle.

(c) A credential holder who receives a board discipline that requires continuing education as a part of any reprimand, settlement agreement, or final order, shall earn the required CE in addition to the CE required for licensure renewal.

(6) A veterinarian applying for renewal after completing their initial term of licensure after graduating from a veterinary college may complete a reduced number of hours of continuing education to be eligible for renewal as established in this subsection. This subsection shall not apply to applicants for licensure by endorsement under KRS 321.221 who graduated prior to the renewal biennium during which they were initially licensed.

(a) A veterinarian completing their initial term of licensure who graduated from a veterinary college during the first year of the renewal biennium shall complete fifteen (15) hours of continuing education to be eligible for renewal.

(b) Continuing education requirements shall be waived for a veterinarian completing their initial term of licensure who graduated during the second year of the renewal biennium.

(7) For a veterinary technician, continuing education requirements shall be waived for a new licensee completing their initial term of licensure who also graduated within twelve (12) months of initial licensure.

(8)

(a) A veterinarian or veterinary technician may submit a written request to the board for approval of a fellowship, internship, or residency in lieu of the continuing education courses required for license renewal, subject to board review for the number of hours to be awarded.

(b) The number of continuing education hours granted shall be determined by the board.

Include a letter of verification from an authorized representative of the organization providing the fellowship, internship, or residency opportunity;
Be printed on the organization's letterhead;
Provide a brief description of the position itself, a summary of assigned tasks, and the anticipated or completed beginning and ending dates of the position; and
Be signed by an authorized representative of the organization who is knowledgeable about the position being verified.

(9) Failure to earn the minimum required amount of CE by the renewal deadline or grace period deadline shall be cause for the board to move a license to an expired status.

(10) Continuing education hours shall be required as follows for reinstatement applications:

(a) For veterinarians, thirty (30) hours earned in a twenty-four (24) month period immediately prior to the date of application, or as required by the board to complete the application after filing; and

(b) For veterinary technicians, six (6) hours earned in a twelve (12) month period immediately prior to the date of application, or as required by the board to complete the application after filing.

(11) During a statewide state of emergency declared by the Governor of Kentucky, a national emergency declared by the President of the United States, pandemic, or epidemic, the board may change the in-person requirement for CE or waive CE for a temporary period of time. After taking such an action, the board shall send notice to all licensees and post the change and duration of change on the board's Web site.

Section 4. Approved Programs of Continuing Education.

(1) The board hereby approves the following continuing education courses:

(a) All scientific programs of the American Veterinary Medical Association (AVMA), its constituent organizations and its recognized specialty groups as listed on the AVMA Web site, and Council on Education (COE) or Committee on Veterinary Technician Education and Activities (CVTEA) accredited veterinary medical institutions whose meetings impart educational material directly relating to veterinary medicine or veterinary technology;

(b) Programs approved by the Registry of Approved Continuing Education (RACE) of the American Association of Veterinary State Boards (AAVSB);

(c) Accreditation modules offered by the United States Department of Agriculture (USDA) Animal and Plant Health Inspection Service (APHIS), which shall be counted for one (1) hour per module;

(d) Attendance at a board meeting, which shall be counted for the time the attendee is present and during which the board is in session or the duration of the meeting in half-hour increments up to three (3) hours, per meeting. There shall be a maximum of six (6) hours allowable for veterinarians and three (3) hours per LVTs per renewal cycle; and

(e) All programs approved by the board pursuant to subsection (4) of this section.

(2) Licensees may use a maximum of six (6) USDA APHIS Modules for licensees certified in Category II and a maximum of three (3) USDA APHIS Modules for licensees certified in Category I in any single renewal period.

(3) Licensees shall earn new CE each renewal cycle, and shall not use CE previously applied to any past renewal or to reinstatement, if reinstatement occurred during the current renewal cycle.

(4) Board approved CE requirements.

(a) The board may approve programs that are deemed to impart knowledge directly relating to the practice of veterinary medicine, including the utilization and application of new techniques, scientific and clinical advances, and the achievement of research to assure expansive and comprehensive care to the public.

(b) To request approval, a completed Request for Continuing Education Approval form, including all required attachments, and the submission of fees as prescribed in 201 KAR 16:516, shall be submitted to the board.

(c) A continuing education program that satisfies board requirements for an approved program of continuing education shall:

a. Be offered, provided, or sponsored by an organization that is an approved provider of continuing education; or

b. Be an approved program of continuing education;

a. Have a clearly stated purpose and defined content area;

b. Be offered to the public or general licensee population, and not offered internally only to employees of a single organization;

c. Be consistent with the overall goals of continuing education as defined in Sections 2 and 3 of this administrative regulation;

d. Have a presenter who is a professional qualified in the defined content area; and

e. Clearly state the program's duration. Actual contact time shall be a minimum of one (1) continuing education contact hour as defined in KRS 321.181(26), and shall not include breaks or meals; and

If approved, the course provider shall maintain for a minimum of four (4) years records of CEs presented, and shall include the name and license number of each attendee.

Section 5. Continuing Education Documentation Requirements.

(1) A licensee shall:

(a) Secure official documentation from the course provider of completed attendance at a course, detailing the:

Hours earned;
Name of the course;
Provider of the course;
Method of delivery, and if an online course, live, interactive, or non-interactive;
Date of the course; and
Licensee's name.

(b) Submit on the Renewal Application for Veterinarians form or Renewal Application for Veterinary Technicians form as found in 201 KAR 16:570 or online equivalent forms, as appropriate, and include the name, dates, and identifying information for each course they attended;

(c) If audited by the board or upon request by the board, supply copies of official documentation from the course provider which includes all the information required in paragraph (a) of this subsection; and

(d) Retain copies of continuing education documentation for a period of four (4) years from the date of licensure renewal.

(2) The board may require an applicant or licensee to submit copies of documentation in accordance with subsection (1) of this section documenting their attendance at continuing education courses.

Section 6. Audits.

(1) The board shall audit documentation supporting the completion of the appropriate number of continuing education hours for:

(a) Any veterinarian or veterinary technician who was disciplined by the board in the renewal cycle or if an order of the board further specifies a CE audit of that veterinarian or veterinary technician; and

(b) At least one (1) member of the board.

(2) The board may audit any licensee for documentation supporting the completion of the appropriate number of continuing education hours for:

(a) A minimum of ten (10) percent of all veterinarians and veterinary technicians;

(b) Any licensee who does not renew their license by September 30 of each renewal cycle; or

Section 7. Continuing Education Requirement Waivers.

(1) Medical disability, illness, or other extenuating circumstances. The board may, in individual cases involving medical disability, illness, or other extenuating circumstances clearly warranting relief, grant a waiver of the continuing education requirements or an extension of time within which to fulfill the same or make the required reports.

(a) A written request for an extension or waiver of continuing education requirements for medical disability, illness, or other extenuating circumstances clearly warranting relief shall be submitted by the licensee. The board may require a signed document from a physician or other health care provider to verify the licensee's claimed disability or illness, or verification from an official for other extenuating circumstances.

(b) A waiver of the minimum continuing education requirements or an extension of time within which to fulfill the requirements shall not be granted by the board for a period of time exceeding one (1) renewal cycle.

(c) If the medical disability, illness, or other extenuating circumstances clearly warranting relief upon which a waiver or extension has been granted persists beyond the period of the waiver or extension, the licensee shall have the option to apply for another extension.

(2) Military duty. The board shall grant a waiver to a licensee who is unable to meet the continuing education requirements of this administrative regulation because of obligations arising from military duty.

(a) A licensee who is called to active duty in the armed forces shall not be required to complete the continuing education requirement for licensure periods during which that status exists.

(b) The licensee requesting an extension or waiver pursuant to this subsection shall submit with their renewal or reinstatement paperwork, the appropriate military assignment form, deployment orders, or a statement from the licensee's unit commander confirming the call-up or deployment.

Section 8. Incorporation by Reference.

(1) "Request for Continuing Education Approval", 9/2024, is incorporated by reference.

History

RELATES TO: KRS 321.181, 321.190, 321.211, 321.221, 321.235, 321.441, 321.442
STATUTORY AUTHORITY: KRS 321.211(7), 321.235(1)(a)-(c), (2)(b)1.a., 3.b., 321.441(8), 321.442(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(2)(b)1.a., 321.211(7),321.441(8), and 321.442(7) authorize the Kentucky Board of Veterinary Examiners to require a person applying for renewal or reinstatement of a veterinarian or veterinary technician license to show evidence of completion of continuing education to ensure the continued competence of licensees. KRS 321.235(1)(a)-(c) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)1.a. and 3.b. authorizes the board to promulgate administrative regulations to establish and enforce mechanisms to ensure continuing competence, and to administer licensure, certification, permitting, and registration. This administrative regulation establishes the requirements for continuing education hours relating to licensure renewal for veterinarians and veterinary technicians.
History: 46 Ky.R. 1743, 2475, 2617; eff. 6-30-2020; 51 Ky.R.736, 1427; eff. 5-6-2025.

201 KAR 16:600 Prescription and dispensation of drugs for animal use {#sec-201-kar-16-600 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:600}

Section 1. Definitions.

(1) "Legend drug" means a veterinary prescription drug.

(2) "Prescription" means an order from a veterinarian to a pharmacist or another veterinarian authorizing the dispensing of a veterinary prescription drug to a client for use on or in a patient.

(3) "Veterinary drug" means:

(a) A drug for animal use recognized in the official United States Pharmacopoeia or official National Formulary of the United States;

(b) A drug intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in animals;

(c) A drug, other than feed, medicated feed, or a growth promoting implant intended to affect the structure or function of the body of an animal; or

(d) A drug intended for use as a component of a drug in paragraph (a), (b), or (c) of this subsection.

(4) "Veterinary prescription drug" means:

(a) A drug that is not safe for animal use without a veterinarian using or ordering the use of the product, and that is required by federal law to bear the following statement: "Caution: federal law restricts this drug to use by or on the order of a licensed veterinarian";

(b) A drug that is required by state law to be dispensed only on order or prescription of a licensed veterinarian;

(d) A medicament compounded by mixing two (2) or more legally-obtained over-the-counter or prescription drugs.

Section 2. Prescribing and Dispensing.

(1) A veterinary prescription shall include all of the following:

(a) The name and address of the veterinarian and, if the prescription is a written order, the signature of the veterinarian;

(b) The name and address of the client;

(d) The name, strength, and quantity of the drug prescribed;

(e) The date on which the prescription is issued;

(f) The directions for administering the drug;

(g) If the patient is a food producing animal, the withdrawal time for the veterinary drug;

(h) If the prescription authorizes extra-label use, the manner in which the client may use the drug;

(i) Any cautionary statements required by law; and

(j) Number of refills allowed, not to exceed the limitations established in Section 6(2) of this administrative regulation.

(2) A veterinarian shall not prescribe for or dispense to a client a veterinary prescription drug or a drug for extra-label use without first personally examining the patient unless a veterinarian-client-patient relationship (VCPR) already exists between the prescribing veterinarian, client and patient, and the veterinarian determines that the client has sufficient knowledge to administer the drug properly.

(3) A veterinarian shall not prescribe or dispense a veterinary prescription drug to a client unless the veterinarian indicates in the appropriate records described in Section 4 of this administrative regulation, within seventy-two (72) hours after the prescription is issued or the drug is dispensed, that the prescription has been issued or that the drug has been dispensed.

(4) A veterinarian shall not prescribe a drug to a client for extra-label use on a patient unless all of the following apply:

(a) The VCPR exists between the veterinarian, client and patient, and the veterinarian has made a careful medical diagnosis of the condition of the patient within the context of that VCPR;

(b) The veterinarian determines that there is no drug that is marketed specifically to treat the patient's diagnosed condition, or determines that all of the drugs that are marketed for that purpose are clinically ineffective;

(c) The veterinarian recommends procedures to ensure that the identity of the patient receiving the drug can be readily ascertained in the future; and

(d) If the patient is a food producing animal, the veterinarian prescribes a sufficient time period for drug withdrawal before the food from the patient may be marketed.

(5) A veterinarian shall not transmit a prescription electronically unless the client approves the transmission and the prescription is transmitted to a pharmacist or veterinarian designated by the client.

(6) A veterinarian shall not refuse to write an otherwise appropriate prescription for a patient with a valid VCPR solely because the prescription may be filled at an establishment other than the veterinarian's own clinic or pharmacy.

Section 3. Labeling.

(1) A veterinarian shall not dispense a drug that has been prepared, mixed, formulated, or packaged by the veterinarian unless the veterinarian affixes to the container in which the drug is dispensed a label containing all of the information specified in Section 2(1) of this administrative regulation, except the address of the client.

(2) A veterinarian shall not dispense a veterinary prescription drug that has been prepackaged by its manufacturer for dispensing unless the veterinarian affixes to the container in which the drug is dispensed a label containing all of the information specified in Section 2(1) of this administrative regulation, except the address of the client.

(3) A veterinarian may dispense a veterinary over-the-counter drug without affixing any information to the container in which the drug is dispensed if a label that has been affixed to the container by its manufacturer provides adequate information for its use.

Section 4. Prescription Records.

(1) A veterinarian shall maintain complete records of each veterinary prescription drug that the veterinarian receives, prescribes, dispenses, or administers, and of each prescription issued by the veterinarian that authorizes extra-label use.

(2) Records of each veterinary prescription drug shall include:

(a) The name of each veterinary prescription drug that is received;

(b) The name and address of the person from whom the drug is received;

(d) The name and address of the person to whom the drug is dispensed;

(e) The date and quantity dispensed; and

(f) If the veterinarian prescribes or administers the drug, the information specified in Section 2(1) of this administrative regulation.

(3) Records of each prescription authorizing extra-label use shall include the information specified in Section 2(1) of this administrative regulation.

(4) A veterinarian shall maintain records of each veterinary prescription drug for at least five (5) years after the date on which the veterinarian prescribes, dispenses, or administers the drug or extra-label use.

Section 5.

(1) A veterinarian may refuse to write a prescription for controlled substances or a prescription for any medication that, in the veterinarian's medical judgment, is not appropriate for the patient's medical care.

(2) A veterinarian may refuse to write a prescription if it is not directly requested by a client with whom there is, in the veterinarian's opinion, a current and existing VCPR.

(3) A prescription shall be construed to include any manner of authorization for filling a prescription, including verbal or electronic communication.

(4) The veterinarian may delegate to an office employee the authority to communicate a refill of a legend drug to the pharmacy on behalf of the veterinarian pursuant to written protocol established prior to the delegation of that authority.

Section 6.

(1) A veterinarian shall ensure that federal legend drugs and veterinary prescription drugs are maintained, logged, administered, prescribed, dispensed, and destroyed in compliance with state and federal laws.

(2) A veterinarian shall not prescribe or dispense a quantity of drug that is greater than that the amount required for one (1) year of treatment for an animal, herd, or flock.

(3) To prescribe, sell, distribute, or dispense any drug requiring a prescription for use in the context of an animal, herd, or flock, a veterinarian shall first do all of the following:

(a) Perform an appropriate history and physical examination;

(b) Make a diagnosis based upon the history, physical examination, and pertinent diagnostic and laboratory tests;

(c) Formulate a therapeutic plan, and discuss it with the animal's owner (or the owner's agent), along with the basis for it and the risks and benefits of various treatments options, a part of which might be a prescription drug; and

(d) Ensure availability of the veterinarian or the veterinarian's staff for appropriate follow-up care.

Section 7. Rabies Vaccine Administration. The administration of a rabies vaccine shall be in accordance with the provisions of KRS 258.015 and 902 KAR 2:070.

Section 8.

(1) A veterinarian may dispense a prescription drug only if the prescribing veterinarian has established a VCPR.

(2) If the dispensing veterinarian does not have a VCPR, a licensed veterinary technician or a veterinary assistant may assist in the delivery of a veterinary drug, legend drug, or veterinary prescription drug only while he or she is under the direct supervision of a licensed veterinarian.

(3) If the dispensing veterinarian does have a VCPR, a licensed veterinary technician or veterinary assistant may assist in the delivery of a veterinary drug, legend drug, or veterinary prescription drug while he or she is under the indirect supervision of a licensed veterinarian.

(4) If a licensed veterinary technician or a veterinary assistant acts under the provisions of this section, the licensed veterinarian shall ensure that the requirements of this administrative regulation are met.

Section 9. Enforcement. If the board has reason to believe that a veterinarian or person claiming to be a veterinarian is violating or has violated this administrative regulation, the board may:

(1) Inspect the premises on which the veterinarian or person claiming to be a veterinarian possesses, prescribes, dispenses, labels or administers veterinary drugs;

(2) Inspect relevant records, equipment, materials, containers, or facilities;

(3) Collect samples of veterinary drugs found on the premises; and

(4) Conduct any other investigative activities necessary to open a case and issue a determination and, if necessary, hold hearings and enact discipline on the individual.

History

RELATES TO: KRS 258.015, 321.181(5)(b)
STATUTORY AUTHORITY: KRS 321.235(3), 321.240(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.181(5)(b) provides that the practice of veterinary medicine includes the prescribing, administering, or dispensing of drugs and medications for veterinary purposes. KRS 321.235(3) and 321.240(5) authorize the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to carry out and enforce the provisions of KRS Chapter 321. This administrative regulation establishes a procedure for the prescription and dispensation of drugs by licensed veterinarians for use in animals.
History: 46 Ky.R. 1745, 2477, 2618; eff. 6-30-2020.

201 KAR 16:610 Procedures for grievances, investigations, and administrative charges {#sec-201-kar-16-610 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:610}

Section 1. Definition. "Grievance" means a complaint or any allegation of misconduct that might constitute a violation of KRS Chapter 321 or 201 KAR Chapter 16.

Section 2. Intake of Grievances.

(1)

(a) A grievance may be submitted by any individual, organization, credential holder, or entity.

(b) The board or its chair or its executive director may submit a grievance on its own initiative based on information in its possession that the board concludes is sufficiently credible to justify a request for a response from the credential holder (or other individual named in the grievance).

(2) The grievance shall be in writing on a Grievance Form or online equivalent form provided by the board, and shall include the complaining party's name, address, telephone number, and signature. Electronic signatures shall be accepted.

(3) At any time, the board may investigate or seek further information about any subject regarding a grievance filed with the board, or upon information received which may lead to a grievance filed with or by the board.

(4) The board shall send a copy of each grievance to the credential holder (or other individual named in the grievance) along with a request for a response. The response shall be required within twenty (20) days from the date of when the board sent a copy of the written grievance. Failure to respond in writing within twenty (20) days may constitute a violation of KRS Chapter 321 and 201 KAR Chapter 16.

Section 3. Initial Review of Grievances.

(1) After the time period for the credential holder's (or named individual's) response has elapsed, at the next scheduled board meeting the Grievance Committee shall consider the grievance, the response if one was received, and other relevant information that is available to the Committee.

(2) The Grievance Committee shall determine if an investigation is warranted after reviewing the information that is available.

(3) If, in the opinion of the Grievance Committee, a grievance does not warrant an investigation, then the board shall notify the complaining party and the respondent that the grievance is being dismissed.

(4) The dismissal of a grievance shall constitute a final action of the board. Following the dismissal, the grievance, the response from the individual named in the grievance, and correspondence that is intended to give notice of the dismissal shall be subject to disclosure pursuant to the Kentucky Open Records Act, KRS 61.870 through 61.884.

(5) If, in the opinion of the committee, a grievance warrants an investigation, then the board shall open an investigation into the matter.

Section 4. Investigations.

(1) The Grievance Committee shall have the authority to direct an investigation and shall exercise those powers possessed by the board in regard to investigations as provided by KRS 321.235.

(2) The Grievance Committee shall have the authority to request the participation of any person in an investigation. The refusal or failure of any board credential holder to participate when requested, or to provide information and documents requested by the committee within the requested timeframe, shall be considered a violation of KRS Chapter 321 and 201 KAR Chapter 16.

(3) Investigative reports shall be reviewed at a meeting of the committee.

Section 5. Reports and Recommendations Following Investigation.

(1) If the committee determines that the results of an investigation do not warrant the issuance of an administrative charge against the individual named in the grievance, then the board shall notify the complaining party and the individual that the grievance is being dismissed without further action.

(2) The dismissal of a grievance following an investigation shall constitute a final action of the board. Following the dismissal, the grievance, the response from the individual named in the grievance, correspondence that is intended to give notice of the dismissal, and any other documents obtained or generated during the investigation (other than those documents that are subject to a legitimate claim of privilege or otherwise exempt from disclosure by law) shall be subject to disclosure pursuant to the Kentucky Open Records Act, KRS 61.870 through 61.884.

(3) If the committee determines that the results of an investigation warrant the issuance of an administrative charge against a credential holder, then the board may seek settlement or file a notice of administrative hearing under KRS Chapters 13B and 321.

(4) If the committee determines that the results of an investigation warrant proceedings against a person who is not a credential holder, then the board shall cause a civil action to be prepared for filing in the Franklin Circuit Court or other court of competent jurisdiction.

Section 6. Proceedings Following the Issuance of an Administrative Charge.

(1) The board shall arrange for the appointment of a hearing officer in accordance with KRS 13B.030 and 13B.040.

(2) The board's legal counsel shall act as the prosecuting attorney in regard to any disciplinary proceeding unless the board appoints a special prosecuting attorney.

(3) The board may appoint a representative of the Attorney General's office or another attorney to act as advisory counsel to the board in regard to any deliberations of the board following the issuance of an administrative charge.

(4) The provisions of KRS Chapter 13B shall govern the conduct of the proceeding.

(5) The board shall order the respondent to file an Answer to the Notice of Administrative Hearing within twenty (20) days of the date the Notice of Administrative Hearing was served on the respondent.

Section 7. At the conclusion of the case, the board shall notify the complainant of the outcomes.

Section 8. Incorporation by Reference.

(1) "Grievance Form", 12/2022, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 107 Corporate Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at www.kybve.com.

History

RELATES TO: KRS Chapter 13B, 61.870 - 61.884, 321.190, 321.235(2), 321.351, 321.353, 321.360
STATUTORY AUTHORITY: KRS 321.235(2), (3), 321.240(5), 321.351, 321.353, 321.360
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(2) authorizes the Kentucky Board of Veterinary Examiners to investigate an allegation of a practice that violates the provisions of KRS Chapter 321. KRS 321.235(3) and 321.240(5) authorize the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation establishes the procedures for handling grievances, investigations, and administrative charges.
History: 46 Ky.R. 1747, 2620; eff. 6-30-2020; 49 Ky.R. 1480; eff. 7-5-2023.

201 KAR 16:612 Notice to Comply (NC) and Notice of Violation (NOV) {#sec-201-kar-16-612 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:612}

Section 1. Notice to Comply (NC).

(1) The board, or an employee or agent of the board, may issue an NC to any person or business for violation of any provision of KRS Chapter 321 or 201 KAR Chapter 16.

(2) An NC may be issued during an inspection to request additional information needed to determine compliance or as a notice to correct a minor violation found during the inspection. The failure to provide the information requested or to correct the violation within the time allotted may result in an NOV being issued.

(3) An NC from the board shall contain:

(a) The name and address of the person or business to whom it is issued;

(b) A description of any information that is being requested;

(d) A description of the circumstances surrounding any violation or possible violation for which additional information is requested;

(e) Measures required to comply with the NC;

(f) A reasonable time for compliance;

(g) Notice that failure to take required action may result in the issuance of an NOV;

(h) Identification of the board's agent issuing the form; and

(i) The date the NC was issued.

(4) An NC may be issued in tangible or electronic form.

Section 2. Notice of Violation (NOV).

(1) The board, or an employee or agent of the board, may issue an NOV to any person for violation of any provision of KRS Chapter 321 or 201 KAR Chapter 16.

(2) An NOV establishes that a violation of statute or administrative regulation exists and that a business or person is operating in violation of the law and is subject to penalty pursuant to KRS Chapter 321.

(3) Each day or part of a day that a violation continues is a separate violation subject to daily penalties.

(4) An NOV from the board shall contain:

(a) The name and address of the person or business to whom it is issued;

(b) The items listed in KRS 321.235(2)(h);

(d) Notice of the penalty for the violation or violations for which the notice was issued;

(e) Identification of the board's agent issuing the notice; and

(f) Date the NOV was issued.

(5) An NOV may be issued in tangible or electronic form.

History

RELATES TO: KRS 321.187, 321.190, 321.203, 321.205, 321.207, 321.208, 321.211, 321.221, 321.235, 321.236, 321.352, 321.441, 321.442, 321.443, 321.990
STATUTORY AUTHORITY: KRS 321.235(1)(b), 321.235(2)(h)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(2)(h) authorizes the board to issue a notice to comply (NC) or a notice of violation (NOV) to any person for violations of KRS Chapter 321. KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement KRS Chapter 321. This administrative regulation establishes the process and effect of issuing an NC and an NOV.
History: 51 Ky.R. 824, 1272; eff. 4-2-2025.

201 KAR 16:614 Fines {#sec-201-kar-16-614 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:614}

Section 1. Mandatory Fines.

(1) A person who, for practicing or performing services without a credential issued by the board, violates or aids in the violation of:

(a) KRS 321.190 shall be fined per violation per day for practice as a veterinarian:

For the first offense in an amount of not less than $250 and not more than $500; and
For subsequent offenses in an amount of not less than $500 and not more than $1,000;

(b) KRS 321.190 shall be fined per violation per day for practice as a veterinary technician:

For the first offense in an amount of not less than $100 and not more than $250; and
For subsequent offenses in an amount of not less than $250 and not more than $500;

(c) KRS 321.201 shall be fined per violation per day for the veterinarian supervisor and the individual acting as a special permittee:

For the first offense in an amount of not less than $250 and not more than $500; and
For subsequent offenses in an amount of not less than $500 and not more than $1,000;

(d) KRS 321.207 shall be per violation per day for the animal control agency, the designated on-site manager, and the individual acting as an animal euthanasia specialist:

For the first offense in an amount of not less than $50 and not more than $150; and
For subsequent offenses in an amount of not less than $150 and not more than $300;

(e) KRS 321.236 shall be fined per violation per day for the veterinarian manager and the registered responsible party:

For the first offense in an amount of not less than $250 and not more than $500; and
For subsequent offenses in an amount of not less than $500 and not more than $1,000; and

(f) KRS 321.441 shall be fined per violation per day:

For the first offense in an amount of not less than $100 and not more than $250; and
For subsequent offenses in an amount of not less than $250 and not more than $500.

(2) A person who is issued a notice of violation by the board for failure to comply with KRS Chapter 321 or 201 KAR Chapter 16 shall be fined in the amount per violation per day:

(a) For the first offense in an amount of not less than $100 and not more than $250; and

(b) For subsequent offenses in an amount of not less than $250 and not more than $500.

(3) A person who exercises or attempts to exercise control over, interferes with, or attempts to influence the professional judgment of a credential holder in any manner, including through coercion, collusion, extortion, inducement, or intimidation shall be fined per violation per day:

(a) For the first offense in an amount of not less than $500 and not more than $1,000; and

(b) For subsequent offenses in an amount of not less than $1,000 and not more than $2,500.

(4) A person who violates any ruling of the board or hinders any agent of the board in carrying out the duties assigned to the agent shall be fined per violation per day:

(a) For the first offense in an amount of not less than $500 and not more than $1,000; and

(b) For subsequent offenses in an amount of not less than $1,000 and not more than $2,500.

(5) A person who is an officer who refuses to enforce the provisions of KRS Chapter 321 if called upon by the board to do so shall be fined per violation per day:

(a) For the first offense in an amount of not less than $100 and not more than $250; and

(b) For subsequent offenses in an amount of not less than $250 and not more than $500.

(6) A person who attempts in any way to hinder or obstruct the board in carrying out the provisions of KRS Chapter 321 shall be fined per violation per day:

(a) For the first offense in an amount of not less than $100 and not more than $500; and

(b) For subsequent offenses in an amount of not less than $500 and not more than $1,000.

(7) A person who resists, obstructs, interferes with, threatens, attempts to intimidate, or in any other manner interferes with an agent of the board or who willfully refuses to obey their lawful order shall be fined per violation per day:

(a) For the first offense in an amount of not less than $500 and not more than $1,000; and

(b) For subsequent offenses in an amount of not less than $1,000 and not more than $2,500.

Section 2. Permissive Fines.

(1) The board may impose an additional fine per violation per day for a person who is convicted under KRS 321.990:

(a) For the first offense in an amount of not less than $500 and not more than $1,000; and

(b) For subsequent offenses in an amount of not less than $1,000 and not more than $2,500.

(2) The board may impose an additional fine for any violation of the Kentucky Veterinary Medicine Practice Act that consists of an amount equal to the cost of investigative and legal fees, court reporters, expert witnesses, administrative hearing officers, and all related costs incurred by the board in processing the case.

Section 3. Continuing Violation. Each day or part of a day that a violation continues is a separate violation and subject to additional fines per day.

History

RELATES TO: KRS 321.190, 321.201, 321.207, 321.236, 321.352, 321.441, 321.990
STATUTORY AUTHORITY: KRS 321.235(1)(b), 321.352(1)-(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.352(1) requires the board to establish the amounts, limits, or ranges for any fines imposed under KRS Chapter 321 through the promulgation of administrative regulations. KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321 and 201 KAR Chapter 16. This administrative regulation establishes the amounts, limits, or ranges for all fines imposed under KRS Chapter 321.
History: 51 Ky.R. 826, 1273; eff. 4-2-2025.

201 KAR 16:701 Standards for medical records {#sec-201-kar-16-701 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:701}

Section 1. Definitions.

(1) "Clinical encounter" means an interaction between a patient, client, and a healthcare provider for the purpose of providing healthcare services or assessing the health status of a patient and is the point at which decisions about diagnosis and treatment are made and during which care takes place.

(2) "Complete medical record" means the record contains sufficient information to:

(a) Identify the patient and the client;

(b) Support the diagnosis or condition;

(d) Provide options for spectrum of care, where appropriate;

(e) Document the course and results of care, treatment, and services; and

(f) Promote continuity of care among providers.

Section 2. Veterinary medical records shall be:

(1) Safeguarded against loss, tampering, or use by unauthorized persons;

(2) Be readily available to the veterinarian, other veterinarians at the same practice, employees of the veterinarian, and other authorized persons;

(3) Contain sufficient information to permit any veterinarian to proceed with the care and treatment of the patient by reading the medical record; and

(4) Be completed no more than forty-eight (48) hours following the clinical encounter.

Section 3. Maintenance of Records.

(1) Medical records shall be maintained in accordance with KRS 321.187.

(2) Cessation from practice, either temporarily or permanently, shall not relieve the practitioner from compliance with this section.

(3) Records stored by a third party shall not relieve the veterinarian or AAHP from the responsibility of supplying records to the client upon request.

(4) There shall not be a charge for a board investigation.

Section 4. Veterinary medical records shall, at a minimum, include:

(1) Patient or herd identification;

(2) Client identification;

(3) A record of every clinical encounter and consultation regarding the patient;

(4) Written or digital records and notes of each clinical encounter, including:

(a) Diagnosis or differential diagnosis;

(b) Treatments recommended, including spectrum of care options;

(d) If a prescription is issued, prescription details consistent with the requirements of 201 KAR 16:600;

(e) Recommendations;

(f) If a medical determination is made via telemedicine, a written statement about the digital information used to make the decision;

(g) If surgery is performed, details of surgery, including:

Amounts and duration of any drugs, sedatives, or other substances administered;
Documentation of appropriate, species-specific anesthetic monitoring, which may include temperature, pulse, and respiration;
Documentation of recovery; and
Materials used, including at a minimum:

a. Suture materials;

b. Mesh materials; and

c. Other materials used; and

(h) Any other pertinent details;

(5) Laboratory reports;

(6) Any information received as the result of a consultation, including the date, name, and contact information of the consultant;

(7) A reference notation of the existence of radiographs, sonographic images, video recordings, photographs, or other diagnostic imaging, with ready access to or copies of those images available;

(8) Any authorizations, details of conversations, releases, waivers, patient discharge instructions, records of informed consent, or other related documents;

(9) The first and last name of the veterinarian, licensed veterinary technician, or veterinary assistant, or AAHP permit holder practicing on the patient during the visit, whether in-person or via telehealth, or an identifying code that corresponds to the first and last name of the practitioner or person making the entry pursuant to subsection (12) of this section;

(10) The first and last name of the person making each entry in the medical record, or an identifying code for each person pursuant to subsection (12) of this section;

(11) The name of the veterinary facility or premises where the clinical encounter took place; and

(12) If an identifying code is used to denote the first and last name of the person making an entry into the medical record, a list of identifying codes and corresponding first and last names shall be made readily available with the medical records to the client or the board upon request.

Section 5.

(1) A person shall not:

(a) Intentionally create a false record;

(b) Make a false statement; or

(2) When correcting a completed medical record for a clinical encounter, the original content shall be readable, and the alteration shall be clearly identified with the:

(a) Correction;

(b) Reason for the correction;

(d) First and last name of the person making the correction, or an identifying code pursuant to Section 4(12) of this administrative regulation.

Section 6. Rabies Clinics.

(1) During each rabies clinic held pursuant to KRS 258.043, copies of medical records shall be retained for each patient clinical encounter beyond the rabies vaccination.

(2) For rabies vaccinations only, a copy of the rabies certificate satisfies the requirement of this section.

Section 7. Confidentiality of Records. Medical records shall be kept confidential in accordance with KRS 321.187(6).

History

RELATES TO: KRS 257.080, 258.043, 258.065, 321.175, 321.181, 321.185, 321.187, 321.188, 321.200
STATUTORY AUTHORITY: KRS 321.175, 321.187, 321.235(2)(b)3.c.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.175 establishes that the purpose of the Kentucky Veterinary Medicine Practice Act is to promote, preserve, and protect public health, safety, and welfare. KRS 321.235(2)(b)3.c. authorizes the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to establish standards in medical records. This administrative regulation establishes standards for medical records created for animal patients by board credential holders.
History: 50 Ky.R. 518, 1309, 1479; eff. 4-2-2024.

201 KAR 16:702 Standards for veterinary surgery {#sec-201-kar-16-702 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:702}

Section 1. Definitions.

(1) "Animal" is defined by KRS 321.181(5).

(2) "Large animal" includes bovids, camelids, cervids, equids, swine, or other animals ordinarily raised or used on a farm.

(3) "Patient" is defined by KRS 321.181(47).

(4) "Professional arrangements" means that the veterinary facility where surgery takes place or the veterinarian who performed surgery shall not list another veterinary facility as able to provide services to a client unless they have previously confirmed that the alternate veterinary facility is available to provide services. This shall not need to be done on a case-by-case basis but may be professionally arranged in advance for all clients.

(5) "Small animal" includes any animal not within the definition of large animal, and regardless of weight includes avians, canids, felines, rabbits, pocket pets, and other animals typically kept as companion animals.

Section 2. All veterinary surgical procedures performed in the Commonwealth shall comply with the following basic surgical standards.

(1) If patients are housed or retained for treatment in a veterinary facility:

(a) Appropriate housing shall be provided for each patient before and after surgery; and

(b) Enclosures shall be secure and provide a flat surface for the patient that is clean, dry, and warm with adequate space for the patient to turn around, while allowing for safety at various stages of sedation and anesthesia and sufficient visibility by the staff.

(2) All drugs and biologicals shall be labeled in accordance with 201 KAR 16:600, and procured, managed, and disposed of in compliance with state and federal laws.

(3) During the postoperative period, care shall be taken to provide patients with a smooth transition from the anesthetized state.

(4) Plans shall be in place to handle any emergency that might occur throughout the procedure, and immediately postoperatively while the patient is with the veterinarian or in the veterinary facility.

(5) Immediately prior to release, patients shall be evaluated and deemed adequately recovered, stable, mobile, and within normal physiological parameters following anesthesia. A veterinarian shall use their best professional judgment and medical training to make an appropriate determination about recovery for the specific species and patient.

(6) The client shall be provided clear instructions for postoperative care in writing. For clients who are provided repeated services, a single instance of written instructions may be provided during the term of the VCPR pursuant to KRS 321.185.

(7) The client shall be provided options in writing for follow-up or emergency care during the forty-eight (48) hour period after surgery that includes information for a twenty-four (24) hour emergency veterinary facility or with another veterinary facility where professional arrangements have been made to see clients.

Section 3. Additional Requirements for Small Animal Patients. All veterinary medical procedures performed on small animals in the Commonwealth shall comply with Section 2 of this administrative regulation and the following basic surgical standards.

(1) The operating area shall:

(a) Be dedicated to surgery while in use for surgical purposes; and

(b) Contain the necessary equipment for anesthesia, appropriate intubation, administration of oxygen, and monitoring.

(2) A veterinarian and operating area personnel shall establish, maintain, and comply with:

(a) Infectious disease protocols to be performed in an environment to minimize infectious disease;

(b) Aseptic surgical technique protocols;

(c) Sterile instruments protocols ensuring separate sterile instruments to be used for each patient. Cold sterilization shall not be an appropriate method to adequately sterilize surgical instruments for small animals, except for cold sterilization for endoscopic, laproscopic, and arthroscopic procedures. In these allowable instances of cold sterilization, the method is permitted only by use of FDA-Cleared Liquid Chemical Sterilants and High Level Disinfectants;

(d) Anesthetic protocols that are balanced and include sedation, the provision of peri- and post-operative analgesia, stress reduction, muscle relaxation, and controlled, complete recovery of consciousness prior to discharge;

(e) Pre- and post-op monitoring protocols to monitor patients; and

(f) Thermal support protocols.

Section 4. Responsibility for Patient Care.

(1) During the forty-eight (48) hour period after surgery, a client shall be provided information in accordance with Section 2(7) of this administrative regulation.

(2) If there are no personnel on the premises during any time a patient is left at the veterinary facility:

(a) Prior notice of this fact shall be given to the client in writing and the notification recorded in the medical records; and

(b) If requested, the client shall be provided an option to transfer the patient care to a twenty-four (24) hour facility.

Section 5. Large Animal Patient Standards and Exceptions.

(1) Field surgeries shall be performed within an appropriate environment as possible.

(2) Appropriate cold sterilization is acceptable in field work.

(3) During the postoperative period, care shall be taken to provide patients with a smooth transition from the anesthetized state. A veterinarian shall use their best professional judgment and medical training to make an appropriate determination about recovery for the specific species and patient.

(4) All drugs and biologicals shall be labeled in accordance with 201 KAR 16:600, and procured, managed, and disposed of in compliance with state and federal laws.

(5) Plans shall be in place to handle any emergency that might occur throughout the procedure, and postoperatively while the patient is with the veterinarian.

(7) The client shall be provided options in writing for follow-up or emergency care during the forty-eight (48) hour period after surgery that includes information for a 24-hour emergency veterinary facility or professional arrangements with another veterinary facility.

History

RELATES TO: KRS 321.175, 321.190, 321.193, 321.441, 321.443
STATUTORY AUTHORITY: KRS 321.175, 321.235(2)(b)3.c.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.175 establishes that the Kentucky Board of Veterinary Examiners shall protect the public by ensuring only qualified individuals are allowed to practice veterinary medicine in the Commonwealth in the interest of the health, safety, and welfare of the animal population and the citizens of Kentucky. KRS 321.235 requires the board to promulgate administrative regulations in accordance with KRS Chapter 13A to effectively carry out and enforce the provisions of this chapter. KRS 321.190 and 321.193 establish that a license is required for veterinarians to practice veterinary medicine in the Commonwealth. KRS 321.441 and 321.443 establish that veterinary technicians and veterinary assistants shall be properly supervised when assisting a veterinarian with the practice of veterinary medicine. This administrative regulation sets forth minimum standards for surgical procedures to ensure the safety and welfare of animal patients, and provides confidence in basic care and support for clients.
History: 50 Ky.R. 520, 1312, 1481; eff. 4-2-2024.

201 KAR 16:730 Approved allied animal health professional (AAHP) programs; education requirements {#sec-201-kar-16-730 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:730}

Section 1. Definitions.

(1) "Allied animal health professional" or "AAHP" is defined by KRS 321.181(1).

(2) "Approved allied animal health professional program" is defined by KRS 321.181(10).

Section 2. Education Requirements.

(1) To be considered for approval by the board, as one (1) component of the Application for an Allied Animal Health Professional (AAHP) Provider License Form, as incorporated by reference in 201 KAR 16:732, an applicant for an AAHP license shall meet and show proof of the requirements as established in subsections (2) and (3) of this section.

(2) For an AAHP animal chiropractic provider (ACP) license:

(a) Holding current licensure in good standing from the Kentucky Board of Chiropractic Examiners; and

(b) Maintaining a current certificate in good standing with an approved allied animal health professional program designated in Section 3 of this administrative regulation.

(3) For an AAHP equine dental provider (EDP) license:

(a) Certification from an International Association of Equine Dentistry (IAED) EPD educational program that held full or limited approval by the IAED on the date when the applicant completed the educational program; and

(b) A current certificate of good standing, and not solely membership, with an approved allied animal health professional program designated in Section 3 of this administrative regulation.

Section 3. Approved allied animal health professional programs.

(1) For ACP programs, the board approves the allied animal health professional programs on animals from the:

(a) American Veterinary Chiropractic Association (AVCA);

(b) International Veterinary Chiropractic Association (IVCA); or

(2) For EDP programs, the board approves the allied animal health professional programs on animals from the:

(a) IAED approved academic institutions as listed on the association's publicly available website available at https://www.iaedonline.com/education/; or

(b) A similar professional organization with standards meeting or exceeding those of other board-approved organizations, as determined by the board through the completion of a Request for Continuing Education Course Approval form as incorporated by reference in 201 KAR 16:516, Section 7, and with subsequent approval by the board.

Section 4. Continuing education required. As one (1) part of the requirements for an allied animal health professional license to be granted and renewed, the AAHP provider shall provide proof that the degree or certificate obtained from the approved allied animal health professional program is in an active or current status with:

(1)

(a) The professional licensing board as required in Section 2(2)(a) of this administrative regulation, if applicable to the credential holder and required by the board; and

(b) The approved allied animal health professional program certifying entity identified in Section 3 of this administrative regulation.

(2) At the time of application, the AAHP licensee shall show proof satisfactory to the board that all continuing education requirements for these credentials have been met and are current in accordance with 201 KAR 16:735, Section 2.

History

RELATES TO: KRS 321.175, 321.181, 321.235, 321.251, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.235(1)(a)-(c), (2)(b)2., 321.251, 321.253
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)2. authorizes the board to promulgate administrative regulations to require an AAHP applicant to successfully complete training from an approved allied animal health professional program in order to qualify for a license from the board. This administrative regulation establishes the allied animal health professional educational programs approved by the board.
History: 201 KAR 016:730. 51 Ky.R. 1018, 1672; eff. 7-1-2025; 52 Ky.R. 433, 1514; eff. 6-2-2026.

201 KAR 16:731 Examination requirements for AAHP providers {#sec-201-kar-16-731 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:731}

Section 1. State Exam Qualifications for Allied Animal Health Professional providers.

(1) The board shall require a passing score on the Kentucky Board of Veterinary Examiners State Jurisprudence Examination for AAHPs as one (1) requirement for licensure by the board as an allied animal health professional.

(2) There shall be a unique Kentucky Board of Veterinary Examiners State Jurisprudence Examination for AAHPs for each provider type identified in KRS 321.251(2).

(3) Candidates seeking an AAHP license shall pay a state examination fee pursuant to 201 KAR 16:513.

(4) Candidates shall successfully complete the Kentucky Board of Veterinary Examiners State Jurisprudence Examination for AAHPs, which shall cover the specific requirements of KRS Chapter 321 and 201 KAR Chapter 16, in either paper or electronic format.

(5) To successfully complete the Kentucky Board of Veterinary Examiners State Jurisprudence Examination for AAHPs, applicants for an AAHP license shall achieve a score of eighty (80) percent or higher.

Section 2. National Exam Qualifications for Allied Animal Health Professionals. As one (1) qualifying component of licensure, an applicant for an AAHP license shall successfully pass a national qualifying exam approved by the board.

(1) The examination required for an AAHP license shall be the successful completion of a certification exam required by an approved allied animal health professional program, pursuant to 201 KAR 16:730.

(a) A candidate shall be limited to five (5) examination attempts.

(b) An official score report, verified certificate of completion, or other official documentation from the certifying body shall be provided directly from the certifying body to the board to provide proof of successful completion of the board-approved exam.

(2) Applicants for an AAHP license to the board shall pay any required national exam or score transfer fees directly to the approved allied animal health professional program, their designee, or official records custodian.MICHELLE M. SHANE, Executive DirectorFor JOHN C. PARK, DVM, Board Chair

History

RELATES TO: KRS 321.175, 321.181, 321.235, 321.251, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.235(1)(a)-(c), (2)(b)2., 321.251, 321.255
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations in accordance with KRS Chapter 13A to effectively carry out and enforce the provisions of KRS Chapter 321. KRS 321.235(2)(b)2. authorizes the Kentucky Board of Veterinary Examiners to establish examination requirements and passing scores for allied animal health professionals. This administrative regulation establishes examination requirements as one (1) part of the requirements to qualify for an allied animal health professional (AAHP) license from the board.
History: 201 KAR 016:731. 51 Ky.R. 1020, 1673; eff. 7-1-2025; 52 Ky.R. 435, 1149; eff. 6-2-2026.

201 KAR 16:732 Application requirements for AAHP licenses -- reinstatement {#sec-201-kar-16-732 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:732}

Section 1. Definitions.

(1) "Allied animal health professional" or "AAHP" is defined by KRS 321.181(1).

(2) "Allied animal health professional facility" or "AAHP facility" is defined by KRS 321.181(2).

(3) "Allied animal health professional license" or "AAHP license" is defined by KRS 321.181(4).

(4) "Allied animal health professional manager" or "AAHP manager" is defined by KRS 321.181(3).

(5) "Fixed facility" is defined by KRS 321.181(40).

(6) "Legacy candidate" means a candidate for licensure that did not complete the board-approved allied animal health professional program or board-approved qualifying exam for an AAHP license, but holds significant experience as defined in Section 3 of this administrative regulation which shall qualify the person for consideration of an AAHP license from the board.

(7) "Mobile facility" or "mobile unit" is defined by KRS 321.181(48).

(8) "Registered responsible party" is defined by KRS 321.181(59).

(9) "Veterinarian" is defined by KRS 321.181(69).

Section 2. Allied animal health professional provider practice falls under the scope and meaning of the practice of veterinary medicine.

(1) A veterinarian shall not be subject to the scope of practice limitations established for an allied animal health professional licensee.

(2) Pursuant to KRS 321.200(1)(o), after receiving a license from the board, an AAHP provider shall be limited to providing services for animal patients within the scope designated within KRS 321.255 and 201 KAR 16:737.

(3) Practice on animals without a board credential shall be prohibited. Except as provided for in KRS 321.200, a person shall not provide veterinary or allied animal health professional services to any animal unless they hold a valid credential in active status issued by the board.

Section 3. Legacy Candidate Pathway for the AAHP License.

(1) As established in KRS 321.251(4), in lieu of proof of completion of a board-approved allied animal health professional program and board-approved qualifying exam for an AAHP license, legacy candidates may submit application materials in accordance with the provisions of this section.

(2) Legacy candidates awarded an AAHP license by the board shall comply with all provisions of an AAHP license, including earning continuing education requirements as established in 201 KAR 16:730, Section 4 and 16:735, Section 2.

(3) For an AAHP Animal Chiropractic Provider (ACP) applicant, the legacy candidate pathway shall be open until March 31, 2026. As established in KRS 321.251(4), an AAHP ACP legacy candidate shall submit as a part of an Application for an Allied Animal Health Professional Provider License form or online equivalent form:

(a) Proof of employment or 1099 showing self-employment in the ACP area of practice for a minimum of ten (10) years prior to the date of application;

(b) Identification of school where the applicant was trained and hours of training received;

(d) Letters of recommendation from at least two (2) licensed chiropractors;

(e) Details regarding the duration of experience and times during which practice occurred, including:

Length of time of practice; and
Average number of hours practicing per year;

(f) Letter of Good Standing from any other jurisdictions in which they are credentialed; and

(g) Information about CE earned in the past two (2) years, including the CE provider, topic, and the number of hours.

(4) For an AAHP Equine Dental Provider (EDP) applicant, the legacy candidate pathway shall be open until April 30, 2027. As established in KRS 321.251(4), an AAHP EDP legacy candidate shall submit proof of competency and experience as a part of an Application for an Allied Animal Health Professional Provider License form or online equivalent form:

(a) Proof of employment or 1099 showing self-employment in the EDP area of practice for a minimum of five (5) years prior to the date of application;

(b) Identification of where the applicant was trained and hours of training received;

(d) Letters of recommendation from at least two (2) clients who have utilized the applicant's services in the last two (2) years;

(e) Details regarding the duration of experience and times during which practice occurred, including:

Length of time of practice; and
Average number of hours practicing per year;

(f) Letter of Good Standing from any other jurisdictions in which they are credentialed as an EDP; and

(g) Information about CE earned in the past two (2) years, if CE has been earned, including the CE provider, topic, and the number of hours.

(5) The board or the AAHP advisory committee as established in KRS 321.257 under the direction of the board chair may conduct an interview of an AAHP legacy candidate to confirm their eligibility and, as necessary, ascertain details about their experience.

Section 4. Approval of an Allied Animal Health Professional Provider License Application. The board shall issue a license as an AAHP provider in a specific area of practice, as defined in KRS 321.181, to an applicant who:

(1) Has completed an Application for an Allied Animal Health Professional Provider License form or online equivalent form, including all required attachments;

(2) Has paid the appropriate fees as established in 201 KAR 16:513;

(3) Is a person of good moral character. As one (1) element of good moral character, the board shall require each applicant for licensure to submit a full set of the applicant's fingerprints for the purpose of obtaining criminal records checks, pursuant to applicable law and KRS 321.189. All good moral character information, including the information obtained through the criminal background checks, shall be relevant to licensure eligibility determinations to the extent permitted by law;

(4) Has graduated and received a degree or certificate from an approved allied animal health professional program, as approved by the board in 201 KAR 16:730, or qualifies as a legacy candidate according to the provisions established in Section 3 of this administrative regulation during the legacy application window;

(5) Has achieved passing examination scores, on examinations required by the board, as established in 201 KAR 16:731, or qualifies as a legacy candidate during the legacy application window;

(6) Holds licensure in the AAHP practice area as established in 201 KAR 16:730, Section 2, or qualifies as a legacy candidate;

(7) Has been approved for licensure by the board; and

(8) Has complied with any other requirement of the board.

Section 5. New Application for an Allied Animal Health Professional License.

(1) A new application to the board for an allied animal health professional license shall include:

(a) A completed application on an Application for an Allied Animal Health Professional (AAHP) Provider License form or online equivalent form, including all required attachments;

(b) Designation of one (1) or more qualified AAHP scopes as listed in the application, and designated as available scope of practice in KRS 321.251(2), 321.255, and 201 KAR 16:737 ;

(c) A current color photograph of the applicant not smaller than 2 in. x 2 in., or a color copy of the applicant's current valid driver's license or passport with photo;

(d) An official licensure verification letter from the professional licensing board in Kentucky in the human AAHP discipline, if required by the application;

(e) An official copy of the certificate of completion or diploma showing graduation from an approved allied animal health professional program established in 201 KAR 16:730;

(f) A copy of any court documents, final orders, settlement agreements, or other documents required by the board in support of the application;

(g) The completed Kentucky Board of Veterinary Examiners State Jurisprudence Examination for AAHPs Exam Answer Sheet for each provider type the applicant is applying for; and

(h) Payment for the application fee required by 201 KAR 16:513.

(2) In addition to the requirements listed in subsection (1) of this section, requirements for AAHP license endorsement applications shall include verifications of good standing from all jurisdictions in which an applicant once held or currently holds a license or equivalent credential by the jurisdictional entities which regulate the applicant's profession in both human and animal practice.

Section 6. License Renewal Required. An AAHP licensee shall renew their license pursuant to 201 KAR 16:735.

Section 7. Inactive Status for an AAHP License. An AAHP licensee may place their license into an inactive status in accordance with 201 KAR 16:580.

Section 8. An allied animal health professional may apply for reinstatement of an expired license if not more than five (5) years have elapsed since the last date of license expiration.

(1) A reinstatement application shall be required during this period; an application for a new license shall not be accepted until five (5) years after the last date of expiration. Legacy candidates five (5) years after the last date of expiration shall meet the current requirements of KRS Chapter 321 and 201 KAR Chapter 16 and shall no longer qualify for the legacy candidate pathway.

(2) Reinstatement applications to the board for a license as an allied animal health professional shall include:

(a) A completed application on a Reinstatement Application for AAHP Licenses form or online equivalent form, including all required attachments;

(b) A copy of any court documents, final orders, settlement agreements, or other documents requested by the board in support of the application;

(c) Proof of current certification in the allied animal health profession, including any required continuing education by the board-approved allied animal health professional program;

(d) Payment for the reinstatement application fee pursuant to 201 KAR 16:513;

(e) If the license is in expired status for more than one (1) year since the date of expiration, an official licensure verification letter from the professional licensing board in Kentucky in the human AAHP discipline, if required by the application; and

(f) If the license is in expired status for more than two (2) years since the date of expiration:

A background check pursuant to Section 9 of this administrative regulation; and
Verifications of good standing from all jurisdictions in which an applicant once held or currently holds a license or equivalent credential by the jurisdictional entities which regulate the profession.

Section 9. Background checks. Pursuant to KRS 321.189, the board may:

(1) Conduct a national or jurisdictional level background check on each applicant for licensure. The check shall be processed by a board-approved background check provider, and may include a copy of the applicant's fingerprints captured at a board-approved location;

(2) Reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old; and

(3) Impose additional requirements as a condition of licensure or deny licensure following the board's review of findings from a background check.

Section 10. Denial. If any of the requirements of this administrative regulation are not met by the applicant, the board shall deny the license application.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for an Allied Animal Health Professional (AAHP) Provider License", 8/2025; and

(b) "Reinstatement Application for AAHP Licenses", 11/2025.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 4047 Iron Works Parkway, Lexington, Kentucky 40511, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at kbve.ky.gov.

History

RELATES TO: KRS 321.175, 321.181, 321.189, 321.200, 321.235, 321.251, 321.253, 321.255, 321.257
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.235(1)(a)-(c), (2)(b)2., 321.251(4), 321.253, 321.255
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)2. authorizes the board to promulgate administrative regulations to limit the scope of practice of allied animal health professional (AAHP) work on animals and to require an AAHP applicant to apply to the board on an approved application to qualify for a license from the board. This administrative regulation establishes application requirements for individuals applying for an AAHP license from the board in the Commonwealth of Kentucky.
History: 201 KAR 016:732. 51 Ky.R. 1022, 1676; eff. 7-1-2025; 52 Ky.R. 437, 1151; eff. 6-2-2026.

201 KAR 16:735 Renewal requirements for AAHP licenses -- renewal notice -- expiration {#sec-201-kar-16-735 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:735}

Section 1. Renewal Notices and Timeliness of Renewal Applications.

(1) The board shall, not later than August 31 of each year, email or mail to each licensed allied animal health professional a renewal notice.

(2) The Renewal Application for AAHP Licenses shall be completed by the licensee and returned to the board, including all required attachments, fees as required by 201 KAR 16:513, and, if required by the board, proof of course completion for the required continuing education.

(3) Timely receipt of renewal application.

(a) Renewals bearing a postmark, or, if an online renewal, a timestamp, of September 30 or earlier shall be considered received on time.

(b) Renewals bearing a postmark, or, if an online renewal, a timestamp, between October 1 and November 30 shall be considered late and therefore incur a late fee pursuant to 201 KAR 16:513.

(4) The renewal fee, as established in 201 KAR 16:513, shall be attached to the completed Renewal Application for AAHP Licenses form when it is returned to the board or paid online.

Section 2. Continuing Education (CE) Required.

(1) Each AAHP licensee shall list their continuing education hours received on the Renewal Application for AAHP Licenses form or online equivalent form, including all required attachments, and if required, proof of attendance or completion of training to the board.

(a) For AAHP animal chiropractic providers (ACPs), licensees shall show proof of CE for a minimum of six (6) clinical hours annually from:

An approved program of the:

a. American Veterinary Chiropractic Association (AVCA); or

b. International Veterinary Chiropractic Association (IVCA); or

Animal chiropractic focused CE from one (1) or more of the following organizations:

a. American Veterinary Medical Association (AVMA) or its affiliate organizations as listed on the AVMA website available at https://www.avma.org/about/state-and-allied-groups;

b. American Association of Veterinary State Boards (AAVSB) Registry of Approved Continuing Education (RACE); or

c. A board-approved CE program.

(b) For AAHP Equine Dental Providers (EDPs), licensees shall show proof of CE for a minimum of six (6) clinical hours annually from:

The International Association of Equine Dentistry (IAED) annual conference; or
Equine dental focused CE from one (1) or more of the following organizations:

a. AVMA or its affiliate organizations as listed on the AVMA website available at https://www.avma.org/about/state-and-allied-groups;

b. Veterinary Dental Forum;

c. American Association of Equine Providers (AAEP);

d. AAVSBRACE; or

A board-approved CE program.

(2) AAHP CE hours shall be clinical in a topic specifically related to the area of practice for which they hold a license. Additional CE hours in practice management, wellness, or other topics may be earned, but shall not count toward the CE requirement for renewal or reinstatement of the AAHP license.

(3) CE Format. An AAHP licensee shall earn:

(a) A minimum of three (3) of the required six (6) hours CE for AAHP providers that is earned in person; and

(b) No more than three (3) of the required six (6) CE hours in an online format that is pre-recorded or non-interactive.

(4) All CE earned shall be new continuing education. An AAHP licensee shall not apply CE earned in a prior renewal period, or earned and applied for licensure reinstatement toward renewal of their license in the current renewal cycle.

(5) Continuing education shall be earned from October 1 of each renewal period until September 30 at the end of the period, or until November 30 at the end of the grace period with the addition of a late fee in accordance with 201 KAR 16:513.

(6) Continuing education hours earned during the grace period of a renewal cycle shall not be eligible for credit on subsequent renewal applications.

(7) The board shall not renew the license of any person who fails to appropriately document the required hours of continuing education.

(8) Continuing education requirements shall be waived for a new licensee completing their initial term of licensure who has also achieved board-approved certification within twelve (12) months of initial licensure.

Section 3. The board shall not be held responsible or liable for lost renewal notices, or renewal notices not received, or not received on time.

(1) Regardless of cause, the board shall not be required to refund money to a licensee who fails to renew in a timely manner pursuant to Section 1(3) of this administrative regulation.

(2) Failure to renew by the grace period deadline and in compliance with all requirements of the board shall cause the license to move to expired status. The licensee shall no longer be eligible to practice as an allied animal health professional in Kentucky.

(3) The former licensee may apply for reinstatement of the license within five (5) years from the date of expiration in accordance with 201 KAR 16:732. A Reinstatement Application for Registered AAHP Facilities, as incorporated by reference in 201 KAR 16:775, shall be required during this period; an Application for AAHP Facility Registration, as incorporated by reference in 201 KAR 16:772, for a new license shall not be accepted until five (5) years after the last date of expiration.

Section 4. Duty to Report. Each AAHP licensee shall maintain on file with the board their:

(1) Legal name;

(2) Legal residential address;

(3) Legitimate mailing address. The mailing address shall be subject to public disclosure;

(4) Current employer;

(5) Current email address and phone number; and

(6) Within thirty (30) days, notify the board of any changes to their name or addresses or email address by submitting a completed Request for Name or Address Change form, incorporated by reference in 201 KAR 16:570 or online equivalent form.

Section 5. Incorporation by Reference.

(1) "Renewal Application for AAHP Licenses", 11/2025, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subjected to applicable copyright law, at the Kentucky Board of Veterinary Examiners, 4047 Iron Works Parkway, Suite 104, Kentucky 40511, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material may also be obtained at kbve.ky.gov.

History

RELATES TO: KRS 321.175, 321.181, 321.235, 321.251, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.235(1)(a)-(c), (2)(b)1., 321.251(4), 321.253
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(1)(a)-(c) requires the board to promulgate administrative regulations to evaluate the qualifications of applicants for an allied animal health professional (AAHP) license. KRS 321.235(2)(b)1. authorizes the board to require an AAHP licensee to obtain appropriate continuing education to ensure continued competency. This administrative regulation establishes renewal requirements, renewal notification procedures for AAHP licensees of the board, and required continuing education for AAHP licensees.
History: 201 KAR 016:735. 51 Ky.R. 124, 1678; eff. 7-1-2025; 52 Ky.R. 440, 1515; eff. 6-2-2026.

201 KAR 16:737 Responsibilities for AAHP providers; limitations on practice {#sec-201-kar-16-737 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:737}

Section 1. Prohibitions on Practicing Veterinary Medicine.

(1) Except as provided for in KRS 321.200 and this administrative regulation, an allied animal health professional licensee shall not practice veterinary medicine.

(2) An AAHP provider shall be held to the same standard of care as a veterinarian if the licensee provides services within the scope of practice as established in this administrative regulation.

Section 2. Communications with Veterinarians.

(1) To ensure patient safety, an allied animal health professional licensee may communicate with an animal patient's veterinarian regarding services to be rendered by the AAHP provider on an animal to ensure:

(a) Appropriate services are provided; and

(b) No concerns exist related to an animal patient's condition, current treatment regime, and medicines.

(2) If the AAHP provider does not communicate with the animal patient's veterinarian prior to initiation of services, then if an adverse outcome occurs the liability lies solely with the AAHP provider.

(3) AAHP licensees shall communicate findings, services provided, or relevant information to the client and the client's veterinarian within an appropriate timeframe according to the condition, but no more than three (3) business days after services are rendered.

(4) Communication between an AAHP licensee and a veterinarian shall be recorded in the medical record.

(5) An AAHP licensee providing services to a patient that results in harm shall be cause for the AAHP licensee to be liable for that harm. The patient's veterinarian shall not be liable for harm as a result of services provided by an AAHP licensee.

Section 3. Limitations on Practice.

(1) An AAHP licensee shall be limited in their practice on animal patients, as established in KRS 321.255 and this section, or the practice shall be considered the practice of veterinary medicine and subject to penalty for practicing without a veterinarian license from the board.

(2) An AAHP licensee shall only provide AAHP services to the species for which the licensee has received training.

(3) An AAHP licensee's practice shall not be construed to allow on animals the:

(a) Performance of radiographs or other medical imaging;

(b) Performance of surgery;

(d) Rehabilitation activities;

(e) Prescription or dispensation of medications, supplements, or nutraceuticals, or diet;

(f) Provision of dietary guidance;

(g) Administration of medications, except in the context of KRS 321.200(1)(b);

(h) For AAHP equine dental provider (EDP) licensees, offering or conducting of a veterinary oral exam on the mouth of patients; or

(i) Practice of veterinary medicine outside the scope of the allied animal health professional's licensed practice area.

(4) AAHP licensees shall:

(a) Conform with applicable requirements of the Horseracing Integrity and Safety Authority (HISA) and the Kentucky Horse Racing and Gaming Corporation; and

(b) Comply with other state and federal laws.

Section 4. EDP Students.

(1) An EDP licensee who was granted licensure by the board through the traditional licensure pathway and who is certified by a board-approved AAHP program may provide immediate supervision to EDP students, if both the licensed EDP and the EDP student are under the indirect supervision of a Kentucky licensed veterinarian.

(a) The supervising veterinarian shall sign a statement taking on the liability for each student.

(b) An EDP licensee may supervise no more than three (3) students concurrently.

(2) An EDP who was granted licensure by the board through the legacy pathway shall not provide supervision to EDP students.

(3) The supervising veterinarian shall:

(a) Hold a license as a veterinarian in good standing with the board;

(b) Provide indirect supervision of EDP students who are supervised by board-licensed AAHP EDPs, totaling no more than six (6) students concurrently, except as allowable in paragraph (c) of this subsection;

(d) Be readily available and responsive to the needs of the patient that are beyond the scope of practice allowable by an EDP in KRS 321.255 and as established in this administrative regulation; and

(e) Be available for and provide follow-up care to patients worked on by students.

(4) Prior to an EDP student beginning practice in the commonwealth, the veterinarian supervisor shall complete and submit to the board the Registration for Supervision of EDP Students form or online equivalent form provided by the board, including all required attachments. One (1) attachment shall be a written agreement between the supervising veterinarian, the supervising AAHP EDP, and the EDP student outlining and acknowledging their respective responsibilities for supervision and liability regarding the patient and client.

(5) An EDP student shall be limited in practice to six (6) consecutive months on live, privately owned animals.

(a) The board may extend in writing the allowable period of study for an EDP student for no more than six (6) months at a time and collectively not more than two (2) years in total time.

(b) There shall be no limitation for EDP student work on equine cadavers, except for that which may exist in state or federal laws related to animal cadavers.

Section 5. Record Keeping. An AAHP licensee shall keep medical records on all animal patients on which they practice their profession pursuant to KRS 321.187 and this section.

(1) The AAHP licensee's animal patient medical records shall contain sufficient information to justify and describe the course of care on the patient. The records shall contain, at a minimum:

(a) Name, address, and telephone number of the client, as defined by KRS 321.181(22);

(b) Identity of the animal patient, including name, age, sex, and breed;

(d) Dates of consultations, observations, or services provided;

(e) Brief history of the condition of each animal;

(f) AAHP provider findings and observations;

(g) Plan for services, including expected duration and frequency;

(h) Notations related to provided services;

(i) Progress and disposition of the case;

(j) Name of the AAHP provider or providers providing service to the patient;

(k) Name and contact information of any person consulted for medical advice regarding the patient; and

(l) Communication attempts of the AAHP licensee to the veterinarian of record.

(2) For AAHP EDP licensees, in addition to the information in the medical record as established in subsection (1) of this section, the dental chart shall include:

(a) A disclaimer stating that the work provided is not inclusive of a veterinary oral exam and is ancillary to veterinarian services;

(b) Notes of observations made;

Drug name;
Amount of drug administered;
Route of administration;
Time of administration; and
Ifadditional drugs are provided, subsequent name of drug, dosage, route, and time of administration for each additional administration event; and

(d) Include a check box for referral to a veterinarian, which shall, as warranted:

Be checked if EDP observations determine the need for veterinary attention for the patient; and
Include corresponding notes in the observation section of the chart detailing observations and concerns.

(3) For an AAHP-EDP, the dental chart may comprise the medical record if all required information as established in subsections (1) and (2) of this section is included.

(4) Patient medical records shall be complete and accurate.

(5) Patient medical records shall be maintained in the AAHP licensee's registered facility or other location for at least five (5) years past the date of the last patient visit. Cessation from practice, either temporarily or permanently, does not relieve the practitioner from compliance with this section.

(6) An AAHP licensee shall not violate the confidential relationship between the licensee and the client, pursuant to KRS 321.187(6). Consultation by the licensee with another AAHP licensee or veterinarian for the benefit of the patient shall not constitute a violation of confidentiality.

(a) An AAHP licensee shall not release information concerning a client or care of a client's animal, except as authorized by KRS 321.187(6).

(b) An AAHP licensee shall, if requested by the client, communicate their findings, service plan, or records with the client's designated veterinarian.

Section 6. Duty to Report. AAHP licensees shall report to the board:

(1) Any change of name, address, phone, or email within thirty (30) days;

(2) A written response to a grievance or inquiry from the board in accordance with 201 KAR 16:610; and

(3) Disciplinary action or conviction in any jurisdiction.

Section 7. Compliance and Disciplinary Action.

(1) AAHP licensees shall be subject to disciplinary action for violation of:

(a) KRS Chapter 321 and 201 KAR Chapter 16; and

(b) Other applicable federal, state, and local laws.

(2) The board shall report any grievance or disciplinary action received against an AAHP permittee to the professional licensing board in the human area of specialty and may consult with that board as experts in their professional field.

Section 8. Incorporation by Reference.

(1) "Registration for Supervision of EDP Students", 08/2025, is incorporated by reference.

History

RELATES TO: KRS 321.175, 321.181, 321.187, 321.200, 321.203, 321.205, 321.235, 321.251, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.203, 321.205, 321.235(1)(a)-(c)(2)(b)2., 321.236, 321.255
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321 and 201 KAR Chapter 16. KRS 321.235(2)(b)2. authorizes the board to promulgate administrative regulations to establish conditions for licensing, limitations upon the practice of allied animal health professional (AAHP) licensees, and limitations on the scope of practice allowable by AAHP providers on animals. This administrative regulation establishes the responsibilities for AAHP providers licensed by the board, limitations upon their practice on animal patients, and allowable scope of practice for an allied animal health professional's practice on animals.
History: 201 KAR 016:737. 51 Ky.R. 10226, 1680; eff. 7-1-2025; 52 Ky.R. 443, 1154; eff. 6-2-2026.

201 KAR 16:750 Licensed veterinary technicians (LVTs); Veterinary assistants; Scope of practice and supervisory requirements {#sec-201-kar-16-750 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:750}

Section 1. Definitions.

(1) "Direct supervision" is defined by KRS 321.181(59)(c).

(2) "Immediate supervision" is defined by KRS 321.181(59)(b).

(3) "Indirect supervision" is defined by KRS 321.181(59)(d).

(4) "Veterinarian-client-patient relationship" or "VCPR" is defined in KRS 321.185.

Section 2. General Provisions.

(1) Supervisors and supervisees are separately responsible for their own actions pursuant to KRS 321.190(7).

(2) Except as authorized by KRS 321.200, KRS 321.201, and subsection (3) of this section, the acts of surgery, diagnosis, prognosis, and prescription are limited to a veterinarian pursuant to KRS 321.190(6).

(3) Veterinary students enrolled in good standing in an approved veterinary medical program or veterinary technology students enrolled in good standing in an approved veterinary technology program may perform tasks related to curriculum advancement or preparation for a board approved national exam while under the direct supervision of a veterinarian or immediate supervision of an LVT.

(4) Persons providing clinical care to patients shall comply with the medical record keeping requirements established in KRS 321.187 and 201 KAR 16:701.

Section 3. Restrictions on the Use of Licensed Veterinary Technicians.

(1) An LVT may perform acts as assigned under the direction, supervision, and responsibility of a board-licensed veterinarian who has established and maintains a current veterinarian-client-patient relationship (VCPR) with the patient and the client in accordance with KRS 312.185.

(2) The veterinarian and LVT shall comply with the record keeping requirements established in KRS 321.187 and 201 KAR 16:701.

(3) The decision about the level of supervision required by an LVT shall be at the discretion and professional judgement of the supervising veterinarian if:

(a) The supervising veterinarian is confident in the level of training and trust in the LVT; and

(b) The tasks assigned to the LVT are not otherwise prohibited by KRS Chapter 321 or 201 KAR Chapter 16 and comply with all state and federal laws.

Section 4. Patient Emergency Care Provided by LVTs.A supervising veterinarian in emergency care situations may assign to an LVT under indirect supervision, through verbal communication or in accordance with the supervising veterinarian's written protocols, the following tasks until the veterinarian is available on the premises to take over treatment:

(1) Application of tourniquets or pressure procedures to control hemorrhage;

(2) Application of appropriate wound dressings in severe burn cases;

(3) Resuscitative oxygen procedures;

(4) Anti-seizure treatment;

(5) Supportive treatment in heat prostration cases;

(6) Administer drugs to control pain and shock; or

(7) Initiate and perform CPR and provide immediate post resuscitation care, including:

(a) Administration of medication; and

(b) Defibrillation according to protocols established in writing at the veterinary facility.

Section 5. Restrictions on the Use of Veterinary Assistants.

(1) Pursuant to KRS 321.443, a veterinarian may employ a veterinary assistant and assign work at the discretion of the supervising veterinarian, except for those tasks identified in subparagraph (2) of this section, if:

(a) The veterinary assistant is under the direction, supervision, and responsibility of a board-licensed veterinarian[,] who has established and maintains a current Veterinarian-Client-Patient Relationship (VCPR) with the patient in accordance with KRS 321.185;

(b) The tasks assigned to the veterinary assistant are at all times:

Under the supervision of a veterinarian at a minimum supervisory level as established in subsections (3) through (5) of this section; or
Under the immediate or direct supervision of an LVT;

(c) The supervising veterinarian or supervising LVT is confident in the level of training and trust in the veterinary assistant and their ability to competently and safely perform assigned tasks; and

(d) The tasks assigned to the veterinary assistant comply with all state and federal laws.

(2) A veterinary assistant shall not be assigned the following tasks:

(a) Surgery;

(b) Diagnosis;

(d) Prescription;

(e) Euthanasia; or

(f) Tooth extractions of any kind.

(3) A supervising veterinarian or LVT may assign to a veterinary assistant the following tasks under immediate supervision:

(a) Regional anesthesia, including paravertebral blocks, epidurals, local blocks;

(b) Fluid aspiration from a body cavity or organ, known as centesis; or

(4) A supervising veterinarian or LVT may assign to a veterinary assistant the following tasks under direct supervision:

(a) Unless prohibited by state or federal regulation, the administration, preparation and application of treatments prescribed by a veterinarian, including:

Controlled substances; and
Enemas;

(b) Maintenance and recovery tasks following veterinarian or LVT administration of general anesthesia and sedation;

(d) Imaging, including at a minimum:

Computed tomography (CT);
Magnetic resonance imaging (MRI);
Radiography;
Ultrasonography;
Fluoroscopy; and
Administration of radio-opaque agents or materials;

(e) Floating equine teeth;

(f) Ocular tonometry, Schirmer tear test, and fluorescein stain application; or

(g) Tasks at the discretion of the veterinarian, which are not in contravention of KRS 321.190, 321.181(50), 321.443, and this administrative regulation.

(5) A supervising veterinarian may assign to a veterinary assistant the following tasks under indirect supervision:

(a) Unless prohibited by state or federal law, the administration, preparation, and application of treatments prescribed by a veterinarian, including:

Drugs;
Medications;
Biological and immunological agents;
Collection of blood; and
Collection and preparation of cellular or microbiological samples by skin scrapings, impressions, or other non-surgical methods;

(b) Intravenous catheterization and maintenance;

(d) Monitoring, including at a minimum:

Electrocardiogram (ECG);
Blood pressure; and
CO2 and blood oxygen saturation;

(e) Clinical laboratory test procedures;

(f) Handling and disposal of biohazardous waste materials;

(g) Implantation of a microchip;

(h) Laser therapy;

(i) Animal rehabilitation therapies; or

(j) Suture and staple removal.

Section 6. Patient Emergency Care Provided by Veterinary Assistants. A supervising veterinarian in emergency care situations may assign to a veterinary assistant who they employ and who is under the veterinarian's direct supervision, through verbal communication and in accordance supervising veterinarian's written protocols, the following tasks:

(1) Application of tourniquets or pressure procedures to control hemorrhage;

(2) Application of appropriate wound dressings in severe burn cases;

(3) Resuscitative oxygen procedures;

(4) Anti-seizure treatment;

(5) Supportive treatment in heat prostration cases;

(6) Administration of drugs to control pain and shock in accordance with state and federal laws; or

(7) Initiation and performance of CPR and performance of immediate post resuscitation care, including:

(a) Administration of medication; and

(b) Defibrillation according to protocols established in writing at the veterinary facility.

History

RELATES TO: KRS 321.175, 321.190, 321.441, 321.443
STATUTORY AUTHORITY: KRS 321.235(2)(b)3.c., 321.441(3)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.175 and 321.235 establish that the Kentucky Board of Veterinary Examiners shall protect the public by ensuring only qualified individuals are allowed to engage in the practice of veterinary technology in the Commonwealth to promote, preserve, and protect the public health, safety, and welfare. KRS 321.441 establishes that a license is required for veterinary technicians to practice veterinary technology in the Commonwealth. KRS 321.190(1) establishes that veterinary assistants may work in the Commonwealth without a veterinarian or veterinary technician license. KRS 321.441 and 321.443 establish that licensed veterinary technicians and veterinary assistants shall be properly supervised when assisting a veterinarian with the practice of veterinary medicine. This administrative regulation sets forth the scope of practice for licensed veterinary technicians (LVTs) and veterinary assistants under various levels of veterinarian supervision to ensure the safety and welfare of animal patients, clearly define appropriate roles to be assigned by supervisors, and to provide confidence in basic care and support for clients.
History: 50 Ky.R. 522, 1314, 1485; eff. 4-2-2024.

201 KAR 16:762 Application requirements for veterinary facility registration; veterinarian managers; registered responsible parties {#sec-201-kar-16-762 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:762}

Section 1. Definitions.

(1) "Fixed facility" is defined by KRS 321.181(38).

(2) "Mobile facility" or "mobile unit" is defined by KRS 321.181(46).

(3) "Practice of veterinary medicine" is defined by KRS 321.181(50).

(4) "Practice of veterinary technology" is defined by KRS 321.181(51).

(5) "Premises" is defined by KRS 321.181(52).

(6) "Registered responsible party" is defined by KRS 321.181(57).

(7) "Veterinarian manager" is defined by KRS 321.181(68).

(8) "Veterinary facility" is defined by KRS 321.181(71).

Section 2. General Requirements. Each veterinary facility that is located in Kentucky where the practice of veterinary medicine or practice of veterinary technology occurs shall possess a veterinary facility registration issued by the Kentucky Board of Veterinary Examiners. Pursuant to KRS 321.236(2), all existing veterinary facilities in Kentucky shall be registered by June 30, 2025.

(1) A veterinary facility registration shall not be issued without a physical facility, either a fixed facility or mobile unit.

(2) A veterinary facility shall be a dedicated space equipped for, staffed, and primarily devoted to the practice of veterinary medicine or the practice of veterinary technology.

(3) A mobile facility shall be registered as an affiliate unit on a fixed facility registration, or independently under a unique veterinary facility registration with a designated physical location for parking and storage.

(4) A registered facility shall have no more than two (2) mobile units under its registration without incurring additional registration and renewal fees as established in 201 KAR 16:515.

(5) A registered veterinary facility shall prominently display the current registration certificate in a public area of the registered facility. The registration certificate shall:

(a) Be legible; and

(b) Show the current dates of registration.

Section 3. Exemptions from Requirements for Veterinary Facility Registration.

(1) The following premises shall be exempt from the requirements of this administrative regulation:

(a) Premises identified in KRS 321.181(71)(b);

(b) An expert who provides consulting services only to other veterinarians, who does not engage in the practice of veterinary medicine on a patient directly, and who does not have a physical facility, either fixed or mobile, where the consultant practices on animal patients;

(d) Government sponsored vaccine clinics for animals solely to prevent infectious disease and that do not include diagnostics, surgery, or the dispensation of prescription medications.

(2) The exception to register a premises as a veterinary facility as identified in subsection (1)(c) and (d) of this section does not alleviate a veterinarian from creating and maintaining medical records in accordance with 201 KAR 16:701.

Section 4. Registered Responsible Party.

(1) Each application for a veterinary facility registration shall name the facility and identify each registered responsible party.

(2) Pursuant to KRS 321.236(5), each registered responsible party shall be accountable for ensuring the requirements of KRS Chapter 321 and 201 KAR Chapter 16 are met, including the timely designation of a veterinarian manager for the veterinary facility in accordance with the provisions of 201 KAR 16:767.

(3) If it is determined that a registered responsible party has violated any provisions of the Kentucky Veterinary Medicine Practice Act or 201 KAR Chapter 16, the board may take disciplinary action equal to that for a licensed veterinarian as provided by the Kentucky Veterinary Medicine Practice Act.

Section 5. Veterinarian Manager.

(1) Each application for a veterinary facility registration shall designate a veterinarian manager. The application shall include the veterinarian manager's original signature, or, if completed online, an equivalent digital signature.

(2) A veterinarian manager shall be responsible for meeting the requirements of KRS Chapter 321 and 201 KAR Chapter 16, including ensuring the requirements for minimum standards are met and maintained.

Section 6. New Application Requirements. A new application to the board for registration as a veterinary facility shall include the following components:

(1) A completed application on an Application for Veterinary Facility Registration form or online equivalent form, including all required attachments and fees pursuant to 201 KAR 16:515;

(2) A complete list of persons or entities who shall be the registered responsible party;

(3) Identification of the veterinarian manager;

(4) Identification of the name, phone, address, and email address of the registered facility;

(5) A copy of the Secretary of State business registration;

(6) Identification of the species served from one (1) or more in a list provided by the board;

(7) Identification of the patient services offered at the veterinary facility from one (1) or more in a list provided by the board;

(8) A complete list of veterinarians working at the facility, excluding veterinarians providing locum services less than fourteen (14) days in a calendar year to the facility;

(9) A complete list of licensed veterinary technicians working at the facility;

(10) A complete list of allied animal health professional (AAHP) permittees working at the facility;

(11) A complete list of mobile units affiliated with the veterinary facility;

(12) Disclosure of after-hours care arrangements;

(13) For fixed facilities, county of facility location and counties served;

(14) If the facility offers a haul-in installation for livestock;

(15) For mobile units, a list of the counties served by the mobile unit;

(16) Hours of operation;

(17) A copy of any court documents, final orders, settlement agreements, or other documents requested by the board in support of the application; and

(18) Any other information requested by the board in support of the application.

Section 7. Background Checks. Pursuant to KRS 321.189, the board may:

(1) Conduct a national or jurisdictional level background check on each veterinarian manager applicant for registration. The check shall be processed by a board approved background check provider and may include a copy of the applicant's fingerprints captured at a board-approved location;

(2) Reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old;

(3) Impose additional requirements as a condition of registration or deny registration following the board's review of findings from a background check; and

(4) Waive the background check requirement for a veterinarian manager who is already licensed in Kentucky and if a background check was previously conducted as a condition of licensure.

Section 8. Renewal and Reinstatement of Veterinary Facility Registrations. Pursuant to 201 KAR 16:765, a registered responsible party or veterinarian manager shall:

(1) Ensure the timely renewal of the veterinary facility registration; and

(2) If applicable, ensure an appropriate reinstatement application is made to the board.

Section 9. The veterinary facility registration certificate shall be posted in a publicly viewable area on the facility premises or on the mobile unit.

Section 10. Incorporation by Reference.

(1) "Application for Veterinary Facility Registration", 2/2025, is incorporated by reference.

History

RELATES TO: KRS 258.043, 321.175, 321.181, 321.189, 321.203, 321.236
STATUTORY AUTHORITY: KRS 321.203, 321.235(1)(b), (2)(b)1.c., 3.b., (2)(e), 321.236(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.175(4) states the purpose of the Kentucky Veterinary Medicine Practice Act is to promote, preserve, and protect the public health, safety, and welfare by and through, in part, the registration and regulation of veterinary facilities and mobile facilities where and from which the practice of veterinary medicine occurs. KRS 321.236(1)(a) authorizes the Kentucky Board of Veterinary Examiners to promulgate administrative regulations defining the application requirements and fees for veterinary facilities. KRS 321.235(1)(b) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to effectively carry out and enforce the provisions of KRS Chapter 321. This administrative regulation establishes application requirements for veterinary facilities.
History: 201 KAR 016:762. 51 Ky.R. 1028, 1682; eff. 7-1-2025.

201 KAR 16:765 Veterinary facilities -- Renewal notice -- Requirements for renewal and reinstatement {#sec-201-kar-16-765 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:765}

Section 1. Renewal Notices and Timeliness of Renewal Applications.

(1) The board shall, not later than August 31 of each odd-numbered year, email or mail to each registered veterinary facility a biennial renewal notice.

(2) The renewal application shall be completed by the permittee and returned to the board, including all required attachments and, if required by the board, proof of course completion for the required continuing education.

(3) Timely receipt of renewal application.

(a) Renewals bearing a postmark, or, if an online renewal, a timestamp, of not later than September 30 of every odd numbered year beginning in 2027 and each odd numbered year thereafter shall be considered received on time.

(b) Renewals bearing a postmark, or, if an online renewal, a timestamp, on or after October 1 of every odd year shall be considered late and shall cause the registration status to be changed to expired. There shall be no grace period for registered facility renewal.

(4) Renewal fee.

(a) The renewal fee shall be paid pursuant to 201 KAR 16:515; and

(b) The renewal fee shall be attached to the completed renewal form when it is returned to the board or paid online with the completion of the online renewal form.

Section 2. Renewal Application.

(1) The renewal application for a veterinary facility shall be completed by the registered responsible party or veterinarian manager and returned to the board, including all required attachments.

(2) A renewal application to the board for a veterinary facility registration shall include the following components:

(a) A completed application on a Renewal Application for Registered Veterinary Facilities form or online equivalent form, including all required attachments and fees pursuant to 201 KAR 16:515;

(b) Identification of any changes to the registered responsible party;

(d) Identification of the name, phone, or email address of the registered facility;

(e) A current copy of the business registration from the Kentucky Secretary of State;

(f) Identification of the species served from one (1) or more in a list provided by the board;

(g) Identification of the patient services offered at the veterinary facility from one (1) or more in a list provided by the board;

(h) A complete list of veterinarians working at the facility, excluding veterinarians providing locum services on a temporary basis to the facility;

(i) A complete list of licensed veterinary technicians working at the facility;

(j) A complete list of allied animal health professional (AAHP) permittees working at the facility;

(k) A complete list of mobile units affiliated with the veterinary facility;

(l) Disclosure of afterhours care arrangements;

(m) For fixed facilities, county of facility location and counties served;

(n) If the facility offers a haul-in installation for livestock;

(o) For mobile units, a list of the counties served by the mobile unit;

(p) Hours of operation;

(q) A copy of any court documents, final orders, settlement agreements, or other information requested by the board in support of the application; and

(r) Any other information requested by the board in support of the application.

(3) A change in fifty (50) percent or more of ownership or of the registered responsible parties shall be cause for the board to deny the renewal for a veterinary facility registration and require a new veterinary facility registration application.

Section 3. Failure to Renew.

(1) Applicants for renewal that miss the veterinary facility registration renewal deadline shall immediately cease operations offering veterinary services.

(2) If the registered responsible party desires to continue offering veterinary services on the fixed premises or from a mobile unit, they shall submit a complete reinstatement application in accordance with Section 4 of this administrative regulation.

Section 4. Reinstatement. A registered responsible party or veterinarian manager shall apply for reinstatement of an expired veterinary facility registration if not more than five (5) years have elapsed since the last date of registration expiration pursuant to KRS 321.203.

(1) A reinstatement application to the board for a veterinary facility registration shall include the following components:

(a) A completed application on a Reinstatement Application for Registered Veterinary Facilities form or online equivalent form, including the following components, all required attachments, and fees pursuant to 201 KAR 16:515;

(b) Identification of any changes to the registered responsible party;

(d) Identification of the name, phone, and email address of the registered facility;

(e) A copy of the business registration from the Kentucky Secretary of State;

(f) Identification of the species served from one (1) or more in a list provided by the board;

(g) Identification of the patient services offered at the veterinary facility from one (1) or more in a list provided by the board;

(h) A complete list of veterinarians working at the facility, excluding veterinarians providing locum services on a temporary basis to the facility;

(i) A complete list of licensed veterinary technicians working at the facility;

(j) A complete list of AAHP permittees working at the facility;

(k) A complete list of all mobile units affiliated with the veterinary facility;

(l) Disclosure of afterhours care arrangements;

(m) For fixed facilities, county of location and counties served;

(n) If the facility offers a haul-in installation for livestock;

(o) For mobile units, a list of the counties served by the mobile unit;

(p) Hours of operation;

(q) A copy of any court documents, final orders, settlement agreements, or other information requested by the board in support of the application; and

(r) Any other information requested by the board in support of the application.

(2) Reinstatement fee.

(a) The reinstatement fee shall be paid in accordance with 201 KAR 16:515; and

(b) The reinstatement fee shall be attached to the completed reinstatement form when it is returned to the board or paid online with the completion of the online reinstatement form, if available.

Section 5. Background Checks. Pursuant to KRS 321.189, the board may:

(1) Conduct a national or jurisdictional level background check on each veterinarian manager applicant for veterinary facility registration. The check shall be processed by a board approved background check provider and may include a copy of the applicant's fingerprints captured at a board-approved location;

(2) Reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old; and

(3) Impose additional requirements as a condition of registration or deny registration following the board's review of findings from a background check.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Renewal Application for Registered Veterinary Facilities", 3/2025; and

(b) "Reinstatement Application for Registered Veterinary Facilities", 3/2025.

History

RELATES TO: KRS 321.189, 321.203, 321.205, 321.235
STATUTORY AUTHORITY: KRS 321.175(2)(c), (5), 321.203, 321.205, 321.235(1)(b), (2)(e),(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to effectively implement and enforce the provisions of KRS Chapter 321. KRS 321.236 requires all veterinary facilities to register with the Kentucky Board of Veterinary Examiners. This administrative regulation establishes requirements for the renewal and reinstatement of veterinary facility registrations.
History: 201 KAR 016:765. 51 Ky.R. 1031, 1685, 1770; eff. 7-1-2025.

201 KAR 16:767 Registered veterinary facilities – Duties of registered responsible parties and veterinarian managers {#sec-201-kar-16-767 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:767}

Section 1. Definitions.

(1) "Fixed facility" is defined by KRS 321.181(38).

(2) "Mobile facility" or "mobile unit" is defined by KRS 321.181(46).

(3) "Practice of veterinary medicine" is defined by KRS 321.181(50).

(4) "Practice of veterinary technology" is defined by KRS 321.181(51).

(5) "Registered responsible party" is defined by KRS 321.181(57).

(6) "Veterinarian manager" is defined by KRS 321.181(68)

(7) "Veterinary facility" is defined by KRS 321.181(71).

Section 2. Duties of Registered Responsible Parties. A registered responsible party shall

(1) Be responsible for maintaining minimum standards as promulgated by the board in 201 KAR Chapter 16;

(2) Designate a veterinarian manager for the registered veterinary facility;

(3) Comply with the requirements of and ensure employees and volunteers at the veterinary facility comply with the provisions of KRS Chapter 321 and 201 KAR Chapter 16, in addition to all local, state, and federal laws governing operations at the veterinary facility; and

(4) Comply with all duties to report, in accordance with Section 4 of this administrative regulation, including the timely designation of a veterinarian manager for the facility.

Section 3. Duties of Veterinarian Managers.

(1) A veterinarian manager shall:

(a) Be responsible for maintaining minimum standards as promulgated by the board in 201 KAR Chapter 16;

(b) Maintain a Kentucky Board of Veterinary Examiners veterinarian license;

(c) Comply with all provisions of the Kentucky Veterinary Medicine Practice Act and 201 KAR Chapter 16, in addition to all local, state, and federal laws governing operations at the veterinary facility; and

(d) Ensure the current board approved veterinary facility registration is posted in the registered facility and viewable by the public.

(2) The veterinarian manager shall be:

(a) The individual who oversees veterinary services at a veterinary facility;

(b) Knowledgeable about the veterinary facility and its:

Daily operations;
Standard protocols;
Drugs and supplies;
Patient areas;
Storage structures;
Other organizational spaces; and
Parts and spaces, both indoors and outdoors;

(c) Present at the veterinary facility with enough frequency to have knowledge of and control over the facility's methods for complying with minimum standards and the degree to which the minimum standards are being met; and

(d) Available and responsive to the board, its staff, inspectors, or other board designees, if a facility inspection or any inquiry or investigation by the board occurs.

Section 4. Duty to Report. Either the registered responsible parties or veterinarian managers shall report to the board:

(1) Within thirty (30) days, any change of name, address, phone, or email to the registered facility by completing and submitting to the board the Request for Facility Information Change form or online equivalent form provided by the board, including all required attachments;

(2) Within ten (10) days, a change in the veterinarian manager for the registered veterinary facility on the Request for a New Veterinarian Manager form or online equivalent form, including all required attachments; and

(3) A written response to a grievance or inquiry from the board in accordance with 201 KAR 16:610.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Request for Facility Information Change", 2/2025; and

(b) "Request for a New Veterinarian Manager", 3/2025.

History

RELATES TO: KRS 321.181, 321.203, 321.205, 321.235, 321.236
STATUTORY AUTHORITY: KRS 321.235(1)(b), 321.236(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to effectively carry out and enforce the provisions of KRS Chapter 321. KRS 321.236 requires all veterinary facilities to register with the Kentucky Board of Veterinary Examiners. KRS 321.236(5) requires each registered veterinary facility to identify both a veterinarian manager and each registered responsible party who shall be responsible for the operation and management of the veterinary facility. This administrative regulation establishes the responsibilities for registered responsible parties and veterinarian managers.
History: 201 KAR 016:767. 51 Ky.R. 1033, 1685, 1772; eff. 7-1-2025.

201 KAR 16:772 Application requirements for AAHP facility registration; AAHP managers; Registered responsible parties {#sec-201-kar-16-772 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:772}

Section 1. Definitions.

(1) "Allied animal health professional" or "AAHP" is defined by KRS 321.181(1).

(2) "Allied animal health professional facility" or "AAHP facility" is defined by KRS 321.181(2).

(3) "Dedicated AAHP Services Space" or "DASS" means a clearly distinct, purpose-built area that is physically and operationally separate from non-AAHP provider spaces and retail shopping areas, and that is designed to support the safe, private, and professional delivery of AAHP services while maintaining compliance with applicable administrative regulations, ensuring client and patient comfort, and preventing harm to the public.

(4) "Fixed facility" is defined by KRS 321.181(40).

(5) "Mobile facility" or "mobile unit" is defined by KRS 321.181(48).

(6) "Registered responsible party" is defined by KRS 321.181(59).

Section 2. General Requirements. Each AAHP facility located in Kentucky at which an AAHP licensee practices on animal patients shall possess an AAHP facility registration issued by the Kentucky Board of Veterinary Examiners, unless the AAHP licensee is practicing at a registered veterinary facility.

(1) An AAHP facility registration shall not be issued without a physical facility, either a fixed facility or mobile facility.

(2) An AAHP facility shall contain a dedicated space equipped for, staffed for, and primarily devoted to the provision of the allied animal health professional services on animal patients.

(3) Premises primarily devoted to activities other than AAHP services, and which also offer AAHP services to the public at a fixed facility shall be registered as an AAHP facility and shall comply with paragraphs (a) through (e) of this subsection.

(a) The Dedicated AAHP Services Space (DASS) shall be physically and operationally distinct from areas of other use.

(b) The DASS shall be confined and enclosed with walls, floor to ceiling so that, at a minimum, patients are fully contained and separated from persons who are not AAHP personnel or an owner or owner's agent.

(d) To ensure public and patient safety, the provision of AAHP services in a DASS shall be physically separate from other retail activity and public services offered.

(e) AAHP facilities registered under this subsection may be inspected by the board to verify compliance with the provisions of this subsection to ensure both public and patient safety.

(4) A mobile facility shall be registered as an affiliate unit on a fixed facility registration, or independently under a unique AAHP facility registration with a designated physical location for parking and storage.

(5) A registered facility shall have no more than two (2) mobile units under its registration without incurring additional registration and renewal fees as established in 201 KAR 16:517.

(6) Registration Documentation.

(a) A fixed registered AAHP facility shall prominently display the current registration certificate in a public area of the registered facility.

(b) A mobile unit registered AAHP facility shall retain within the mobile unit the current registration certificate which shall be presented upon demand.

Be legible; and
Show the current dates of registration.

Section 3. Exemptions from Requirements for AAHP Facility Registration. The following premises shall be exempt from the requirements of this administrative regulation:

(1) Premises identified in KRS 321.181(2)(c);

(2) An expert who provides consulting services only to veterinarians or other AAHP licensees, who does not engage in practice on a patient directly, and who does not have a regular physical facility where the expert practices on animal patients; and

(3) Rental vehicles or vehicles used on a temporary basis while a registered mobile unit is not operational.

Section 4. Registered Responsible Party.

(1) Each Application for AAHP Facility Registration shall name the facility and identify each registered responsible party.

(2) Pursuant to KRS 321.236(5), each registered responsible party shall be accountable for ensuring the requirements of KRS Chapter 321 and 201 KAR Chapter 16 are met, including the timely designation of an allied animal health professional manager for the facility, in accordance with 201 KAR 16:737.

(3) If it is determined that a registered responsible party has violated any provisions of KRS Chapter 321 or 201 KAR Chapter 16, the board may take disciplinary action equal to that for a licensed veterinarian as provided by KRS Chapter 321.

Section 5. AAHP Manager.

(1) Each Application for AAHP Facility Registration shall name the facility and designate an AAHP manager. The application shall include the AAHP manager's original signature, or, if completed online, an equivalent digital signature.

(2) An AAHP manager shall be primarily responsible for meeting the requirements of KRS Chapter 321 and 201 KAR Chapter 16, including ensuring that minimum standards are met and maintained.

Section 6. New Application Requirements. A new application to the board for registration as an AAHP facility shall include the following components:

(1) A completed application on an Application for AAHP Facility Registration form or online equivalent form, including all required attachments and fees pursuant to 201 KAR 16:517;

(2) A complete list of persons or entities who shall be the registered responsible party;

(3) Identification of the AAHP manager;

(4) Identification of the legal business name and the doing-business-as (D.B.A.) name of the facility;

(5) Identification of the phone, address, and email address of the registered facility;

(6) A copy of the business registration from the Kentucky Secretary of State, county registration, or similar business registration, if one (1) exists;

(7) Identification of the type of AAHP facility from one (1) or more in a list provided by the board;

(8) Identification of the species served from one (1) or more in a list provided by the board;

(9) Identification of the patient services offered at the AAHP facility from one (1) or more in a list provided by the board;

(10) A complete list of AAHP licensees working at the facility;

(11) A complete list of all mobile units being registered under the AAHP facility;

(12) Disclosure of afterhours care arrangements;

(13) For fixed facilities, county of location and counties served;

(14) For mobile units, a list of the counties served by the mobile unit;

(15) Hours of facility operation; and

(16) A copy of any court documents, final orders, settlement agreements, or other documents requested by the board in support of the application.

Section 7. Background Checks. Pursuant to KRS 321.189, the board may:

(1) Conduct a national or jurisdictional level background check on each AAHP license applicant. The check shall be processed by a board-approved background check provider and may include a copy of the applicant's fingerprints captured at a board-approved location;

(2) Reject background checks that do not have an official seal or watermark or that are more than ninety (90) days old;

(3) Impose additional requirements as a condition of registration or deny the application following the board's review of findings from a background check; and

(4) Waive the background check requirement for an AAHP manager who is already licensed in Kentucky and if a background check was previously conducted as a condition of licensure.

Section 8. Renewal and Reinstatement of AAHP Facility Registrations. Pursuant to 201 KAR 16:775, a registered responsible party or AAHP manager shall:

(1) Ensure the timely renewal of the AAHP facility registration; and

(2) If applicable, ensure an appropriate reinstatement application is made to the board.

Section 9. Incorporation by Reference.

(1) "Application for AAHP Facility Registration", 11/2025, is incorporated by reference.

History

RELATES TO: KRS 321.175, 321.181, 321.189, 321.203, 321.205, 321.235, 321.253, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.203, 321.205, 321.235(1)(a)-(c) and (2)(b)2., 321.236
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)2. authorizes the board to promulgate administrative regulations to establish conditions for applications and licensing of allied animal health professional (AAHP) facilities. This administrative regulation establishes application requirements for AAHP facilities, registered responsible parties at AAHP facilities, and AAHP managers, and includes the minimum requirements for operation as a registered AAHP facility.
History: 201 KAR 016:772. 51 Ky.R. 1035, 1687; eff. 7-1-2025; 52 Ky.R. 446, 1516; eff. 6-2-2026.

201 KAR 16:775 AAHP facilities -- Renewal notice -- Requirements for renewal and reinstatement {#sec-201-kar-16-775 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:775}

Section 1. Renewal Notices and Timeliness of Renewal Applications.

(1) The board shall, not later than August 31 of each odd-numbered year, email or mail to each registered AAHP facility a biennial renewal notice.

(2) The renewal application shall be completed by the AAHP manager or registered responsible party and returned to the board, including all required attachments and, if required by the board, proof of course completion for the required continuing education.

(3) Timely receipt of renewal application.

(a) Renewals bearing a postmark, or, if an online renewal, a timestamp, of not later than September 30 of every odd-numbered year beginning in 2027 and each odd-numbered year thereafter shall be considered received on time.

(b) Renewals bearing a postmark, or, if an online renewal, a timestamp, on or after October 1 of every odd-numbered year shall be considered late and shall cause the registration status to be changed to expired. There shall be no grace period for registered facility renewal.

(4) Renewal fee.

(a) The renewal fee shall be paid pursuant to 201 KAR 16:517; and

(b) The renewal fee shall be attached to the completed renewal form when it is returned to the board or paid online with the completion of the online renewal form.

Section 2. Renewal Application.

(1) The renewal application shall be completed by the registered responsible party or AAHP manager and returned to the board, including all required attachments.

(2) A renewal application to the board for an AAHP facility registration shall include the following components:

(a) A completed application on the Renewal Application for Registered AAHP Facilities form or online equivalent form, including all required attachments and fees pursuant to 201 KAR 16:517;

(b) Identification of any changes to the registered responsible party;

(d) Identification of the legal business name and the doing-business-as (D.B.A.) name of the facility;

(e) Identification of the phone, address, and email address of the registered facility;

(f) A copy of the business registration from the Kentucky Secretary of State, county registration, or similar business registration, if one (1) exists;

(g) Identification of the type of AAHP facility from one (1) or more in a list provided by the board;

(h) Identification of the species served by the facility from one (1) or more in a list provided by the board;

(i) Identification of the patient services offered at the AAHP facility from one (1) or more in a list provided by the board;

(j) A complete list of AAHP licensees working at the facility;

(k) A complete list of all mobile units registered under the AAHP facility;

(l) Disclosure of afterhours care arrangements;

(m) For fixed facilities, county of location and counties served;

(n) For mobile units, a list of the counties served by the mobile unit;

(o) Hours of facility operation; and

(p) A copy of any court documents, final orders, settlement agreements, or other information requested by the board in support of the application.

(3) A change in fifty (50) percent or more of ownership or of the registered responsible parties shall be cause for the board to deny an AAHP facility renewal and require a new AAHP facility application.

Section 3. Failure to Renew.

(1) Applicants for renewal that miss the AAHP facility registration renewal deadline shall immediately cease operations offering AAHP services.

(2) If the registered responsible party desires to continue offering AAHP services on the premises or from a mobile unit, they shall submit a complete reinstatement application in accordance with Section 4 of this administrative regulation.

Section 4. Reinstatement. A registered responsible party or AAHP manager may apply for reinstatement of an expired AAHP facility registration if not more than five (5) years have elapsed since the last date of registration expiration pursuant to KRS 321.203. Applications to the board for reinstatement of a AAHP facility registration shall include the following components:

(1) A completed application on a Reinstatement Application for Registered AAHP Facilities form or online equivalent form, including the following components and all required attachments and fees pursuant to 201 KAR 16:517;

(2) Identification of any changes to the registered responsible party;

(3) Identification of the AAHP manager;

(4) Identification of the legal business name and the doing-business-as (D.B.A.) name of the facility;

(5) Identification of the phone, address, and email address of the registered facility;

(6) A copy of the business registration from the Kentucky Secretary of State, county registration, or similar business registration, if one (1) exists;

(7) Identification of the type of AAHP facility from one (1) or more in a list provided by the board;

(8) Identification of the type of AAHP facility from one (1) or more in a list provided by the board;

(9) Identification of the species served by the facility from one (1) or more in a list provided by the board;

(10) Identification of the patient services offered at the AAHP facility from one (1) or more in a list provided by the board;

(11) A complete list of AAHP licensees working at the facility;

(12) A complete list of all mobile units registered under the AAHP facility;

(13) Disclosure of afterhours care arrangements;

(14) For fixed facilities, county of location and counties served;

(15) For mobile units, a list of the counties served by the mobile unit;

(16) Hours of facility operation; and

(17) A copy of any court documents, final orders, settlement agreements, or other information requested by the board in support of the application.

Section 5. Background Checks. Pursuant to KRS 321.189, the board may:

(1) Conduct a national or jurisdictional level background check on each AAHP manager applicant for AAHP facility registration. The check shall be processed by a board-approved background check provider and may include a copy of the applicant's fingerprints captured at a board-approved location;

(2) Reject background checks that do not have an official seal or watermark, or that are more than ninety (90) days old; and

(3) Impose additional requirements as a condition of registration or deny the AAHP facility application or the designated AAHP manager following the board's review of findings from a background check.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Renewal Application for Registered AAHP Facilities", 11/2025; and

(b) "Reinstatement Application for Registered AAHP Facilities", 11/2025.

History

RELATES TO: KRS 321.175, 321.181, 321.189, 321.203, 321.205, 321.235, 321.253, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.203, 321.205, 321.235(1)(a)-(c), (2)(b)2., 321.236
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the board to promulgate administrative regulations to implement and enforce KRS Chapter 321. KRS 321.235(2)(b)2. authorizes the board to promulgate administrative regulations to establish conditions for applications and licensure of allied animal health professional (AAHP) facilities. This administrative regulation establishes requirements for AAHP facility registration renewal and reinstatement applications.
History: 201 KAR 016:775. 51 Ky.R. 1037, 1689, 1773; eff. 7-1-2025; 52 Ky.R. 1037, 449, 1518; eff. 6-2-2026.

201 KAR 16:777 Registered AAHP facilities – Duties of registered responsible parties and AAHP managers {#sec-201-kar-16-777 omnilex-key=us-ky-regs-official--title-201--201 KAR 16:777}

Section 1. Definitions.

(1) "Allied animal health professional" or "AAHP" is defined by KRS 321.181(1).

(2) "Allied animal health professional facility" or "AAHP facility" is defined by KRS 321.181(2).

(3) "Mobile facility" or "mobile unit" is defined by KRS 321.181(48).

(4) "Registered responsible party" is defined by KRS 321.181(59).

Section 2. Duties of Registered Responsible Parties. A registered responsible party shall:

(1) Be responsible for maintaining minimum standards as promulgated by the board in 201 KAR Chapter 16;

(2) Designate an AAHP manager for the registered AAHP facility;

(3) Ensure the requirements of KRS Chapter 321 and 201 KAR Chapter 16 are met in addition to all local, state, and federal laws governing operations at the AAHP facility; and

(4) Comply with all duties to report, in accordance with Section 4 of this administrative regulation, including the timely designation of an AAHP manager for the facility.

Section 3. Duties of AAHP Managers.

(1) An AAHP manager shall:

(a) Be responsible for maintaining minimum standards as established by the board in 201 KAR Chapter 16;

(b) Maintain a Kentucky Board of Veterinary Examiners AAHP license in good standing;

(c) Comply with all provisions of the KRS Chapter 321 and 201 KAR Chapter 16, in addition to all local, state, and federal laws governing operations at the AAHP facility; and

(d) Ensure the current board-approved AAHP facility registration is posted in the registered facility and viewable by the public.

(2) The AAHP manager shall be:

(a) The individual who oversees AAHP services at the AAHP facility;

(b) Knowledgeable about the AAHP facility and its:

Daily operations;
Standard protocols;
Drug supplies;
Patient areas;
Storage structures;
Other organizational spaces; and
Parts and spaces, both indoors and outdoors;

(c) Physically present at the AAHP facility with enough frequency during each month to have sufficient knowledge of and control over the facility's methods for complying with minimum standards as established in KRS Chapter 321 and 201 KAR Chapter 16 and the degree to which the minimum standards are being met;

(d) Limited to the management of no more than five (5) registered AAHP facilities. Multiple mobile units registered under a single facility registration shall count as one (1) registered facility; and

(e) Available and responsive to the board, its staff, inspectors, or other board designees, if a facility inspection or any inquiry or investigation by the board occurs.

Section 4. Duty to Report. Either the registered responsible party or AAHP managers shall report to the board:

(1) Within thirty (30) days, any change of name, address, phone, or email to the registered AAHP facility by completing and submitting to the board the Request for Facility Information Change form incorporated by reference in 201 KAR 16:767, or online equivalent form, including all required attachments, provided by the board;

(2) Within ten (10) days, a change in the AAHP manager for the registered facility by completing and submitting to the board a Request for a New AAHP Manager form or online equivalent form, including all required attachments, provided by the board; and

(3) A written response to a grievance or inquiry from the board pursuant to 201 KAR 16:610.

Section 5. Registration and Inspection of Allied Animal Health Professional Facilities.

(1) Each AAHP licensee and AAHP facility or mobile facility shall be subject to KRS Chapter 321 and 201 KAR Chapter 16.

(2) During a facility inspection or investigation, the board or its designee shall be provided unrestricted access to animal use areas.

(3) Inspections of an AAHP facility shall be limited to the animal treatment areas unless the board or its designee is accompanied by at least one (1) representative from the professional licensing board or certifying body in the human area of specialty.

Section 6. Separate Human and Animal Treatment Areas Required. An AAHP licensee who treats both animal and human patients in the same registered facility shall:

(1) Post a conspicuous sign in the reception area of that facility informing customers that nonhuman patients are treated on the premises;

(2) Maintain a separate, non-carpeted room for the purpose of practicing on animal patients;

(3) Utilize separate furniture and equipment for use with animal patients which shall not be used for human patients;

(4) Apply appropriate biosecurity measures to prevent contamination and the spread of zoonotic disease; and

(5) If an animal bite occurs, report to the local health department within twelve (12) hours and comply with state law regarding required actions and, if necessary, quarantine the animal.

Section 7. Incorporation by Reference.

(1) "Request for a New AAHP Manager", 11/2025, is incorporated by reference.

History

RELATES TO: KRS 321.175, 321.181, 321.203, 321.205, 321.235, 321.236, 321.251, 321.255
STATUTORY AUTHORITY: KRS 321.181(1)-(4), 321.203, 321.205, 321.235(1)(b), 321.236(1)(b), (5)
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 321.235(1)(b) requires the Kentucky Board of Veterinary Examiners to promulgate administrative regulations to effectively carry out and enforce the provisions of KRS Chapter 321. KRS 321.236 requires all allied animal health professional (AAHP) facilities to register with the Kentucky Board of Veterinary Examiners. KRS 321.236(5) requires each registered AAHP facility to identify both an AAHP manager and each registered responsible party who shall be responsible for the operation and management of the AAHP facility. This administrative regulation establishes the responsibilities for registered responsible parties and AAHP managers.
History: 201 KAR 016:777. 51 Ky.R. 1040, 1691, 1774; eff. 7-1-2025; 52 Ky.R. 452, 1519; eff. 6-2-2026.

Chapter 17 Board of Speech-language Pathology and Audiology

201 KAR 17:015 Board members, expenses {#sec-201-kar-17-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:015}

Section 1. A member of the board shall receive:

(1) Compensation in the amount of $100 per day for each day of actual board service; and

(2) Travel expenses as provided by 200 KAR 2:006.

History

RELATES TO: KRS 334A.100
STATUTORY AUTHORITY: KRS 334A.080(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.100 authorizes board members to receive per diem and traveling expenses to the extent authorized by board policy. This administrative regulation establishes the per diem and travel expense rates for board members when conducting board-related business.
History: 13 Ky.R. 563; eff. 10-2-86; Am. 26 Ky.R. 871; 1522; eff. 1-26-2000; Crt eff. 2-21-2020.

201 KAR 17:027 Supervision requirements and caseload limitations of Speech-Language Pathology Assistants {#sec-201-kar-17-027 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:027}

Section 1. The supervision requirements specified in this administrative regulation shall be the minimum requirements.

(1) The supervisor shall design and provide a supervision system that protects pupil welfare and maintains the highest possible standards of quality speech-language pathology services.

(2) The supervisor may require additional supervision based on the experience of the speech-language pathology assistant, the pupils served, and the physical or geographic proximity to the supervisor.

(3) As the supervisory responsibility of the supervisor increases, the direct service responsibilities of the supervisor shall decrease.

Section 2. Treatment for the pupils served shall remain the responsibility of the supervisor. The level of supervision required shall be the minimum level necessary for the supervisor to retain direct contact with the pupils.

Section 3. Each speech-language pathology assistant shall be required to have direct supervision in accordance with their years of experience as defined in KRS 334A.033. This ensures that the supervisor shall have direct contact time with the speech-language pathology assistant as well as with the pupil.

(1) Direct supervision shall be considered to be on-site, in-view observation and guidance as a clinical activity is performed. A speech-language pathology assistant shall be supervised by either:

(a) A speech-language pathologist licensed by the Kentucky Board of Speech-Language Pathology and Audiology; or

(b) An Education Professional Standards Board master's level certification as a teacher of exceptional children in the areas of speech and communication disorders.

(2) Supervision shall provide information about the quality of the speech-language pathology assistant's performance with assigned tasks and verify that clinical activity is limited to tasks specified in the speech-language pathology assistant's scope of responsibilities.

(3) Information obtained during direct supervision may include data relative to:

(a) Accuracy in implementation of screening, diagnostic, and treatment procedures;

(b) Agreement between the assistant and the supervisor on judgment of target behavior;

(d) Ability to interact effectively with the pupil.

Section 4. Each speech-language pathology assistant shall also be required to receive indirect supervision in accordance with their years of experience as defined in KRS 334A.033. Indirect supervision may include:

(1) Demonstration;

(2) Record review;

(3) Review and evaluation of audio or videotaped sessions; or

(4) Supervisory conferences that may be conducted by telephone.

Section 5. Direct and indirect supervision shall be required for each speech-language pathology assistant and shall be documented on a weekly basis. Additional direct and indirect supervision may be necessary depending on the experience of the assistant and the needs of the pupil.

Section 6. A speech-language pathology assistant shall not provide direct services when a supervising speech-language pathologist cannot be reached by personal contact, phone, or some other immediate means.

Section 7. If, for any reason, including maternity leave, illness, or a change of jobs, the supervisor is no longer available to provide the level of supervision stipulated, the speech-language pathology assistant shall not provide service until a fully qualified speech-language pathologist has been designated as the speech-language pathology assistant's supervisor.

Section 8. Although more than one (1) supervisor may provide supervision of a speech-language pathology assistant, a supervisor shall not be listed as the supervisor of record for more than two (2) speech-language pathology assistants, in accordance with KRS 334A.033(1)(c). If multiple supervisors are used, each supervisor shall be responsible for that portion of the caseload that is theirs.

Section 9. The maximum number of pupils served by the speech-language pathology assistant shall not exceed the caseload established for a speech-language pathologist by administrative regulation.

Section 10.

(1)

(a) The caseload for a speech-language pathologist who works four (4) days a week, or the equivalent number of hours, in the public school system shall not exceed fifty-two (52) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works four (4) days a week, or the equivalent number of hours, in the public school system may be increased according to the provisions set forth in KRS 334A.190(2).

(2)

(a) The caseload for a speech-language pathologist who works three (3) days a week, or the equivalent number of hours, in the public school system shall not exceed thirty-nine (39) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works three (3) days a week, or the equivalent number of hours, in the public school system may be increased according to the provisions set forth in KRS 334A.190(2).

(3)

(a) The caseload for a speech-language pathologist who works two and one-half (2 1/2) days a week, or the equivalent number of hours, in the public school system shall not exceed thirty-two (32) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works two and one-half (2 1/2) days a week, or the equivalent number of hours, in the public school system may be increased according to the provisions set forth in KRS 334A.190(2).

(4)

(a) The caseload for a speech-language pathologist who works two (2) days a week, or the equivalent number of hours, in the public school system shall not exceed twenty-six (26) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works two (2) days a week, or the equivalent number of hours, in the public school system may be increased according to the provisions set forth in KRS 334A.190(2).

(5)

(a) The caseload for a speech-language pathologist who works one (1) day a week, or the equivalent number of hours, in the public school system shall not exceed thirteen (13) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works one (1) day a week, or the equivalent number of hours, in the public school system may be increased according to the provisions set forth in KRS 334A.190(2).

History

RELATES TO: KRS 334A.033
STATUTORY AUTHORITY: KRS 334A.033(1)(b), 334A.080
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.080(3) requires the Board of Speech-Language Pathology and Audiology to promulgate responsible administrative regulations, including administrative regulations which delineate qualifications for licensure and renewal of licensure. KRS 334A.033(1)(b) requires the board to promulgate administrative regulations to set forth supervision requirements for speech-language pathology assistants. This administrative regulation establishes those requirements.
History: 21 Ky.R. 147; Am. 914; eff. 8-17-1994; 26 Ky.R. 873; 1523; eff. 1-26-2000; 27 Ky.R. 3321; 28 Ky.R. 557; eff. 9-10-2001; 36 Ky.R. 845; 1441; eff. 2-5-2010; Crt eff. 2-21-2020.

201 KAR 17:038 Caseload limitations {#sec-201-kar-17-038 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:038}

Section 1.

(1)

(a) The caseload for a speech-language pathologist who works five (5) days a week, or the equivalent number of hours in the public school system, shall not exceed sixty-five (65) pupils.

(b) The caseload for a speech-language pathologist who works four (4) days a week, or the equivalent number of hours in the public school system, shall not exceed fifty-two (52) pupils.

(c) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works four (4) days a week, or the equivalent number of hours in the public school system, may be increased according to the provisions set forth in KRS 334A.190(2).

(2)

(a) The caseload for a speech-language pathologist who works three (3) days a week, or the equivalent number of hours in the public school system, shall not exceed thirty-nine (39) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works three (3) days a week, or the equivalent number of hours in the public school system, may be increased according to the provisions set forth in KRS 334A.190(2).

(3)

(a) The caseload for a speech-language pathologist who works two and one half (2 1/2) days a week, or the equivalent number of hours in the public school system, shall not exceed thirty-two (32) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works two and one half (2 1/2) days a week, or the equivalent number of hours, in the public school system may be increased according to the provisions set forth in KRS 334A.190(2).

(4)

(a) The caseload for a speech-language pathologist who works two (2) days a week, or the equivalent number of hours in the public school system, shall not exceed twenty-six (26) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works two (2) days a week, or the equivalent number of hours in the public school system, may be increased according to the provisions set forth in KRS 334A.190(2).

(5)

(a) The caseload for a speech-language pathologist who works one (1) day a week, or the equivalent number of hours in the public school system, shall not exceed thirteen (13) pupils.

(b) The caseload of a speech-language pathologist who supervises speech-language pathology assistants, and works one (1) day a week, or the equivalent number of hours in the public school system, may be increased according to the provisions set forth in KRS 334A.190(2).

History

RELATES TO: KRS 334A.190(1)
STATUTORY AUTHORITY: KRS 334A.080(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.080(3) requires the Board of Speech-Language Pathology and Audiology to promulgate responsible administrative regulations, including administrative regulations which delineate qualifications for licensure and renewal of licensure. This administrative regulation establishes specific guidelines for caseload limitations for a speech language pathologist practicing in the public schools.
History: 36 Ky.R. 952; 1446; eff. 2-5-2010; Crt eff. 2-21-2020.

201 KAR 17:041 Professional code of ethics {#sec-201-kar-17-041 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:041}

Section 1. Responsibility to Patients.

(1) A licensee shall:

(a) Advance and protect the welfare of the patient;

(b) Respect the rights of a person seeking his assistance; and

(2) A licensee shall not:

(a) Exploit the trust and dependency of a patient;

(b)

Except as provided by subparagraph 2 of this paragraph, engage in a dual relationship with a patient, including a social, business, or personal relationship that may:

a. Impair professional judgment;

b. Incur a risk of exploitation of the patient; or

c. Otherwise violate a provision of this administrative regulation;

If a dual relationship cannot be avoided, and does not impair professional judgment, incur a risk of exploitation of the patient, or otherwise violate a provision of this administrative regulation, a licensee shall take appropriate professional precautions to ensure that judgment is not impaired and exploitation of the patient does not occur;

(d) Continue a therapeutic relationship unless it is reasonably clear that the patient is benefiting from the relationship;

(e) Fail to assist a person in obtaining other therapeutic services if the licensee is unable or unwilling, for appropriate reasons, to provide professional help;

(f) Abandon or neglect a patient in treatment without making reasonable arrangements for the continuation of treatment;

(g) Videotape, record, or photograph the provision of services without having first obtained written informed consent from the patient;

(h) Permit third-party observation without first obtaining oral or written informed consent from the patient;

(i) Engage in sexual or other harassment or exploitation of his patient, student, trainee, supervisee, employee, colleague, research subject, or actual or potential witness or complainant in an investigation or ethical proceeding; or

(j) Diagnose, treat, or advise on a problem outside the recognized boundaries of his competence.

Section 2. Confidentiality.

(1) A licensee shall respect and guard the confidences of each individual patient.

(2) A licensee shall not disclose a patient confidence except:

(a) As mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person;

(c) During the course of a civil, criminal, or disciplinary action arising from the therapy, at which the licensee is a defendant; or

(d) In accordance with the terms of a written waiver. If the patient is a minor, a parent may provide a waiver.

(3) A licensee may use patient or clinical materials in teaching, writing, and public presentations if:

(a) A written waiver has been obtained in accordance with subsection (2)(d) of this section; or

(b) Appropriate steps have been taken to protect patient identity and confidentiality.

(4) A licensee shall store or dispose of patient records so as to maintain confidentiality.

Section 3. Professional Competence and Integrity. A licensee shall maintain standards of professional competence and integrity and shall be subject to disciplinary action in accordance with KRS 334A.180:

(1) Upon conviction of a felony, or a misdemeanor related to the practice of the licensee. Conviction shall include adjudication based on:

(a) A plea of no contest or an "Alford Plea"; or

(b) The suspension or deferral of a sentence.

(2) If his license or certificate is subject to disciplinary action by another state's regulatory agency that the board determines violates applicable Kentucky state law or administrative regulation;

(3) Upon a showing of impairment due to mental incapacity or the abuse of alcohol or other substances which negatively impact the licensee's practice;

(4) If the licensee misrepresented or concealed a material fact in obtaining a license, renewing a license, or reinstating a license;

(5) If he has refused to comply with an order issued by the board; or

(6) If he has failed to cooperate with the board by not:

(a) Furnishing in writing a complete explanation to a complaint filed with the board;

(b) Appearing before the board at the time and place designated; or

Section 4. Responsibility to His Student or Supervisee. A licensee shall:

(1) Be aware of his influential position with respect to a student or supervisee;

(2) Avoid exploiting the trust and dependency of a student or supervisee;

(3) Avoid a social, business, personal, or other dual relationship that could:

(a) Impair professional judgment; or

(b) Increase the risk of exploitation;

(4) Take appropriate precautions to ensure that judgment is not impaired and to prevent exploitation if a dual relationship cannot be avoided;

(5) Not engage in sexual intimacy or contact with a:

(a) Student;

(b) Employee; or

(6) Not permit a student or supervisee to perform or represent himself as competent to perform a professional service beyond his level of:

(a) Training;

(b) Experience; or

(7) Not disclose the confidence of a student or supervisee except:

(a) If permitted or mandated by law;

(b) If it is necessary to prevent a clear and immediate danger to a person;

(c) During the course of a civil, criminal, or disciplinary action arising from the supervision, at which the licensee is a defendant;

(d) In an educational or training setting, if there are multiple supervisors or professional colleagues who share responsibility for the training of the supervisee; or

(e) In accordance with the terms of a written informed consent agreement.

Section 5. Financial Arrangements. A licensee shall:

(1) Disclose his fees to a patient and supervisee at the beginning of service;

(2) Make financial arrangements with a patient, third-party payor, or supervisee that:

(a) Are reasonably understandable; and

(b) Conform to accepted professional practices;

(3) Not offer or accept payment for a referral; and

(4) Represent facts truthfully to a patient, third-party payor, or supervisee regarding services rendered.

Section 6. Advertising.

(1) A licensee shall:

(a) Accurately represent education, training, and experience relevant to the practice; and

(b) Not use professional identification, including a business card, office sign, letterhead or telephone or association directory listing, that includes a statement or claim that is false, fraudulent, misleading, or deceptive pursuant to subsection (2) of this section.

(2) A statement shall be considered false, fraudulent, misleading, or deceptive if it:

(a) Contains a material misrepresentation of fact;

(b) Is intended to or likely to create an unjustified expectation; or

History

RELATES TO: KRS 334A.180
STATUTORY AUTHORITY: KRS 334A.080(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.080(3) requires the Board of Speech-Language Pathology and Audiology to promulgate responsible administrative regulations, including administrative regulations which delineate qualifications for licensure and renewal of licensure. This administrative regulation establishes the code of ethics.
History: 6 Ky.R. 242; eff. 12-5-1979; Am. 13 Ky.R. 516; eff. 10-2-1986; 26 Ky.R. 874; 1525; eff. 1-26-2000; 36 Ky.R. 851; 1448; eff. 2-5-2010; Crt eff. 2-21-2020.

201 KAR 17:090 Continuing education requirements {#sec-201-kar-17-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:090}

Section 1. Definitions.

(1) "Academic courses offered by an accredited postsecondary institution" means:

(a) A speech-language pathology or audiology course, designated by a speech-language pathology or audiology title or content; or

(b) An academic course, relevant to speech-language pathology or audiology.

(2) "Approved" means recognized by the Kentucky Board of Speech-Language Pathology and Audiology.

(3) "Continuing education hour" means sixty (60) clock minutes of participating in continuing educational experiences.

(4) "Program" means an organized learning experience:

(a) Planned and evaluated to meet behavioral objectives; and

(b) Presented in one (1) session or a series.

(5) "Provider" means an organization approved by the Kentucky Board of Speech-Language Pathology and Audiology for providing a continuing education program.

(6) "Related" means having content that is not directly linked to the practice of speech-language pathology or audiology, but expands or augments clinical practice.

(7) "Relevant" means having content applicable to the practice of speech-language pathology or audiology.

Section 2. Accrual of Continuing Education Hours.

(1) A minimum of thirty (30) continuing education hours shall be accrued by each person holding licensure as a speech-language pathologist, speech-language pathology assistant, or audiologist during the biennial period for renewal. Two (2) of these hours shall be focused on ethics.

(2) A person who holds a license in both speech-language pathology and audiology shall complete a minimum of fifty (50) continuing education hours during the biennial period for renewal. This person shall obtain continuing education hours in both areas of licensure. Two (2) of these hours shall be focused on ethics.

(3) All continuing education hours shall be in the field in which the person is licensed. The licensee may use up to a maximum of four (4) hours in a related area for each biennial period.

(4) A person newly licensed during the license renewal period shall not be required to complete continuing education as a prerequisite for the first renewal of his license.

(5) A person failing to renew the license within the five (5) year period after its expiration shall obtain a license only after meeting the initial licensure requirements of 201 KAR Chapter 17. In addition, the applicant shall provide proof of the successful completion of thirty (30) hours of continuing education within the last two (2) years for a speech-language pathology, speech-language pathology assistant, or audiology license or fifty (50) hours of continuing education for a license in both speech-language pathology and audiology.

(6) Continuing education shall be completed by January 31 of the renewal period.

Section 3. Methods of Acquiring Continuing Education Hours. Continuing education hours applicable to the renewal of the license shall be directly related to the professional growth and development of a speech-language pathologist, speech-language pathology assistant, or audiologist.

(1) The hours shall be earned by completing any of the following educational activities:

(a) Programs not requiring board review and approval. An educational program from any of the following providers shall be deemed to be relevant to the practice of speech-language pathology or audiology and shall be approved without further review by the board if the program is:

Sponsored or approved by:

a. The American Speech-Language-Hearing Association; or

b. The American Academy of Audiology; or

An academic course offered by an accredited postsecondary institution directly related to speech-language pathology or audiology. Academic credit equivalency for continuing education hours shall be based on one (1) credit hour equals fifteen (15) continuing education hours. Programs designated to meet degree requirements shall not be acceptable;

(b) Programs requiring board review and approval. The board shall issue an approval number upon receipt of the documentation required by Section 4 of this administrative regulation. A program from any of the following sources shall be reviewed and determined if the program is relevant and therefore subsequently approved by the board:

A program, including a home study course or in-service training provided by another organization, educational institution, or service provider approved by the board in accordance with Section 5 of this administrative regulation;
A program or academic course presented by the licensee. A presenter of a relevant program or academic course shall earn full continuing education credit for each contact hour of instruction, not to exceed one-half (1/2) of the continuing education renewal requirements. Credit shall not be issued for repeated instruction of the same course; or
Authoring an article in a relevant, professionally recognized or juried publication. Credit shall not be granted for an article unless the article was published within the two (2) year period immediately preceding the renewal date and a licensee shall not earn more than one-half (1/2) of the continuing education hours required for renewal. More than one (1) publication shall not be counted during a renewal period.
Online coursework shall not exceed ten (10) hours per day.

(2) A general education course, elective course, or a course designated to meet degree requirements shall not be acceptable.

(3) Related continuing education subjects which are not specifically a part of the field of speech-language pathology or audiology may be approved for up to four (4) continuing education hours if the board believes that the related areas serve to enhance the licensee's ability to practice. The four (4) hour maximum credit for related areas of study by the licensee shall be applicable to only one (1) license (speech-language pathology or audiology) for those individuals who hold dual licensure.

Section 4. Procedures for Approval of Continuing Education Programs. A course, which has not been preapproved by the board, may be used for continuing education if approval is secured from the board for the course. The board may consider for approval a Continuing Education program if one (1) or more of the following items have been submitted. In order for the board to adequately review a program, the following information shall be submitted:

(1) A published course or seminar description;

(2) Names and qualifications of the instructors;

(3) A copy of the program agenda indicating hours of education, coffee and lunch breaks;

(4) Number of continuing education hours requested;

(5) Application to the board for continuing education credits approval.

Section 5. Procedures for Preapproval of Continuing Education Sponsors and Programs.

(1) Sponsor approval. An entity seeking to obtain approval:

(a) Of a continuing education program prior to its offering shall apply to the board at least thirty (30) days in advance of the commencement of the program, and shall provide the information required in Section 4 of this administrative regulation; or

(b) As a prior-authorized continuing education provider under Section 3(1)(a) of this administrative regulation shall satisfy the board that the entity seeking this status:

Consistently offers programs which meet or exceed all the requirements set forth in subsection (2) of this section; and
Does not exclude a licensee from its programs.

(2) A continuing education activity shall be qualified for approval if the board determines the activity being presented:

(a) Is an organized program of learning;

(b) Pertains to subject matters which integrally relate to the practice of speech-language pathology or audiology;

(d) Is conducted by individuals who have relevant educational training or experience.

(3) Providers of continuing education shall provide attendees with a certificate of completion including the course approval number provided by the board.

Section 6. Responsibilities and Reporting Requirements of a Licensee.

(1) During the licensure renewal period, up to fifteen (15) percent of all licensees shall be selected at random by the board and required to furnish documentation of the completion of the appropriate number of continuing education hours. Verification of continuing education hours shall not otherwise be reported to the board;

(2) A licensee shall:

(a) Be responsible for obtaining required continuing education hours;

(b) Identify his own continuing education needs and seek activities that meet those needs;

(d) Select approved activities by which to earn continuing education hours;

(e) Submit to the board, if applicable, a request for approval for continuing education activities not approved as required in Section 3(1) of this administrative regulation;

(f) At the time of renewal, list the continuing education hours obtained during that licensure renewal period;

(g) Document attendance, participation in, and successful completion of continuing education activity for a period of two (2) years from the date of the renewal; and

(h) Maintain records of continuing education hours.

(3) If audited, the following items are required to document continuing education activity:

(a) A transcript or tracking sheet issued by a professional association; or

(b) A transcript, official certificate of completion, or affidavit signed by the instructor;

(4) Failure to comply with the provisions of this administrative regulation shall constitute a violation of KRS 334A.170(4) and shall result in:

(a) Refusal to renew licensure;

(b) Suspension of licensure; or

(5) Documentation sent to the board prior to renewal shall be returned to the licensee by regular mail.

Section 7. Responsibilities and Reporting Requirements of Providers and Sponsors.

(1) A provider of continuing education not requiring board approval shall be responsible for providing documentation, as established in Section 5(2) of this administrative regulation, directly to the licensee.

(2) A sponsor of continuing education requiring board approval shall be responsible for submitting a course offering to the board for review and approval before listing or advertising that offering as approved by the board. The board shall provide an identifying number for the sponsor to use in identifying the course.

Section 8. Board to Approve Continuing Education Hours; Appeal of Denial.

(1) If an application for approval of continuing education hours is denied, in whole or part, the licensee shall have the right to appeal the board's decision.

(2) An appeal shall be:

(a) In writing;

(b) Received by the board within thirty (30) days after the date of the decision denying approval of continuing education hours; and

Section 9. Waiver or Extensions of Continuing Education.

(1) On application, the board may grant a waiver of the continuing education requirements or an extension of time within which to fulfill the requirements in the following cases:

(a) Medical disability of the licensee;

(b) Illness of the licensee or an immediate family member; or

(2) A written request for waiver or extension of time involving medical disability or illness shall be:

(a) Submitted by the person holding licensure; and

(b) Accompanied by a verifying document signed by a licensed physician.

(3) A waiver of or extension of time within which to fulfill the minimum continuing education requirements shall not exceed one (1) year.

Section 10. Continuing Education Requirements for a Person on Inactive Status or Holding Interim Licensure.

(1) Except as provided by subsection (3) of this section, the continuing education requirements established in Section 2 of this administrative regulation shall be waived for a licensee on inactive status during the time period the licensee remains inactive. A person on inactive status who requests reactivation shall meet the requirements of Section 11 of this administrative regulation.

(2) The continuing education requirements established in Section 2 of this administrative regulation shall not apply to a person holding interim licensure.

(3) A licensee on inactive status shall submit proof of thirty (30) hours of continuing education if applying for a third consecutive biennial renewal under inactive status. For subsequent renewals, an inactive licensee shall obtain thirty (30) hours of continuing education for every six (6) years on inactive status. These hours shall be obtained no more than two (2) years prior to the six (6) year deadline. Two (2) of these hours shall be focused on ethics.

Section 11. Continuing Education Requirements for Reinstatement or Reactivation of Licensure.

(2) If the person seeking reinstatement or reactivation does not meet the requirement established in subsection (1) of this section, the board shall reinstate or reactivate licensure, and the person shall obtain thirty (30) hours of continuing education within twelve (12) months of the date on which licensure is reinstated.

History

RELATES TO: KRS 334A.170(4)
STATUTORY AUTHORITY: KRS 334A.080(3), 334A.170(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.080(3) requires the Board of Speech-Language Pathology and Audiology to promulgate responsible administrative regulations, including administrative regulations which delineate qualifications for licensure and renewal of licensure. KRS 334A.170(4) requires the board to promulgate administrative regulations to set forth requirements concerning continuing professional education. This administrative regulation establishes the requirements for continuing education and prescribes methods and standards for the accreditation of continuing education courses.
History: 13 Ky.R. 1316; eff. 2-10-1987; Am. 15 Ky.R. 2163; eff. 5-4-1989; 19 Ky.R. 447; eff. 10-8-1992; 26 Ky.R. 879; 1529; eff. 1-26-2000; 27 Ky.R. 3324; eff. 9-10-2001; 36 Ky.R. 851; 1448; eff. 2-5-2010; 39 Ky.R. 823; 1678; eff. 3-8-2013; Crt eff. 2-21-2020.

201 KAR 17:100 Clinical practice by licensed speech-language pathologists and audiologists in the area of minor training {#sec-201-kar-17-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:100}

Section 1. Definitions.

(1) "Audiology" means the area of minor training for speech-language pathologists.

(2) "Speech-Language Pathology" means the area of minor training for audiologists.

Section 2. In the course of clinical practice, licensed speech-language pathologists may engage in audiometric screening and licensed audiologists may engage in speech-language screening under the following guidelines:

(1) Licensed speech-language pathologists shall restrict their practice in audiology to the performance and supervision of pure tone air conduction screening, otoacoustic emissions screening, screening tympanometry, and acoustic reflex screening either for the purpose of performing a speech evaluation, a language evaluation, or for initial identification of individuals with other communicative disorders. Judgments and descriptive statements about the results of these procedures shall be limited to whether the individual passed or failed the screening procedure. The criteria for failure of audiometric screening should be developed in consultation with a licensed audiologist. Licensed speech-language pathologists may provide aural habilitative and rehabilitative services.

(2) Licensed audiologists shall restrict their practice in speech-language pathology to the performance and supervision of speech and language screening for the purpose of performing an audiological evaluation or for the purpose of initial identification of individuals with other communicative disorders. Judgments and descriptive statements about the results of these procedures shall be limited to whether the individual passed or failed the screening procedure. The criteria for failure of speech-language screening should be developed in consultation with a licensed speech-language pathologist. Licensed audiologists may provide aural habilitative and rehabilitative services.

History

RELATES TO: KRS 334A.030
STATUTORY AUTHORITY: KRS 334A.080
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.080(3) requires the Board of Speech-Language Pathology and Audiology to promulgate responsible administrative regulations, including administrative regulations which delineate qualifications for licensure and renewal of licensure. This administrative regulation delineates the authority of licensees to practice in the area of minor training.
History: 13 Ky.R. 1962; eff. 6-9-1987; 36 Ky.R. 854; 1450; eff. 2-5-2010; Crt eff. 2-21-2020.

201 KAR 17:110 Telehealth and telepractice {#sec-201-kar-17-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:110}

Section 1. Definitions.

(1) "Client" means the person receiving the services of the speech-language pathologist or audiologist and the representative thereof if required by law.

(2) "Telehealth" is defined by KRS 334A.200(3) and 211.332(5).

(3) "Telepractice" means the practice of speech-language pathology or audiology, as defined by KRS 334A.020(4) and KRS 334.020A(6) respectively, provided by using communication technology that is two (2) way, interactive, and simultaneously audio and video.

Section 2. Client Requirements. A practitioner-patient relationship may commence via telehealth. An in-person initial meeting shall not be required unless the provider determines it is medically necessary to perform those services in person as set forth in KRS 211.336(2)(a). A licensed health care practitioner may represent the licensee at the initial meeting. A licensee who uses telehealth to deliver speech-language pathology or audiology services or who telepractices or the licensed healthcare practitioner representing the licensee shall, at the initial meeting with the client:

(1) Make reasonable attempts to verify the identity of the client;

(2) Obtain alternative means of contacting the client other than electronically;

(3) Provide to the client alternative means of contacting the licensee other than electronically;

(4) Document if the client has the necessary knowledge and skills to benefit from the type of telepractice provided by the licensee;

(5) In accordance with KRS 334A.200(1)(a) and 900 KAR 12:005 Section 2(3), obtain the informed consent of the client; and

(6) Inform the client in writing about:

(a) The limitations of using technology in the provision of telepractice;

(b) Potential risks to confidentiality of information due to technology in the provision of telepractice as required by KRS 334A.200(1)(b);

(d) When and how the licensee will respond to routine electronic messages;

(e) In what circumstances the licensee will use alternative communications for emergency purposes;

(f) Who else may have access to client communications with the licensee;

(g) How communications can be directed to a specific licensee;

(h) How the licensee stores electronic communications from the client; and

(i) That the licensee may elect to discontinue the provision of services through telehealth.

Section 3. Competence, Limits on Practice, Maintenance, and Retention of Records. A licensee using telehealth to deliver services or who telepractices shall:

(1) Limit the telepractice to the licensee's scope of practice;

(2) Maintain continuing competency or associate with a group who has experience in telehealth delivery of care;

(3) Use methods for protecting health information, which shall include authentication and encryption technology as required by KRS 334A.200(1)(b) and KRS 211.332(5)(c);

(4) Limit access to that information to only those necessary for the provision of services or those required by law; and

(5) Ensure that confidential communications obtained and stored electronically cannot be recovered and accessed by unauthorized persons when the licensee disposes of electronic equipment and data.

Section 4. Compliance with Federal, State, and Local Law.

(1) A licensee using telehealth to deliver speech-language pathology and audiology services and telepractice shall:

(a) Maintain patient privacy and security in accordance with 900 KAR 12:005 Section 2(2); and

(b) Comply with Section 508 of the Rehabilitation Act, 29 U.S.C. 794(d), to make technology accessible to a client with disabilities.

(2) If a person provides speech-language pathology and audiology services via telepractice to a person physically located in Kentucky at the time the services are provided, that provider shall be licensed by the board or be a provider who is a participant in the audiology and speech-language pathology interstate compact recognized in KRS 334A.188 and delivers telehealth services to a person in Kentucky under the standards and provisions of that interstate compact pursuant to KRS 211.336(2)(f).

(3) A person providing speech-language pathology and audiology services via telepractice from a physical location in Kentucky shall be licensed by the board. This person may be subject to licensure requirements in other states where the services are received by the client.

Section 5. Representation of Services and Code of Conduct. A licensee using telehealth to deliver services or who telepractices:

(1) Shall conform to the statutes and regulations governing the provision of speech-language pathology and audiology services in Kentucky;

(2) Shall not engage in false, misleading, or deceptive advertising of telepractice in violation of KRS 334A.200(2)(a); and

(3) Shall not split fees in violation of KRS 334A.200(2)(b).

History

RELATES TO: KRS 334A.188, 334A.200, 211.332, 211.334, 211.336, 211.338
STATUTORY AUTHORITY: KRS 334A.080(1), 334A.200, 211.336(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.200 requires the Board of Speech- Language Pathology and Audiology to promulgate administrative regulations to implement the use of telehealth services by speech-language pathologists and audiologists. KRS 211.336 establishes requirements for state agencies that promulgate administrative regulations relating to telehealth. This administrative regulation establishes requirements for the use of telehealth services.
History: 39 Ky.R. 918; 1463; 1680; eff. 3-8-2013; Crt eff. 2-21-2020; 48 Ky.R. 2498, 2958; eff. 7-20-2022.

201 KAR 17:120 Audiology and Speech-Language Pathology Interstate Compact {#sec-201-kar-17-120 omnilex-key=us-ky-regs-official--title-201--201 KAR 17:120}

Section 1. The Board of Speech-Language Pathology and Audiology shall comply with all rules of the Audiology and Speech-Language Pathology Interstate Compact, which includes the Audiology and Speech-Language Pathology Interstate Compact Rules as of September 20, 2025.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference: "The Audiology and Speech-Language Pathology Interstate Compact Rules", September 20, 2025, and as revised.

(a) Chapter 1 – Rule on Definitions, adopted April 17, 2023;

(b) Chapter 2 – Rule on Data System Reporting Requirements, adopted September 20, 2025;

(d) Chapter 4 – Rulemaking on Fees, adopted June 30, 2025.

(2)

(a) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Speech-Language Pathology and Audiology, 500 Mero Street, 2 SC 32, Frankfort, Kentucky 40602, Monday through Friday, 8 a.m. to 4:30 p.m.; or

(b) This material may also be obtained on the Board of Speech-Language Pathology and Audiology website at https://slp.ky.gov/.

(3) This material may also be obtained at:

(a) The Audiology and Speech-Language Pathology Interstate Compact Commission, 1776 Avenue of the States, Lexington, Kentucky 40511; or

(b) https://aslpcompact.com/commission/commission-governance-documents/.

History

RELATES TO: KRS 334A.188
STATUTORY AUTHORITY: KRS 334A.080(3), 334A.188
NECESSITY, FUNCTION, AND CONFORMITY: KRS 334A.188, Section 15.B.1. requires the Board of Speech-Language Pathology and Audiology to review any rule adopted by the Audiology and Speech-Language Pathology Interstate Compact pursuant to Section 10 of KRS 334A.188 within sixty (60) days of adoption for the purpose of filing the rule as an emergency administrative regulation pursuant to KRS 13A.190 and for filing the rule as an accompanying ordinary administrative regulation pursuant to KRS Chapter 13A. This administrative regulation incorporates by reference the rules adopted by the Audiology and Speech-Language Pathology Interstate Compact.
History: 201 KAR 017:20. 51 Ky.R. 1342, 1745; eff. 6-18-2025; 52 Ky.R. 604, 1119; eff. 1-22-2026.

Chapter 18 Board of Licensure for Professional Engineers and Land Surveyors

201 KAR 18:010 Classes of applicants for licensure for professional engineering and land surveying {#sec-201-kar-18-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:010}

Section 1. Classes of Applicants.For convenience in discussing and processing applications for licensure, certification, and examinations, there shall be four (4) classes of applicants as established in subsections (1) through (4) of this section.

(1) Professional engineer. This class shall include those applying for an engineering license pursuant to KRS 322.040(1) and (2) or 322.120.

(2) Engineer in training. This class shall include those applying for certification as an engineer in training pursuant to 201 KAR 18:030.

(3) Professional land surveyor. This class shall include those applying for a land surveying license pursuant to KRS 322.045(1) or 322.120.

(4) Land surveyor in training. This class shall include those applying for certification as a land surveyor in training pursuant to 201 KAR 18:030.

History

RELATES TO: KRS 322.010, 322.040, 322.045, 322.120
STATUTORY AUTHORITY: KRS 322.040, 322.045, 322.120, 322.290(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(4) requires the board to promulgate administrative regulations governing professional engineers and land surveyors. This administrative regulation establishes the classes of applicants for professional engineer and professional land surveyor licensure for convenience in discussing and processing applications for licensure, certification, and examination.
History: PE & LS-I-1; 1 Ky.R. 1018; eff. 6-11-75; Am. 2 Ky.R. 192; eff. 12-10-75; Am. 28 Ky.R. 670; 1112; eff. 11-9-2001; Crt eff. 2-14-2020; 51 Ky.R. 361, 1088; eff. 3-4-2025.

201 KAR 18:020 Application forms {#sec-201-kar-18-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:020}

Section 1. Application Forms.

(1)

(a)

An application by any of the four (4) classes of applicants, including a professional engineer, a professional land surveyor, an engineer-in-training, or a land surveyor-in-training, shall be made on the following forms issued by the board:

a. Combined Application to take the Principles & Practice of Engineering Examination And For Licensure as a Professional Engineer;

b. Application for Licensure to Practice Professional Land Surveying;

c. Application For Licensure as a Professional Engineer (PE) or Land Surveyor (PLS) By Endorsement;

d. Application for Business Entity Permit – PE or LS;

e. Application For Land Surveyor-In-Training (LSIT) Certification;

f. Application For Engineer-In-Training (EIT) Certification; or

g. Application for Initial Licensure as a Professional Engineer (PE) or Land Surveyor (PLS).

Upon the applicant's completion of an application required by subparagraph 1. of this paragraph, the following forms shall be submitted if applicable:

a. Request for Confidential Information – PE;

b. Personal Reference – PE;

c. Report of Professional Experience – PLS;

d. Personal Reference – PLS;

e. Personal Reference – LSIT;

f. Professional Reference for Reinstatement – PE Applicant;

g. Professional Reference for Reinstatement – PLS Applicant;

h. Engineering Affidavit;

i. Surveying Affidavit; or

j. Employment Verification – PE Reinstatement.

(b) An applicant may attach additional sheets to the form if necessary for other evidence, but any attached sheets shall conform to the same size as the printed forms listed under this subsection and shall be securely attached.

(c) The board may require clarification or expansion of any of the information on the application required under this subsection in order to evaluate fully an applicant's qualifications.

(2) If the board requires a transcript in order to evaluate the qualifying education for licensure or certification, the applicant shall cause the required transcript to be sent directly from the educational institution to the board.

(3) If an applicant fails the same examination three (3) or more times, the applicant shall submit a new application required under subsection (1)(a)1. of this section and shall include evidence satisfactory to the board that the applicant has completed additional coursework. The requirement for this additional coursework shall be satisfied by completion of any of the following:

(a) Examination review courses;

(b) College courses; or

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Combined Application to take the Principles & Practice of Engineering Examination And For Licensure as a Professional Engineer", ed. 11/2013;

(b) "Request for Confidential Information - PE", ed. 10/03;

(d) "Application for Licensure to Practice Professional Land Surveying", ed. 7/1/05;

(e) "Report of Professional Experience - PLS", ed. 8/1/02;

(f) "Personal Reference - PLS", ed. 1/04;

(g) "Personal Reference - LSIT", ed. 1/04;

(h) "Professional Reference for Reinstatement - PE Applicant", ed. 1/07;

(i) "Professional Reference for Reinstatement - PLS Applicant", ed. 1/07;

(j) "Engineering Affidavit", ed. 1/07;

(k) "Surveying Affidavit", ed. 1/07;

(l) "Employment Verification - PE Reinstatement", ed. 1/07;

(m) "Application For Licensure as a Professional Engineer (PE) or Land Surveyor (PLS) By Endorsement", ed. 11/2013;

(n) "Application for Business Entity Permit - PE or LS", ed. 1/07;

(o) "Application For Land Surveyor-In-Training (LSIT) Certification", ed. 11/2013;

(p) "Application For Engineer-In-Training (EIT) Certification", ed. 11/2013; and

(q) "Application for Initial Licensure as a Professional Engineer (PE) or Land Surveyor (PLS)", ed. 6/2016.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky State Board of Licensure for Professional Engineers and Land Surveyors, 160 Democrat Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 322.040, 322.045, 322.050, 322.070, 322.080, 322.090, 322.120, 322.300
STATUTORY AUTHORITY: KRS 322.070, 322.090, 322.290
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.070 authorizes the board to require the use of forms in the application process and for the applicant to furnish proof of meeting educational requirements. KRS 322.090 requires an applicant who has failed the examination three (3) or more times to furnish proof of further study. KRS 322.290(4) authorizes the board to promulgate administrative regulations for the proper performance of its duties. This administrative regulation establishes requirements for forms, transcripts, and additional study.
History: PE&LS-II-1; 1 Ky.R. 1018; eff. 6-11-1975; 33 Ky.R. 1622; 2272; eff. 3-9-2007; 40 Ky.R. 886; 1248; eff. 1-3-2014; 42 Ky.R. 2810; eff. 8-5-2016; Crt eff. 2-14-2020.

201 KAR 18:030 Engineer in training and land surveyor in training certificates {#sec-201-kar-18-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:030}

Section 1. Examinations are offered in the fundamentals of engineering (FE) and fundamentals of surveying (FS) provided by the National Council of Examiners for Engineering and Surveying.

Section 2. Pursuant to KRS 322.040 and 322.045, the final year shall begin upon completion of at least 105 semester credit hours in the program.

Section 3. The executive director shall approve or disapprove, based on the criteria established in Section 4 of this administrative regulation, applications for the FE and FS examinations, and for engineer in training and land surveyor in training certificates.

Section 4. A qualified individual who passes the examination and applies to the board shall be issued an engineer in training or land surveyor in training certificate. The certificate shall be valid indefinitely with no renewal fees.

History

RELATES TO: KRS 322.010, 322.040, 322.045, 322.120
STATUTORY AUTHORITY: KRS 322.040, 322.045, 322.120, 322.290(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(4) requires the board to promulgate administrative regulations governing professional engineers and land surveyors. This administrative regulation establishes the requirements for the testing of basic sciences and fundamentals of engineering and land surveying for the application for engineer in training and land surveyor in training certificates.
History: PE&LS-III-1; 1 Ky.R. 1019; eff. 6-11-75; Am. 28 Ky.R. 671; 1112; eff. 11-9-2001; 31 Ky.R. 1882; 32 Ky.R. 52; eff. 8-5-05; Crt eff. 2-14-2020; 51 Ky.R. 363, 1088; eff. 3-4-2025.

201 KAR 18:040 Fees {#sec-201-kar-18-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:040}

Section 1. Fees for Individual Licensure, Renewal, Reinstatement, and Reissuance.

(1) The board shall collect a fee for:

(a) An application for licensure; and

(b) Licensure renewal or reinstatement.

(2) An applicant for licensure who takes or retakes the Fundamentals of Engineering Examination, the Fundamentals of Surveying Examination, the Principles and Practice of Engineering Examination, or the Principles and Practice of Surveying Examination shall pay:

(a) The fee required by the National Council of Examiners for Engineering and Surveying; and

(b) Application for licensure fee pursuant to subsection (3) of this section.

(3) The fee for an application shall be:

(a) Licensure by examination – zero dollars;

(b) Licensure by endorsement – $300;

(d) Renewal of license in retired status – twenty (20) dollars;

(e) Renewal of license in inactive status – twenty (20) dollars;

(f) Late renewal of a license that has been expired for less than one (1) year – calculated as provided by KRS 322.160(3); or

(g) Reinstatement of a license that has been expired for more than one (1) year – $500.

(4) Biennial Renewal. Renewal of a license, license in retired status, or license in inactive status shall be renewed biennially.

(a) Each licensee whose surname begins with the letters A through K shall renew in odd-numbered years.

(b) Each licensee whose surname begins with the letters L through Z shall renew in even-numbered years.

(5) An application submitted under this section shall not be evaluated by the board unless the current fee is submitted.

(6) Reissuance of a license after loss or destruction shall be twenty-five (25) dollars.

Section 2. Fees for Business Entity Permit, Renewal, Reinstatement, and Reissuance.

(1) The board shall collect a fee for:

(a) An application for a business entity permit; and

(b) Business entity permit renewal or reinstatement.

(2) The fee for a business entity permit shall be:

(a) Business entity permit to practice engineering – $100;

(b) Business entity permit to practice land surveying – $100;

(d) Renewal of a business entity permit to practice engineering – $100;

(e) Renewal of a business entity permit to practice land surveying – $100;

(f) Renewal of a business entity permit to practice both engineering and land surveying – $150;

(g) Late renewal of a business entity permit that has been expired for less than one (1) year – calculated as provided in KRS 322.160(3);

(h) Reinstatement of a business entity permit to practice engineering that has been expired for more than one (1) year – $500;

(i) Reinstatement of a business entity permit to practice land surveying that has been expired for more than one (1) year – $500; or

(j) Reinstatement of a business entity permit to practice both engineering and land surveying that has been expired for more than one (1) year – $1,000.

(3) Annual Renewal. Renewal of a business entity permit shall be annually.

(4) An application submitted under this section shall not be evaluated by the board unless the current fee is submitted.

(5) Reissuance of a business entity permit after loss or destruction shall be twenty-five (25) dollars.

Section 3. An application for licensure or a business entity permit shall lapse, and the fee shall be forfeited if the application is not completed as follows:

(1) For an application for licensure by examination, within 180 days from the date the application form is filed with the board office;

(2) For an application for licensure by endorsement, within 180 days from the date the application form is filed with the board office;

(3) For an application for reinstatement of license, within 180 days from the date the application form is filed with the board office; or

(4) For an application for a business entity permit to practice engineering or land surveying, within 90 days from the date the permit application form is filed with the board office.

Section 4. All fees shall be nonrefundable.

History

RELATES TO: KRS 322.060, 322.090, 322.100, 322.110, 322.120, 322.160, 322.170
STATUTORY AUTHORITY: KRS 322.060, 322.090, 322.100, 322.110, 322.120, 322.290(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8. The Board of Licensure for Professional Engineers and Land Surveyors is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.100 requires the board to establish fees for licensure. This administrative regulation establishes fees for examination, licensure, renewal, reinstatement, reissuance, and business entity permits.
History: 201 KAR 018:040. PE&LS-IV-1; 1 Ky.R. 1019; eff. 6-11-1975; Am. 3 Ky.R. 584; eff. 2-2-1977; 4 Ky.R. 567; eff. 8-2-1978; 8 Ky.R. 194; 343; eff. 11-5-1981; 10 Ky.R. 902; eff. 2-1-1984; 13 Ky.R. 1091; eff. 1-13-1987; 16 Ky.R. 1960; eff. 5-13-1990; 18 Ky.R. 3210; 19 Ky.R. 1069; eff. 10-30-92; 26 Ky.R. 1587; 1798; eff. 4-12-2000; 28 Ky.R. 672; 1113; eff. 11-9-2001; 30 Ky.R. 690; 1204; eff. 12-5-2003; 33 Ky.R. 4203; eff. 8-31-2007; 34 Ky.R. 1097; 1704; eff. 2-1-2008; TAm eff. 4-4-2011; 38 Ky.R. 1636; 1840; eff. 6-1-2012; 39 Ky.R. 528; 948; eff. 12-7-2012; 39 Ky.R. 2380; eff. 9-6-2013; Crt eff. 2-14-2020; 52 Ky.R. 454; eff. 3-3-2026.

201 KAR 18:060 Rejections and denials of applications for licensure {#sec-201-kar-18-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:060}

Section 1. Rejections.

(1) An application for licensure which is incomplete shall be rejected by the executive director of the board.

(2) If an application for licensure is rejected, the applicant shall be informed as to the reason for the rejection of the application for licensure, and shall be given reasonable opportunity to secure reconsideration.

Section 2. Denials.

(1) An application for licensure which does not meet the requirements of KRS 322.040, 322.045, 322.047, 322.050, or 322.120 shall be denied by the executive director of the board.

(2) If an application is denied, the applicant shall be informed as to the reason for the denial of the application and shall be given reasonable opportunity to secure reconsideration.

(3) If an application is not approved by the executive director, the applicant may request reconsideration by the board by filing a written request for reconsideration with the board within thirty (30) calendar days after the date upon which the applicant is sent notice that the application for licensure was not approved by the board's executive director.

(4) If an application is not approved by the board, the applicant may request a hearing in accordance with the provisions of KRS Chapter 13B by filing a written request for an administrative hearing with the board within thirty (30) calendar days after the date upon which the application for licensure was denied. The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

History

RELATES TO: KRS 322.040, 322.045, 322.047, 322.050, 322.120, 322.300
STATUTORY AUTHORITY: KRS 322.290(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8. The Board of Licensure for Professional Engineers and Land Surveyors is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: 322.290(4) authorizes the board to promulgate administrative regulations necessary for the proper performance of its duties. This administrative regulation establishes requirements for rejections and denials of licensure requests by the executive director of the board and an applicant's right to reconsideration.
History: 201 KAR 018:060. PE&LS-VI-1; 1 Ky.R. 1019; eff. 6-11-75; Crt eff. 2-14-2020; 52 Ky.R. 457; eff. 3-3-2026.

201 KAR 18:072 Experience {#sec-201-kar-18-072 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:072}

Section 1. Evaluation of Experience in Engineering Required under KRS 322.040. The board, in reviewing an application for licensure as a professional engineer pursuant to 201 KAR 18:020, shall consider the following:

(1) Experience shall reflect increasing complexity of the engineering tasks and the progressive responsibility of the applicant.

(2) The applicant shall demonstrate knowledge of engineering mathematics, physical and applied sciences, properties of materials, the fundamental principles of engineering design, and the application of engineering principles in the solution of engineering problems.

(3) Completion of a master's degree in an engineering program accredited at the undergraduate level by the Engineering Accreditation Commission of the Accreditation Board of Engineering and Technology, or an equivalent engineering program, shall be accepted as one (1) year of qualifying experience.

(4) Experience gained in violation of KRS Chapter 322 shall not be accepted as qualifying experience.

(5) Military experience gained while on active duty in the Armed Forces of the United States shall be accepted as qualifying experience if it meets the definition for "engineering," as defined by KRS 322.010(4).

(6) Sales experience shall be accepted as qualifying experience if the professional service or work requires the application of engineering principles that meet the definition for "engineering," as defined by KRS 322.010(4).

(7) Teaching advanced-level engineering design courses in an engineering program accredited by the Engineering Accreditation Commission of the Accreditation Board of Engineering and Technology, or an equivalent engineering programshall be accepted as qualifying experience.

(8) Research and design projects by faculty in an engineering program accredited by the Engineering Accreditation Commission of the Accreditation Board of Engineering and Technology, or an equivalent engineering program, shall be accepted as qualifying experience if it meets the definition for "engineering," as defined by KRS 322.010(4).

(9) The execution or supervision of construction projects designed by a professional engineer shall be accepted as qualifying experience if the design meets the definition for "engineering," as defined by KRS 322.010(4).

(10) The applicant shall demonstrate why any work experience not completed under the supervision of a professional engineer is qualifying experience applicable to licensure.

(11) Qualifying experience shall be complete at the time of application for licensure.

(12) Qualifying experience required by KRS 322.040(1)(a)2, 322.040(1)(b)2, and 322.040(2)(b) shall be gained following graduation from the engineering program required by the provisions of KRS 322.040(1)(a)1, 322.040(1)(b)1, and 322.040(2)(a) except that up to three (3) months of experience shall be accepted asqualifying experience earned while on active duty in the Armed Forces of the United States prior to graduating from the engineering program required by the provisions of KRS 322.040(1)(a)1, 322.040(1)(b), and 322.040(2)(a) if the experience meets the definition for "engineering," as defined by KRS 322.010(4).

Section 2. Evaluation of Experience in Land Surveying Required under KRS 322.045 and 322.047. The board, in reviewing an application for licensure as a professional land surveyor pursuant to 201 KAR 18:020, shall consider the following:

(1) Land surveying experience shall reflect increasing complexity of the land surveying tasks and the progressive responsibility of the applicant.

(2) Experience shall include projects in which the applicant, while under the direct supervision of a practicing professional land surveyor, implemented work involving property conveyance and property boundary determination. The applicant shall also demonstrate experience in the fieldwork aspects of property boundary determination.

(3) Construction surveying experience shall be limited to a maximum of one (1) year of qualifying experience.

(4) Completion of a master's degree in land surveying from a board-approved program in land surveying from a college or university shall be accepted as one (1) year of qualifying experience.

(5) Land surveying experience gained prior to completion of the education requirements under KRS 322.045(1)(c)1, 2, 3, and 322.047(1)(a)1 and 2 shall be limited to a maximum of two (2) years of qualifying experience.

(6) Experience gained in violation of KRS Chapter 322 shall not be accepted as qualifying experience.

(7) Militaryexperience gained while on active duty in the Armed Forces of the United States shall be accepted as qualifying experience if it meets the definition for "land surveying," as defined by KRS 322.010(10).

(8) Teaching land surveying courses at the postsecondary level shall be accepted as qualifying experience and shall be limited to a maximum of two (2) years of qualifying experience.

(9) Qualifying experience shall be complete at the time of application.

(10) A minimum of two (2) years of qualifying work experience shall be completed by the applicant after graduation from a program of four (4) years or more from a college or university and completion of the twenty-four (24) semester credit hour core curriculum. Claimed work experience considered qualifying pursuant to subsections (4) and (8) of this section shall not be considered qualifying work experience for the purposes of meeting this two (2) year post-graduation work experience requirement.

Section 3. Evaluation of Overlapping Experience in Engineering Required under KRS 322.040 and in Land Surveying Required under KRS 322.045 and 322.047. Overlapping experience in engineering and land surveying claimed on an application for licensure as a professional engineer or professional land surveyor pursuant to 201 KAR 18:020 shall be accepted as qualifying work experience toward both engineering and land surveying experience requirements and shall be limited to a maximum of one (1) year of qualifying experience.

History

RELATES TO: KRS 322.040, 322.045, 322.047
STATUTORY AUTHORITY: KRS 322.040(4), 322.045(3), 322.047(2), 322.290(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8. The Board of Licensure for Professional Engineers and Land Surveyors is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.040(4), 322.045(3), and 322.047(2) require the board to promulgate administrative regulations establishing requirements for experience as required by KRS 322.040(1)(a)2, 322.040(1)(b)2, 322.040(2)(b), 322.045(1)(c)1, 2, and 3, and 322.047(1)(a)1, 2 and 3. This administrative regulation establishes these requirements.
History: 31 Ky.R. 1920; Am. 32 Ky.R. 52; eff. 8-5-2005; 34 Ky.R. 1099; 1705; eff. 2-1-2008; 35 Ky.R. 988; 1436; eff. 1-5-2009; 39 Ky.R. 2382; eff. 9-6-2013; Crt eff. 2-14-2020; 52 Ky.R. 459, 1689; eff. 6-30-2026.

201 KAR 18:092 Surveying Core Curriculum {#sec-201-kar-18-092 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:092}

Section 1. The core curriculum in land surveying and related areas referred to in KRS 322.045(1)(c)2 shall consist of twenty-four (24) semester credit hours from a board-approved college or university as follows:

(1) A minimum of twelve (12) semester credit hours in at least three (3) of the following subject areas:

(a) Principles of Surveying;

(b) Professional Ethics and Conduct;

(d) Geographic Information Systems;

(e) Route Surveying;

(f) Land Boundary Location; or

(g) Boundary Law.

(2) The remainder of the twenty-four (24) semester credit hours shall come from the following subject areas:

(a) Automated Surveying and Mapping;

(b) Geodetic Surveying;

(d) Photogrammetry;

(e) Subdivision and Land Use Planning;

(f) Advanced Surveying Measurement;

(g) Construction Surveying;

(h) Public Land Systems;

(i) Remote Sensing Applications; or

(j) Mine Surveying.

Section 2. The twelve (12) semester credit hours of the core curriculum in land surveying referred to in KRS 322.045(1)(c)3 shall consist of the twelve (12) hours described in subsection (1) above.

History

RELATES TO: KRS 322.010, 322.045, 322.120, 322.290(4)
STATUTORY AUTHORITY: KRS 322.045, 322.290(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.045(3) provides that the board shall promulgate administrative regulations to establish requirements for the surveying core curriculum as described in KRS 322.045(1)(c)2. This administrative regulation establishes these requirements.
History: 31 Ky.R. 1921; Am. 32 Ky.R. 53; eff. 8-5-05; Crt eff. 2-14-2020.

201 KAR 18:096 Fire Protection Engineering Technology Program Core Curriculum {#sec-201-kar-18-096 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:096}

Section 1. The forty-five (45) semester credit hours of engineering topics considered by the board for an individual applying for licensure that graduated from a fire protection engineering technology program referred to in KRS 322.040(1)(a)1.b. shall consist of forty-five (45) credit hours from a fire protection engineering technology program of four (4) years or more accredited by the Engineering Technology Accreditation Commission of the Accreditation Board for Engineering and Technology in the following subject areas:

(1) Computer Aided Drafting;

(2) Advanced Computational Fluid Dynamics;

(3) Advanced Extinguishing Systems Design and Analysis;

(4) Advanced Life Safety Analysis;

(5) Detection, Alarm & Smoke Control;

(6) Dynamics;

(7) Egress and Life Safety Analysis;

(8) Explosion Prevention & Protection;

(9) Fire Chemistry;

(10) Fire Dynamics;

(11) Fire Hazard and Risk Analysis;

(12) Fire Investigation;

(13) Fire Modeling;

(14) Fire Protection Related Codes & Standards;

(15) Fire Risk Management;

(16) Fire Service Operations;

(17) Fire Testing;

(18) Fluid Mechanics;

(19) Heat Transfer;

(20) Industrial Fire Protection;

(21) Mechanics of Materials;

(22) Performance Based Design;

(23) Special Hazards - Non-water Based Suppression;

(24) Statics;

(25) Storage and Transportation of Hazardous Materials;

(26) Structural Fire Protection;

(27) Thermodynamics;

(28) Water Based Suppression; or

(29) Wildland Fires.

History

RELATES TO: KRS 322.010, 322.040, 322.120, 322.290(4)
STATUTORY AUTHORITY: KRS 322.040(5), 322.290(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8. The Board of Licensure for Professional Engineers and Land Surveyors is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.040(5) requires the board to promulgate administrative regulations to establish requirements for consideration of engineering topics, including engineering science or engineering design courses, as described in KRS 322.040(1)(a)1.b. This administrative regulation establishes the courses the board will consider engineering topics for an individual applying for licensure that graduated from a fire protection engineering technology program pursuant to KRS 322.040(1)(a)1.b.
History: 201 KAR 018:096. 52 Ky.R. 515; eff. 3-3-2026.

201 KAR 18:104 Seals and signatures {#sec-201-kar-18-104 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:104}

Section 1. Definitions.

(1) "Digital signature" means a signature generated electronically:

(a) With an authentication process attached to or logically associated with an electronic document; and

(b) That carries the same weight, authority, and effect as an original signature.

(2) "Document" means a report, specification, drawing, plan, or plat in physical form pertaining to engineering or land surveying that requires certification by application of a seal or stamp, a signature, and a date.

(3) "Electronic document" means an electronic data file capable of being viewed by use of a computer and video monitor or converted into a document by use of a computer and printer or plotter.

(4) "Electronic transmission" means the transmission of electronic data files from one (1) computer to another, and includes the manual delivery of electronic data storage media from one (1) person or entity to another.

(5) "Licensee" means a person licensed as a professional engineer or professional land surveyor pursuant to KRS Chapter 322.

(6) "Original seal or stamp" means a rubber stamp or embossing seal meeting the design requirements established in Section 5 of this administrative regulation.

(7) "Original signature" means the handwritten name of a person applied to a document that identifies the person, serves as a means of authentication of the contents of the document, provides responsibility for the creation of the document and provides for accountability for the contents of the documents.

(8) "Signature" means either original signature or digital signature.

Section 2.

(1) If a document will be presented to a client or to a public or governmental entity, at least one (1) copy shall bear the licensee's original seal or stamp, original signature, and date.

(2) Any other copy of the document may contain a facsimile of the licensee's stamp, signature, and date applied manually by the use of stamps or by the use of a computer and printer or plotter.

Section 3. A digital signature shall be permitted in place of an original seal, signature, and date if:

(1) The digital signature is a unique identification of the licensee;

(2) The digital signature is verifiable;

(3) The digital signature is under the licensee's direct and exclusive control;

(4) The digital signature is linked to the electronic document in a manner that causes changes to be easily determined and visually displayed if any data in the electronic document file is changed subsequent to the digital signature having been affixed to the electronic document;

(5) An attempt to change the electronic document after the digital signature is affixed shall cause the digital signature to be removed or altered significantly enough to invalidate the digital signature; and

(6) In the case of an electronic document to be electronically transmitted, the electronic document is converted to a read-only format.

Section 4.

(1) A licensee may electronically transmit an electronic document without affixing a digital signature if there is inserted the following language in lieu of an image of a seal or stamp, signature, and date: "This shall not be considered a certified document."

(2) This language shall not be required for a document electronically transmitted to a commercial printer or blueprint service for the purpose of reproducing documents or to the licensee's employer or employees.

Section 5. Approved Stamps and Seals. The stamps and seals used by a licensee shall be similar in design and conform to the size restrictions established in Approved Stamps and Seals,1999.

Section 6. Incorporation by Reference.

(1) "Approved Stamps and Seals", 1999, 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 Professional Engineers and Land Surveyors, 160 Democrat Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 322.290(13), 322.340
STATUTORY AUTHORITY: KRS 322.290(4), (13), 322.340
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.340 and 322.290(13) require the board to promulgate administrative regulations regulating the design of seals and the use of seals and signatures in electronic transactions. This administrative regulation establishes the requirements for the use of seals and signatures in electronic transactions.
History: 29 Ky.R. 2999; Am. 30 Ky.R. 277; eff. 8-13-2003; 42 Ky.R. 831; 1478; eff. 12-4-2015; Crt eff. 2-14-2020.

201 KAR 18:115 License reinstatement for professional engineers and land surveyors {#sec-201-kar-18-115 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:115}

Section 1. General Requirements.

(1) A person whose license has been in retired status, inactive status, or expired for more than one (1) year, or a person whose license has been revoked or surrendered in association with a disciplinary investigation or proceeding shall apply for reinstatement with the board by submitting evidence of successful completion of one (1) or more of the following:

(a) Retaking and passing the licensure examination;

(b) College courses related to engineering or surveying;

(d) Work experience under another licensee; or

(e) Licensed practice in another jurisdiction.

(2) The application for reinstatement shall be on the appropriate application form incorporated by reference in 201 KAR 18:020, and shall include:

(a) An affidavit indicating whether or not the applicant has practiced engineering or land surveying in the Commonwealth of Kentucky since the expiration, inactivation, retirement, revocation, or surrender of the applicant's license; and

(b) Evidence that the applicant is qualified to continue to practice pursuant to subsection (1) of this section.

(3) The applicant shall meet the requirements of KRS 322.050.

(4) In determining the applicant's fitness for reinstatement, the board shall consider the number of times the applicant has allowed his or her license to expire, as well as the length of time in the aggregate that the applicant has been unlicensed following the applicant's initial licensure.

(5) A professional land surveyor applicant shall meet the continuing professional development requirements of 201 KAR 18:192, Section 6.

(6) A professional engineer applicant shall meet the continuing professional development requirements of 201 KAR 18:196, Section 6.

(7) An applicant for reinstatement shall fully cooperate by providing the board any relevant information or documentation within his or her knowledge, possession, custody, or control.

(8) In an application for reinstatement, including any appearance before the board, and in any statement made to the board or to any representative of the board, an applicant shall not:

(a) Knowingly make a false statement of material fact;

(b) Fail to disclose a fact necessary to correct a misapprehension known by the applicant to have arisen in the matter; or

Section 2. Expiration of License.

(1) If the applicant's license has been in retired status, inactive status, or expired for three (3) years or less, or if the applicant has a valid license in another jurisdiction, the executive director shall approve or disapprove the application based upon the requirements of KRS 322.040, 322.045, 322.050, and 322.120.

(2) If the applicant's license has been in retired status, inactive status, or expired for more than three (3) years and the applicant does not possess a valid license in another jurisdiction, the application for reinstatement shall be considered by the board.

Section 3. Revocation of License.

(1) Pursuant to KRS 322.220, a person whose license has been revoked may petition the board for reinstatement of that license.

(2) An applicant whose surrender of license was associated with a disciplinary investigation or proceeding shall be considered under this section.

(3) The applicant shall comply with the requirements of Section 1 of this administrative regulation. In addition, the applicant shall provide evidence that the applicant:

(a) Has complied with all previous terms of any consent decrees or orders of the board, or with any previous orders of suspension or revocation; and

(b) Is no longer a risk to the public health, safety, or welfare.

(4) An applicant for reinstatement under this section shall:

(a) Be held to a substantially more rigorous standard than a first-time applicant for initial licensure as a professional engineer or land surveyor; and

(b) Have the burden of proving by a preponderance of evidence that the applicant possesses the professional and ethical qualifications, and good character and reputation, as required by KRS 322.040 through 322.050 and 201 KAR 18:142, for reinstatement of a license to practice engineering or land surveying, as appropriate.

(5) To evaluate an applicant's petition for reinstatement, the board shall consider:

(a) The applicant's compliance with all previous terms of any consent decrees or orders of the board, or with any previous orders of suspension or revocation;

(b) The applicant's conduct while under a prior suspension, or while unlicensed, that shows that the applicant is worthy of the trust and confidence of the public;

(c) The sufficiency of the applicant's present professional capabilities to serve the public as a licensed engineer or land surveyor, including:

The length of time elapsed since the applicant's license was revoked or surrendered; and
The type, duration, and extent of educational courses and employment that the applicant has undertaken during the period the applicant was unlicensed;

(d) The understanding and appreciation by the applicant of the wrongfulness of any prior misconduct;

(e) The nature and degree, as well as the success of, any efforts made by the applicant to rehabilitate himself or herself from past professional or ethical failings;

(f) The applicant's previous and present conduct and attitude toward compliance with the requirements of the regulatory scheme governing the practice of engineering or land surveying, as appropriate;

(g) The applicant's candor in dealing with the board;

(h) Any act or omission by the applicant occurring while unlicensed, that would have violated any requirement of KRS Chapter 322 or 201 KAR Chapter 18, as appropriate, if it had occurred while the applicant was licensed; and

(i) Any other information relevant to determining whether or not the applicant has satisfied the requirements of KRS 322.220.

(6) Failure to meet any of the criteria to be considered in the evaluation of applicant's petition shall be grounds for denial of an applicant's petition.

Section 4. Reconsideration.

(1) If an application for reinstatement is disapproved, the applicant shall be given opportunity to secure reconsideration.

(2) If an application for reinstatement is disapproved by the executive director pursuant to Section 2(1) of this administrative regulation, the applicant may request reconsideration by the board. To request reconsideration, an applicant shall file a written request for reconsideration with the board within thirty (30) calendar days after the date upon which the applicant is sent notice that the application for reinstatement was disapproved by the board's executive director.

(3) If an application for reinstatement is denied by the board pursuant to Section 2(2) of this administrative regulation, Section 3 of this administrative regulation, or subsection (2) of this section, the applicant may request a hearing.

(a) To request a hearing, the applicant shall file a request for an administrative hearing with the board within thirty (30) calendar days after the date upon which the application for reinstatement was denied.

(b) The request for an administrative hearing shall:

Be signed and dated by the applicant; and
In numerical paragraphs, identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

History

RELATES TO: KRS 322.040-322.050, 322.120, 322.160, 322.180, 322.220
STATUTORY AUTHORITY: KRS 322.160(3)(a), 322.220, 322.290(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(4) requires the board to promulgate administrative regulations necessary for the proper performance of its duties. KRS 322.160(3)(a) requires a licensee or permit holder who fails to renew within one (1) year after expiration to submit to the board satisfactory evidence of qualification of continued practice. This administrative regulation establishes the requirements for license reinstatement for professional engineers and land surveyors.
History: 33 Ky.R. 1748; 2272; eff. 3-9-2007; 35 Ky.R. 2335; 2765; eff. 7-31-2009; TAm eff. 4-4-2011; Crt eff. 2-14-2020; 51 Ky.R. 530, 1089; eff. 3-4-2025.

201 KAR 18:120 Reissuance of license {#sec-201-kar-18-120 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:120}

Section 1. Reissuance of License. The fee charged for the reissuance of a license or permit shall be as set out in 201 KAR 18:040. A replacement license or permit shall:

(1) Bear the signatures of the current chairman; and

(2) Secretary-treasurer of the board and shall be identified as a replacement certificate.

History

RELATES TO: KRS 322.170
STATUTORY AUTHORITY: KRS 322.290(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.170 authorizes the board to reissue licenses and permits. This administrative regulation establishes the procedure for reissuance of licenses and permits.
History: PE&LS-XII; 1 Ky.R. 1020; eff. 6-11-75; Am. 25 Ky.R. 2932; Am. 26 Ky.R. 720; 10-15-99; 28 Ky.R. 674; eff. 11-9-2001; Crt eff. 2-14-2020.

201 KAR 18:142 Code of professional practice and conduct {#sec-201-kar-18-142 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:142}

Section 1. Definitions.

(1) "Conflict of interest" means any circumstance in which a licensee has a private or personal interest sufficient to appear to influence or possibly influence the objective exercise of the licensee's professional duty to the public, his or her employer, or current client. The private or personal interests of the licensee include the personal or business interests of the members of the licensee's family, his or her close relatives, or business associates.

(2) "Direct supervisory control" in the practice of engineering means that an engineer licensee directly supervises and takes responsibility for consultation, investigation, evaluation, planning, design, and certification of an engineering project and includes only that work performed by an employee as defined in subsection (4) of this section.

(3) "Direct supervisory control" in the practice of land surveying means that a surveyor licensee who certifies a work product directly supervises and takes responsibility for the survey and includes only that work performed by an employee as defined in subsection (4) of this section.

(4) "Employee":

(a) Means a person who works for a licensee or his or her employer for wages or a salary and includes professional and technical support personnel contracted on a temporary or occasional basis, if the compensation is paid directly by the licensee or his or her employer; and

(b) Does not mean a person who provides services to the licensee as an outside consultant or specialist.

(5) "Licensee" means any natural person licensed by the board to practice professional engineering or professional land surveying, or any business entity permitted under KRS 322.060.

(6) "Work product" means any engineering or land surveying plan, plat, document, or other deliverable requiring certification that is intended to represent activities conducted in the practice of engineering or land surveying.

Section 2. The engineer or land surveyor shall conduct his or her practice in order to protect the public health, safety, and welfare. If a licensee's judgment is overruled and a licensee has reason to believe the public health, safety, or welfare may be endangered, the licensee shall inform his or her employer or client of the possible consequences and, if not resolved, notify appropriate authorities.

Section 3. A licensee shall issue all professional communications and work products in an objective and truthful manner.

(1) A licensee shall be objective and truthful in all professional reports, statements, or testimony and shall include all material facts.

(2)

(a) If serving as an expert or technical witness before any tribunal, a licensee shall:

Express an opinion only if it is founded on adequate knowledge of the facts in issue, on the basis of technical competence in the subject matter, and upon honest conviction of the accuracy and propriety of that testimony; and
Act with objectivity and impartiality.

(b) A licensee shall not ignore or suppress a material fact.

(3) A licensee shall not issue a statement or opinion on professional matters connected with public policy unless the licensee has:

(a) Identified himself or herself;

(b) Disclosed the identity of the party on whose behalf the licensee is speaking; and

(4) A licensee shall not maliciously injure the professional reputation, prospect, practice, or employment of another licensee.

(5) A licensee shall not accept a contingency fee for serving as an expert witness before any tribunal.

(6) A licensee shall maintain for a period of not less than five (5) years, calculations and documents necessary to support work products.

(7) A professional land surveyor shall maintain records for boundary surveys under 201 KAR 18:150, Section 10(2) and (3).

(8) The requirements of subsections (6) and (7) of this section shall be satisfied for the individual licensee employed by a business entity permitted by the board in conformance with KRS 322.060 by that permitted entity's compliance with subsections (6) and (7) of this section.

(9) A licensee shall not solicit or submit proposals for professional services containing a false, fraudulent, misleading, deceptive, or unfair statement regarding the cost, quality, or extent of services to be performed.

(10) A licensee shall not misrepresent his or her professional qualifications or experience, or those of the licensee's associates.

Section 4. A licensee shall avoid conflicts of interest. A professional engineer or land surveyor shall act objectively and independently.

(1) If a situation occurs in which a reasonable person would think that a licensee's professional judgment is likely to be compromised, a licensee shall promptly disclose the possibility of the conflict of interest to his or her employer, or client, and shall, if reasonably possible, withdraw from participation in the situation that gave rise to the conflict of interest.

(2) A licensee shall not accept a valuable consideration from more than one (1) party for services pertaining to the same project, unless the circumstances are fully disclosed to all other principal parties directly involved in the project.

(3) A licensee shall not solicit or accept a valuable consideration from any vendor, contractor, or client, or their agents for acceptance, rejection, approval, or disapproval of any work performed by others, or for specifying materials or equipment in connection with work for which the licensee is responsible.

(4) A licensee serving as a member, advisor, or employee of a governmental body shall not, while utilizing either his or her status as a licensed professional engineer or land surveyor, or his or her skill, experience, or knowledge as a licensed professional engineer or land surveyor, participate in decisions in which he or she has a private or personal interest, and shall not review or approve work that was performed by the licensee, or by others, on behalf of a business entity in which the licensee has any control, or private or personal interest.

Section 5. A licensee shall solicit or accept engineering or land surveying work only on the basis of his or her, or the licensee's firm's or associates' qualifications for the work offered.

(1) A licensee shall not offer or accept any valuable consideration in order to secure specific work, exclusive of commissions paid by individual licensees for securing salaried positions through employment agencies. A licensee may participate in design-build projects.

(2) A licensee may advertise professional services if the advertising is not false or misleading.

Section 6. A licensee shall not knowingly associate with any person engaging in fraudulent, illegal, or dishonest activities.

(1) A licensee shall not permit the use of his or her, or the licensee's business entity's name by any person or business entity that he or she knows or has reason to believe is engaging in fraudulent, dishonest, or illegal activities.

(2) A licensee shall not aid or abet the illegal practice of engineering or land surveying.

Section 7. A licensee shall perform his or her services only in the areas of his or her competence.

(1) A licensee shall undertake to perform professional assignments only if qualified by education or experience in the specific technical field involved.

(2) A licensee may accept an assignment requiring education or experience outside his or her own field of competence, but only to the extent that his or her services are restricted to those parts of the project in which the licensee is competent. All other parts of the project shall be certified by licensed associates, consultants, or employees.

(3) If a question of the competence of a licensee to perform a professional assignment in a specific technical field is an issue and cannot be otherwise resolved, the board, upon a majority vote or upon request by the licensee, may require the licensee to satisfactorily complete a relevant examination.

Section 8. Except as provided by this section, a licensee shall not certify any work product dealing with subject matter in which he or she lacks competence by virtue of education or experience, or any work product not prepared by him or her under his or her direct supervisory control.

(1) A professional engineer may review and certify the work product of another professional engineer if:

(a) The review and certification are made at the request of the other professional engineer;

(b) He or she does not remove or obliterate the identity of the other professional engineer;

(c) He or she performs and retains in his or her possession for not less than five (5) years all calculations and documents necessary to perform an adequate review; and

(d) He or she confirms that the other professional engineer was licensed when the work was created.

(2) If a professional engineer undertakes to review only a portion of the work product of another professional engineer, his or her certification shall clearly identify the portion reviewed.

(3) A professional engineer may modify the work product of another professional engineer, whether or not the project has been built, if he or she retains in his or her possession for not less than five (5) years a record of his or her modifications.

(4) If a professional engineer modifies the work product of another professional engineer, his or her certification shall clearly identify, by words or graphics, that portion that was modified.

(5) A professional engineer may incorporate in his or her work product the designs of manufactured or standard components developed by manufacturers, suppliers or professional or technical societies, and associations.

(6) If, in the professional land surveyor's reasonable judgment, his or her personal participation is not required in performing a particular aspect of a project, he or she may delegate those tasks to an employee, if all work is actually reviewed by the licensee.

(7) The need for a professional land surveyor to make a site visit shall be dictated by the nature, size and complexity of a project. The failure to make a site visit in a substantial percentage of surveys shall be construed as a failure to exercise direct supervisory control.

(8) While an employee may investigate the circumstances of a potential project, only a licensee may establish the scope of work to be performed.

Section 9. The professional engineer or professional land surveyor shall avoid conduct likely to discredit or reflect unfavorably upon the dignity or honor of his or her profession.

Section 10.

(1) If a licensee has knowledge or reason to believe that any person or other licensee is in violation of KRS Chapter 322 or 201 KAR Chapter 18, the licensee shall submit to the board in writing the relevant information within his or her knowledge.

(2) A licensee, upon request by the board, shall cooperate with the board in an investigation, by providing any relevant information within his or her knowledge.

Section 11.

(1) A licensee shall not, directly or indirectly, contact a board member concerning any ongoing disciplinary action, or any existing investigation being conducted by the board staff.

(2) Any communication by a licensee concerning an ongoing disciplinary action or an existing investigation shall be directed to a board staff member.

Section 12. A licensee who is in doubt about the ethical propriety of any professional act or omission contemplated by that licensee may request an informal opinion from the executive director of the board.

(1) The request shall be in writing or by email with the subject line of "Request for Advisory Opinion Pursuant to 201 KAR 18:142." The request shall include the name and address of the licensee making the request, a phone number and email address at which the licensee can be contacted, and all relevant information.

(2) Based on the information provided in the request, the executive director shall respond in writing as to the ethical propriety of the act or course of conduct in question.

(3) A licensee shall not be disciplined for any professional act performed by that licensee in compliance with the written advisory opinion furnished by the executive director pursuant to the licensee's written request, if the licensee's written request clearly, fairly, accurately, and completely states the licensee's contemplated professional act and all relevant information.

History

RELATES TO: KRS 322.060, 322.180(3), 322.290(11)
STATUTORY AUTHORITY: KRS 322.290(11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(11) requires the board to promulgate a code of professional practice and conduct, which shall be binding upon persons licensed under KRS Chapter 322. This administrative regulation establishes a code of professional practice and conduct.
History: 27 Ky.R. 2603; Am. 3122; 3239; eff. 6-8-2001; 35 Ky.R. 2337; 2768; 36 Ky.R. 25; eff. 7-31-2009; TAm eff. 4-4-2011; 39 Ky.R. 2383; 40 Ky.R. 278; eff. 9-6-2013; 42 Ky.R. 831; 1478; eff. 12-4-2015; Crt eff. 2-14-2020.

201 KAR 18:150 Standards of practice {#sec-201-kar-18-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:150}

Section 1. Definitions.

(1) "Boundary" means the perimeter of a parcel or tract of land.

(2) "Boundary survey" means a survey to:

(a) Determine either the entire perimeter of a parcel or tract of land, or a portion of the perimeter of a parcel or tract of land;

(b) Establish or reestablish a parcel or tract of land's corner or monument; or

(3) "Completion Date of Survey" means the last date when all the monuments were either found or set for the plat of survey area.

(4) "Corner" means a point that designates a change in the direction of the boundary.

(5) "Field work" means that work performed by a land surveyor on the ground in connection with the parcel or tract being surveyed.

(6) "GIS" means Geographic Information System and is any system that captures, stores, analyzes, manages, and presents data that are linked to a land location and is the merging of cartography and database technology.

(7) "GNSS" means Global Navigation Satellite Systems. The standard generic term for satellite navigation systems that provide autonomous geo-spatial positioning with global coverage.

(8) "GPS" means the United States NAVSTAR Global Positioning System, a space-based global navigation satellite system that when used in conjunction with suitable GPS receivers and processing software, provides reliable location information to the level of precision specified in this administrative regulation, in all weather and at all times and anywhere on the earth where there is an unobstructed line of sight to four (4) or more GPS satellites.

(9) "Meander point" means a survey point or station marking a change in direction along a linear feature such as a watercourse, ridge, road, or cliff.

(10) "Monument" means an artificial, manmade or natural object that is used as, or presumed to occupy, any of the following locations:

(a) A property corner;

(b) A point on the boundary; or

(11) "Plat" means any representational drawing created by a land surveyor reflecting work falling within the definition of land surveying.

(12) "Plat of survey" means a finished drawing of a completed survey of a parcel or tract of land, used to depict the final results of a boundary survey, drawn on a dimensionally stable media suitable for reproduction of copies.

(13) "Point on Line" means a point on a boundary line other than a corner.

(14) "Reference monument" means a monument:

(a) That does not occupy the same defined position as a property corner; and

(b) Whose relationship to the corner of the property is established by bearing and distance to the actual corner.

(15) "Relative Positional Accuracy" means the value expressed in feet that represents the uncertainty due to random errors in measurements in the location of any point on a survey relative to any other point on the same survey at the 95 percent confidence level.

(16) "Retracement survey" means a boundary survey of an existing parcel or tract of land.

Section 2. Application.

(1) Boundary surveys. The standards of practice established in Sections 1 through 12 of this administrative regulation:

(a) Shall apply to the work product related to:

Boundary surveys used for the purpose of creating, depicting, or locating interests in land;
Partial surveys;
Boundary surveys of leases; and
Deed descriptions written by professional surveyors;

(b) Shall be the minimum standards of practice for a professional land surveyor; and

An agency;
An owner;
A contract; or
The professional land surveyor.

(d) Shall not apply to surveys to determine or define political areas including historical, school, fire, voting, utility or magisterial districts, municipal or county limits, or governmental permit limits.

(2) Land surveying work other than boundary surveys. The standards of practice established in Sections 1, 2, 3, and 13 of this administrative regulation:

(a) Shall apply to the work of the professional land surveyor falling within the definition of land surveying, but not falling within the definition of a boundary survey;

(b) Shall be the minimum standards of practice for a professional land surveyor for that work; and

An agency;
An owner;
A contract; or
The professional land surveyor.

Section 3. Compliance.

(1) Failure to comply with this administrative regulation shall constitute misconduct, gross negligence, incompetence, or a combination of these violations in the practice of professional land surveying.

(2) A professional land surveyor shall not represent that:

(a) A boundary survey determines land ownership; or

(b) A boundary survey provides more than evidence of rights in land; or

Section 4. Actual Boundary Survey.

(1) The marks and monuments on the ground as found and verified, or as set by a professional land surveyor shall constitute the actual boundary survey.

(2) Any plat of survey shall accurately represent the actual boundary survey.

(3) Record research and field work required by the provisions of this administrative regulation:

(a) Shall be used by a professional land surveyor to determine the location of the boundary of the property to be surveyed; and

(b) Shall not be used by a professional land surveyor to determine title.

Section 5. Record Research. In performing a boundary survey, a professional land surveyor shall conduct research to obtain and evaluate the following:

(1) The present and relevant historical record descriptions of:

(a) Each parcel to be surveyed; and

(b) Each adjoining parcel;

(2) The description of the physical monument that represents each property corner;

(3) All other relevant documents of record including deeds and prior plats and surveys;

(4) All other relevant public agency records including tax maps, GIS maps, and topographic maps; and

(5) Any other available data or documents pertinent to the boundary survey.

Section 6. Field Work. A professional land surveyor shall thoroughly:

(1) Search for the physical monuments that represent each boundary corner;

(2) Search for other physical monuments set out in the description of the parcel or tract of land being surveyed;

(3) Gather, analyze, and document evidence of occupation and physical evidence;

(4) Gather, analyze, and document relevant parol evidence; and

(5) Compare evidence discovered by field work, with that discovered by record research, to determine or reestablish the boundary of the tract or parcel of land being surveyed.

Section 7. Measurement Specifications.

(1) Every measurement made as a part of a boundary survey shall comply with the following:

(a) The standards for accuracy and precision established by the provisions of this section; or

(b) Standards for accuracy and precision that exceed the standards established by the provisions of this section but are:

Requested by the client;
Required by contract;
Required by the agency or entity to which the plat of survey is to be presented; or
Deemed desirable or necessary by the land surveyor.

(2) A professional land surveyor shall conduct measurements with instruments and equipment that are properly:

(a) Adjusted;

(b) Maintained; and

(c) Calibrated to meet the appropriate tolerance required for the classification of survey as specified in subsection (5) of this section.

(3) A boundary survey shall be conducted utilizing a method of measurement that achieves the appropriate minimum tolerance specified in subsection (5) of this section.

(4) A boundary survey for platting or describing a parcel or tract of land shall be classified as "Urban" or "Rural".

(a) An Urban survey shall:

Consist of urban or suburban land; and
Include a parcel or tract of land lying within, or adjacent to:

a. A city or town limit;

b. A commercial business area;

c. An industrial area; or

d. A residential area that is outside a city or town limit and contains subdivided lots smaller than five (5.0) acres.

(b) A Rural survey shall apply to all land not classified as "Urban".

(5) Table of Specifications by Class: Classification of Surveys.

Section 8. Global Positioning Systems.

(1) It shall be acceptable practice to incorporate the use of survey grade GPS equipment into any boundary survey. The accuracy and precision of all measurements made with that equipment shall, at a minimum, meet all other accuracy and precision standards required otherwise by law or rules under Section 7(5) of this administrative regulation. If using GPS equipment in the course of a boundary survey, the professional land surveyor shall state on the face of the plat of survey, the following:

(a) A note stating what portion (or all) of the boundary survey was performed using GPS equipment;

(b) The type of GPS equipment used, including manufacturer and model number, and whether single or dual frequency receivers were used;

(c) The type of GPS survey that was performed, including static, real time kinematic ("RTK"), network adjusted real time kinematic, etc.;

(d) A note that discloses the precision of the GPS work done, either in relative positional accuracy, or vector closure.

(e) A statement identifying the horizontal datum, the vertical datum, and the Geoid model used; and

(2) The professional land surveyor shall at a minimum retain adequate documentation, in either paper or electronic format, of raw field data, adjustment calculations and closure, or relative positional accuracy calculations or computations necessary to support the accuracy and precision of the work product.

Section 9. Monumentation.

(1) Monumentation standards established in this section shall apply to all boundary surveys:

(2) Unless an adequate monument already exists at each boundary corner, a professional land surveyor shall set a monument or a reference monument at each corner of the boundary as provided in this section.

(3) A monument or reference monument set by a professional land surveyor shall conform to the following categories and shall meet the following criteria:

(a) "Typical and Preferred" an iron rod, iron pipe, or iron pin that is:

Not less than one-half (1/2) inch in diameter and eighteen (18) inches in length;
Equivalent to, or greater than, schedule-forty (40) weight if pipe is utilized; and
Identified with a cap bearing the license number of the professional land surveyor under whose direct supervision the survey was performed, and which cap does not display any other license number.

(b) "Non-typical" to be used only when it is not practical to set the monuments described in subsection (a) of this subsection, and that:

Preferably contains a ferrous material or is otherwise capable of being located with a magnetic locator, and may include P. K. or mag nails at least one 1 1/2 and one-half inches in length; and
Is identified with the license number of the professional land surveyor under whose direct supervision the survey was performed, and does not display any other license number.

(c) "Alternate" to be used only when it is not practical to set the monuments described in subsections (a) and (b) of this subsection and may include railroad spikes, mine spikes, cross-cuts, chisel cuts, drill holes and curb notches, and shall be referenced to a durable, physical feature.

(4) A boundary corner shall be identified by a reference monument if it is impractical to set a monument at the corner for either of the following reasons:

(a) The corner is likely to be disturbed; or

(b) The corner is inaccessible.

(5) A reference monument shall be set on the boundary line, if practicable, to perpetuate the location of each corner.

(6) A professional land surveyor shall set each monument in a manner to avoid or minimize the likelihood of its destruction.

(7) A professional land surveyor may use a tree as a monument under the following conditions:

(a) A tree may be established as a corner monument only on a Rural boundary survey. Each tree utilized as a monument shall be marked in a conspicuous manner that is both physical and permanent and will not otherwise be harmful to the tree.

(b) A tree that a professional land surveyor establishes as a corner monument shall meet the following criteria:

Be at least ten (10) inches in diameter at breast height;
Be in sound condition;
Be marked in a conspicuous manner that is both physical and permanent; and
Be clearly described by size, species, and method of marking, on the plat and in the written description.

(d) For an urban retracement survey in which a tree is found to be the monument of record, the tree shall be reference-monumented.

(8) A corner monument that a professional land surveyor has determined is not of sound condition, fails to meet the standards established in this administrative regulation, or is inadequate under the definition of monument within this administrative regulation, shall be reference-monumented to perpetuate the corner location. All existing record monuments discovered during the performance of the survey shall be preserved and shall not be altered or destroyed.

(9)

(a) Linear monuments may consist of a watercourse, ridge, road, or cliff, and:

(b)

The point at which a boundary line intersects a linear monument shall be monumented or reference monumented; and
A physical feature that represents a linear monument shall be monumented or reference monumented at a minimum of every 1,000 feet, and those monuments shall be set in intra-visible pairs not to exceed 1,000 feet in spacing between pairs.

(10) All monumentation shall be set prior to the time the plat of survey, or record plat is issued by the surveyor. The signing and sealing of a survey plat is certification by the professional land surveyor that all corners shown on the plat are set on the ground.

Section 10. Documentation of Boundary Surveys.

(1) A plat of survey shall be required to be given to the client when the professional land surveyor does any of the following:

(a) Surveys a new boundary line;

(b) Retraces the boundary lines of a previously established boundary; or

(c) Determines that the current physical description or plat does not accurately depict the actual conditions found during the course of performing the survey.

(2) A professional land surveyor shall retain as permanent records the original plat of survey prepared by the land surveyor, or a copy thereof, and a copy of any new physical description that was prepared from the survey.

(3) A professional land surveyor shall retain as permanent records the following items used to perform a boundary survey:

(a) Research documents including notations stating the source of each;

(b) Field and office notes;

(d) Documents of calculation stating the:

Relative positional accuracy or closure as required by Section 7 of this administrative regulation;
Adjustment method;
Bearing reference datum; and
Determination of corners;

(e) Plat of survey and written description, if any, of the surveyed parcel or tract of land;

(f) All other pertinent information necessary to reproduce the boundary survey; and

(g) All other pertinent information supporting the location of the boundary lines and corners of the boundary survey.

(4) Written description. A written description prepared by a professional land surveyor shall be complete, shall accurately describe the actual boundary survey and, contain the following information:

(a) The general location of the land that was surveyed;

(b) The specific location of the land in reference to a major physical feature or recognized control network;

(d) The direction and length of each line, as follows:

Each bearing represented in degrees, minutes and seconds with each distance represented to the hundredths of a foot;
Any geometrically-curved line identified with a beginning point, terminus point, and sufficient curve data to define the curve; and
A description of each prominent terrain feature, if any, that the boundary follows;

(e) A notation as to whether each monument was found or set;

(f) The identification of each tree utilized as a new corner monument, including breast height diameter, species of tree, method of marking, and a notation whether the tree is a record monument or a newly established monument;

(g) A complete description of each "set" monument, to include, if appropriate, the monument's length, diameter, type of material and the identifying cap or other identifier that was used;

(h) A complete description of each "found" monument that complies with the following:

It is sufficiently accurate and adequate for subsequent identification by another professional land surveyor; and
To the extent possible, the description shall include the monument's dimensions, type of material and the identification cap or other identifier that was used;

(i) A description of the location of any cemetery or grave site that is observable or evident during the performance of the field work, or discovered from the required research;

(j) The record source of the land surveyed and the names and record sources of all adjoining property owners;

(k) The calculated area of the land surveyed stated to the nearest hundredth of an acre;

(l) Name, certification date of the written description, license number and seal of the professional land surveyor under whose direct supervision the survey was performed, and name of the land surveying firm, if any; and

(m) Completion date of the boundary survey.

(5) Plat of survey. A plat of survey shall be drawn to scale on durable, dimensionally-stable media, and clearly contain the following information:

(a) Direction and length of each line as follows:

Each bearing represented in degrees, minutes, and seconds with each distance represented to the hundredths of a foot;
Any geometrically-curved line identified with a beginning point, terminus point, and sufficient curve data to define the curve; and
A depiction of each prominent terrain feature, if any, that the boundary follows:

(b) The calculated area of the land surveyed, stated to the nearest hundredths of an acre;

(d) A complete description of each set monument that marks or references a boundary corner to include, if appropriate, the monument's length, diameter, type of material and the identifying cap or identifier that was used;

(e) A complete description of each found monument that complies with the following:

It is sufficiently accurate and adequate for subsequent identification by another professional land surveyor; and
To the extent possible, the description shall include the monument's dimensions, type of material and the identifying cap or identifier, or lack thereof;

(f) Reference of at least one (1) corner to at least one (1) of the following:

A corner of the parent tract;
A durable and recognizable physical object; or
A properly identified primary control network;

(g) The name of each road, along with any record source thereof;

(h) The name and record sources of each adjoiner;

(i) The name and record sources of each adjoining subdivision;

(j) Any apparent encroachment discovered in the course of the survey;

(k) The reference meridian and whether its basis is:

True;
Grid;
Record, including the source of the record meridian;
State plane; or
Magnetic, including the date and location of the observation;

(l) A vicinity map of sufficient detail to locate the parcel or tract of land being surveyed, unless the location of the parcel or tract of land is clearly shown by the plat itself;

(m) A statement, as appropriate, of:

The unadjusted error of closure for the traverse; and
The relative positional accuracy for a GPS based survey;

(n) A statement identifying the classification of the survey as rural or urban;

(o) A statement as to whether the directions and distances shown on the plat are based on an adjusted traverse;

(p) The location of a cemetery or grave site that is observable or evident during the performance of the field work or discovered from the required research;

(q) A dated signature and the seal of the professional land surveyor under whose direct supervision the boundary survey was performed;

(r) A written and graphic scale; and

(s) A title block containing the following:

Name and address of the client;
Name and address of the property owner of record;
Title of the survey;
Statement that the plat of survey represents a boundary survey and complies with 201 KAR 18:150; and
Name and business address of the professional land surveyor who performed the survey and, if applicable, the name and address of the surveying firm; and

(t) The following information shall be placed conspicuously on the face of the plat of survey:

The record source of the tract or parcel of land surveyed; and
The location or address of each tract or parcel of land surveyed.

Section 11. Identification of Drawings and Plats.

(1) A plat of survey shall be signed, sealed, and dated by the professional land surveyor under whose direct supervision the survey was performed.

(2) Working drawings or unfinished plats of not yet completed boundary surveys shall be prominently marked or stamped in at least sixteen (16) point type or its equivalent, as follows: Preliminary - Not For Recording or Land Transfer.

Section 12. Partial Boundary Surveys.

(1) In performing a boundary survey, a professional land surveyor shall not be required to survey the parent tract in its entirety in order to create a smaller tract for conveyance if the following conditions are met:

(a) Adequate evidence exists that conforms to the deeds of record;

(b) Sufficient monumentation exists that is verifiable to establish the lines common to the boundary of the parent tract; and

(c) There is sufficient evidence and monumentation to establish the lines common to the adjoining tracts without adversely affecting the property interests of any adjoining owners.

(2) In performing a boundary survey, a professional land surveyor is not required to survey the entire boundary of a tract of land in order to mark a boundary line or replace a boundary corner when the following conditions are met:

(a) Sufficient evidence is found and verified to establish the record location of that portion of the boundary being surveyed; and

(b) The marked boundary line or reestablished boundary corner does not adversely affect the property interests of any adjoining owners.

(3) A plat of survey for that part of the boundary surveyed pursuant to this section of this administrative regulation, shall be required to comply with this administrative regulation for the part of the boundary that was surveyed, and shall graphically delineate and designate that portion of the boundary covered by the survey.

Section 13. Plats, Drawings, and Graphic Representations of Non-Boundary Survey Work Mandatory Disclosures.

(1) Plats, drawings, and graphic representations created by a professional land surveyor, not representing either a plat of survey, or a preliminary plat, drawing, or graphic representation of a boundary survey, shall meet the following criteria:

(a) Be clearly marked as to their intended use; and

(b) State affirmatively in a title block in at least twelve (12) point type or its equivalent, that the work does not represent a boundary survey and is not intended for land transfer; and

(c) May be signed and sealed by the professional land surveyor under whose direct supervision the work represented by the plat, drawing, or graphic representation was performed or the document was prepared.

(2) A professional land surveyor shall state in a note or notes, on the face of any plat, drawing or graphical representation of any work product falling within the definition of land surveying but not constituting either a plat of survey, or a preliminary plat, drawing or graphic representation of a boundary survey, the following mandatory informational disclosures for the work product:

(a) For whom and by whom the work product was created;

(b) The purpose of the work product;

(d) The location of the parcel or tract of land with which the work product is concerned;

(e) The date or dates that the work was performed;

(f) The date of any certification of the work product by the licensee;

(g) The mathematical scale employed in any graphic representation of the work performed; and

(h) The degree of accuracy or level of quality of the work product expressed in terms of mathematical precision.

History

RELATES TO: KRS 322.290(1)(a), (2)(f)
STATUTORY AUTHORITY: KRS 322.290(2)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(1)(a) authorizes the board to administer KRS Chapter 322. KRS 322.290(2)(f) requires the board to establish standards of practice. This administrative regulation establishes standards of practice for professional land surveyors in Kentucky.
History: 12 Ky.R. 291; eff. 9-10-1985; 16 Ky.R. 592; 1157; eff. 12-6-1989; 24 Ky.R. 1540; 1866; 2062; eff. 3-12-1998; 37 Ky.R. 768; 1178; eff. 12-3-2010; Crt eff. 2-14-2020.

201 KAR 18:170 Compensation of board members {#sec-201-kar-18-170 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:170}

Section 1. Each member of the board shall receive $200 per day when actually attending to the work of the board or any of its committees.

History

RELATES TO: KRS 322.270
STATUTORY AUTHORITY: KRS 322.270
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.270 states that "when attending to the work of the board, each member shall receive compensation as established by regulation of the board and approved by the appropriate legislative body."
History: 14 Ky.R. 1170; eff. 1-4-88; 33 Ky.R. 854; eff. 12-1-2006; Crt eff. 2-14-2020.

201 KAR 18:180 Business entity permits {#sec-201-kar-18-180 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:180}

Section 1.

(1) An application for a business entity permit to practice engineering or land surveying shall be made on an "Application for Business Entity Permit."

(2) An application for a permit that is not made on the application form shall not be accepted.

(3) An applicant may attach additional sheets to the application form if:

(a) They are necessary to provide required information;

(b) Are the same size as the application form; and

Section 2. Permits shall be serially numbered for each profession in the order in which they are approved.

Section 3.

(1) A permit shall be renewed annually.

(2) Each one (1) year renewal period shall:

(a) Begin January 1; and

(b) End the following December 31.

Section 4. Incorporation by Reference.

(1) "Application for Business Entity Permit (2004)" is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky State Board of Licensure for Professional Engineers and Land Surveyors, Kentucky Engineering Center, 160 Democrat Drive, Frankfort, Kentucky 40601, 8 a.m. to 4:30 p.m., EST, Monday through Friday, or by downloading from the board's web page at http://kyboels.ky.gov.

History

RELATES TO: KRS 322.060, 322.160,
STATUTORY AUTHORITY: KRS 322.060, 322.160, 322.290
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.060 requires the registration of engineering and land surveying business entities doing business in Kentucky. This administrative regulation establishes the requirements for a business entity permit.
History: 19 Ky.R. 1697; Am. 20 Ky.R. 56; eff. 7-9-93; 28 Ky.R. 675; eff. 11-9-2001; 30 Ky.R. 2543; 31 Ky.R. 337; eff. 8-26-04; Crt eff. 2-14-2020.

201 KAR 18:192 Continuing professional development for professional land surveyors {#sec-201-kar-18-192 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:192}

Section 1. Definitions.

(1) "Calendar year" means a one (1) year period of time beginning on January 1 and ending on December 31.

(2) "Contact hour" means a minimum of fifty (50) minutes of instruction or presentation.

(3) "Continuing professional development" or "CPD" means participation in activities, beyond the basic educational requirements, that:

(a) Provide specific content planned and evaluated to improve the professional land surveyor's competence;

(b) Encourage acquisition of new skills and knowledge required to maintain competence;

(d) Raise the ethical standards within the professional community; and

(e) Meet the requirements established by this administrative regulation.

(4) "Dual Licensee" means a person licensed as both a professional land surveyor and a professional engineer.

(5) "Licensee" means a person licensed as a professional land surveyor.

(6) "Professional development hour" or "PDH" means one (1) nominal contact hour of instruction or presentation that meets the requirements of this administrative regulation.

(7) "Provider" means a person, school, association, company, corporation, or group who has developed a CPD activity and participates directly in the presentation.

(8) "Reporting period" means the two (2) calendar years preceding the June 30 deadline for renewal of license.

(9) "Surveying Committee" means the Surveying Committee of the State Board of Licensure for Professional Engineers and Land Surveyors.

Section 2. Program Structure.

(1) Except as established in Section 5 of this administrative regulation, a licensee shall complete a minimum of sixteen (16) PDH units each reporting period.

(2) The requirement for continuing professional development shall include a four (4) PDH course, pre-approved by the Surveying Committee based on the criteria established in Section 9 of this administrative regulation, in standards of practice for professional land surveyors, professional ethics, and the code of professional practice and conduct, taken once every four (4) years. This course shall count as four (4) of the required sixteen (16) PDH for the reporting period in which it is taken.

(3) If a licensee exceeds the requirement, a maximum of eight (8) PDH units may be carried forward to the next reporting period.

(4) PDH units earned by a dual licensee under this administrative regulation may also be used to meet the professional engineer requirements under 201 KAR 18:196 if the PDH units also meet the requirements of 201 KAR 18:196.

(5) Failure to earn the required PDH units shall constitute unprofessional conduct.

Section 3. Criteria for Professional Development.

(1) Continuing professional development activities applicable to the renewal of the license shall be directly related to the professional growth and development of the professional land surveyor.

(2) PDH units may be earned upon successful completion of:

(a) College or university courses;

(b) Continuing education courses;

(c) Short courses, tutorials, webinars, and distance-education courses offered as face-to-face programs, live internet-based programs, archived prerecorded programs, or archived correspondence programs;

(d) Presenting or attending qualifying seminars, in-house courses, workshops, or professional or technical presentations made at meetings, conventions, conferences, or educational institutions;

(e) Teaching or instructing activities established in paragraphs (a) through (d) of this subsection;

(f) Authoring published papers, articles, books, or accepted licensing examination items related to the practice of land surveying; or

(g) Active participation in professional or technical societies as authorized in subsection (5)(g) of this section.

(3) To qualify for credit, activities established in subsections (1) and (2) of this section shall:

(a) Be relevant to the practice of land surveying;

(b) Contain technical, ethical, or managerial subjects;

(d) Be conducted by individuals with education, training, or expertise; and

(e) Not include:

In-service training;
Orientation to specific institutional policies and practices; or
Time used to sell or advertise a product; or
Self-study.

(4) CPD activities shall be credited only if substantially different from a course for which credit was claimed or granted in the current reporting period.

(5) PDH units shall be converted as established in paragraphs (a) through (g) of this subsection

(a) Credit for college or university courses shall be based upon course credit established by the college or university.

One (1) university semester hour shall equal forty-five (45) PDH units.
One (1) university quarter hour shall equal thirty (30) PDH units.

(b) One (1) continuing education unit shall equal ten (10) PDH units.

(c) One (1) nominal contact hour of professional development in coursework, seminars, or professional or technical presentations made at meetings, conventions, or conferences shall equal one (1) PDH unit. The total number of hours allowed for an activity shall not exceed the actual number of clock hours.

(d) Credit for correspondence, televised, videotaped, distance learning, and other short courses or tutorials shall be the equivalent PDH units recommended by the program author.

(e) For teaching an activity established in subsection (2)(a) through (d) of this section, multiply the number of PDH units earned by participants for that activity by two (2). Teaching credit shall only be valid for the first time the activity is taught.

(f) Each published paper, article, or book shall equal ten (10) PDH units.

(g) Active participation in a professional or technical society shall equal two (2) PDH units for each organization.

Credit for active participation in professional or technical societies shall require that the licensee serve as an officer or committee chair of the organization.
PDH units shall not be earned until the end of each year of service is completed.

Section 4. Recordkeeping.

(1) The licensee shall be responsible for maintaining records used to support PDH units claimed.

(2) Records required include:

(a) A log showing the date of the activity, provider, location, activity title, description, presenter's name, and PDH units earned; and

(b) Attendance certification records in the form of completion certificates or other documents supporting evidence of attendance.

Section 5. Exemptions and Extensions.

(1) A licensee shall be exempted from continuing professional development requirements for the calendar year in which the licensee is initially licensed by the board. If the licensee is initially licensed in the first calendar year of the reporting period, the number of PDH units required for that reporting period shall be eight (8) PDH units.

(2) A licensee who is on active duty in the Armed Forces of the United States shall be exempted from continuing professional development requirements for those years in which the licensee was on active duty.

(3) A former licensee who has selected inactive or retired status shall be exempted from continuing professional development requirements.

(4) A licensee who is unable to satisfy the CPD requirement because of physical disability, illness, or other extenuating circumstance shall be granted an extension for the calendar year in which the disability, illness, or extenuating circumstance occurs.

(5) An extension request shall be made in writing, with supporting documentation, to the board during the calendar year in which the extension is requested, and the extension shall only be valid for that calendar year.

Section 6. Reinstatement. Before a license is reinstated by the board under 201 KAR 18:115, a former licensee shall earn the PDH units required for each reporting period the license was revoked, suspended, expired, or in inactive or retired status up to a maximum of thirty-two (32) PDH units.

Section 7. Reporting.A licensee shall certify on the Online Individual Renewal Professional Land Surveyor form whether or not the licensee has complied with the requirements of this administrative regulation during the biennial renewal of license. The failure to truthfully report compliance with this administrative regulation shall constitute unprofessional conduct.

Section 8. Audits.

(1) Compliance with the CPD requirements shall be determined through an audit process.

(2) Four (4) percent of licensees who have completed their biennial renewals before September 1 of their renewal year shall be selected for audit through a random selection process.

(3) All licensees who complete their biennial renewals on or after September 1 of their renewal year shall be audited.

(4) A licensee who is the subject of an investigation pursuant to KRS 322.190 shall be audited.

(5) A licensee selected for audit shall provide the board with documentation as established in Section 4 of this administrative regulation within thirty (30) days of the board's request.

(6) If continuing professional development credit is disallowed, the licensee shall have sixty (60) calendar days after notification to substantiate the original claim or earn other PDH units to meet the requirement.

(7) Failure to comply with the CPD requirements shall constitute a violation of KRS 322.180(3)..

(8) If a licensee fails to comply with the CPD requirements, the licensee shall automatically be audited the next reporting period and each subsequent reporting period until an audit results in a determination of compliance.

Section 9. Approval for a Standards of Practice, Professional Ethics, and Code of Professional Practice and Conduct Course.

(1) The Surveying Committee shall pre-approve or disapprove a four (4) PDH course in standards of practice for professional land surveyors, professional ethics, and the code of professional practice and conduct in accordance with this administrative regulation.

(2) Approval of the course shall be valid for three (3) years.

(3) Failure to notify the board of a change in the course, including a change in the instructor, shall render approval of the course null and void.

(4) A written request for approval of the course shall be submitted to and received by the board at least sixty (60) days prior to the meeting date of the Surveying Committee at which the request will be considered.

(5) All requests for approval of the course shall be accompanied by:

(a) A detailed outline and objectives;

(b) A time outline including registration, introductions, welcomes, breaks, and meals;

(d) A resume for instructor.

(6) The board may send a representative to monitor live presentations of the course.

(a) The provider shall notify the board at least sixty (60) days prior to providing a live presentation of the course.

(b) The provider shall waive all fees for the board representative and reimburse costs, if any, of attending the course.

(c) Approval for the course shall be withdrawn for subsequent iterations of the course if significant variation is observed from the approved course.

(7) An evaluation form shall be made available for participants at each presentation.

(8) An individual under disciplinary action from the board or a business entity with a principal who is under disciplinary action from the board shall not present the course without prior, written approval from the board.

(9) Upon approval in accordance with this administrative regulation, an activity shall receive a CPD number, which shall be used to identify the course.

(10) If a course is not approved by the Surveying Committee, the requestor shall be sent notice of disapproval within two (2) weeks of its decision.

Section 10. Incorporation by Reference.

(1) "Online Individual Renewal – Professional Land Surveyor", October 2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at Kentucky State Board of Licensure for Professional Engineers and Land Surveyors, 160 Democrat Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material may also be obtained at kyboels.gov.

History

RELATES TO: KRS 322.180(3), 322.190, 322.290(15)
STATUTORY AUTHORITY: KRS 322.290(4), (15)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(4) and (15) require the board to promulgate administrative regulations to establish a program of continuing education for professional land surveyors. This administrative regulation establishes requirements for thecontinuing professional development program mandated by KRS 322.290(15) for professional land surveyors.
History: 26 Ky.R. 1460; 1678; eff. 2-24-2000; 33 Ky.R. 856; 1284; eff. 12-1-2006; 38 Ky.R. 654; 894; eff. 12-2-2011; 39 Ky.R. 530; 948; eff. 12-7-2012; 40 Ky.R. 2593; 41 Ky.R. 15; eff. 8-1-2014; Crt eff. 2-14-2020; 51 Ky.R. 364, 1090; eff. 3-4-2025.

201 KAR 18:196 Continuing professional development for professional engineers {#sec-201-kar-18-196 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:196}

Section 1. Definitions.

(1) "Calendar year" means a one (1) year period of time beginning on January 1 and ending on December 31.

(2) "Contact hour" means a minimum of fifty (50) minutes of instruction or presentation.

(3) "Continuing professional development" or "CPD" means participation in activities, beyond the basic educational requirements, that:

(a) Provide specific content to improve the professional engineer's competence;

(b) Encourage acquisition of new skills and knowledge required to maintain competence;

(d) Raise the ethical standards within the professional community; and

(e) Meet the requirements established by this administrative regulation.

(4) "Dual licensee" means a person licensed as both a professional engineer and a professional land surveyor.

(5) "Licensee" means a person licensed as a professional engineer.

(6) "Professional development hour" or "PDH" means one (1) nominal contact hour of instruction or presentation that meets the requirements of this administrative regulation.

(7) "Provider" means a person, school, association, company, corporation, or group who has developed a CPD activity and participates directly in the presentation.

(8) "Reporting period" means the two (2) calendar years preceding the June 30 deadline for renewal of license.

Section 2. Program Structure.

(1) Except as established in Section 5 of this administrative regulation, a licensee shall complete a minimum of thirty (30) PDH units each reporting period.

(2) If a licensee exceeds the requirement, a maximum of fifteen (15) PDH units may be carried forward to the next reporting period.

(3) PDH units earned by a dual licensee under this administrative regulation may also be used to meet the professional land surveyor requirements under 201 KAR 18:192 if the PDH units also meet the requirements of 201 KAR 18:192.

(4) Failure to earn the required PDH units shall constitute unprofessional conduct.

Section 3. Criteria for Professional Development.

(1) Continuing professional development activities applicable to the renewal of the license shall be directly related to the professional growth and development of the professional engineer.

(2) PDH units may be earned upon successful completion of:

(a) College or university courses;

(b) Continuing education courses;

(d) Presenting or attending qualifying seminars, in-house courses, workshops, or professional or technical presentations made at meetings, conventions, conferences, or educational institutions;

(e) Teaching or instructing activities established in paragraphs (a) through (d) of this subsection;

(f) Authoring published papers, articles, books, or accepted licensing examination items related to the practice of engineering; or

(g) Active participation in professional or technical societies as authorized in subsection (5)(g) of this section.

(3) To qualify for credit, activities established in subsections (1) and (2) of this section shall:

(a) Be relevant to the practice of engineering;

(b) Contain technical, ethical, or managerial subjects;

(d) Be conducted by individuals with education, training, or expertise; and

(e) Not include:

In-service training;
Orientation to specific institutional policies and practices;
Time used to sell or advertise a product; or
Self-study.

(4) CPD activities shall earn credit only if substantially different from a course for which credit was claimed or granted in the current reporting period.

(5) PDH units shall be converted as established in paragraphs (a) through (g) of this subsection.

(a) Credit for college or university courses shall be based upon course credit established by the college or university.

One (1) university semester hour shall equal forty-five (45) PDH units.
One (1) university quarter hour shall equal thirty (30) PDH units.

(b) One (1) continuing education unit shall equal ten (10) PDH units.

(d) Credit for correspondence, televised, videotaped, distance learning, and other short courses or tutorials shall be the equivalent PDH units recommended by the program author.

(f) Each published paper, article, or book shall equal ten (10) PDH units.

(g) Active participation in professional or technical societies shall equal two (2) PDH units for each organization.

Credit for active participation in professional or technical societies shall require that the licensee serve as an officer or committee chair of the organization.
PDH units shall not be earned until the end of each year of service is completed.

Section 4. Recordkeeping.

(1) The licensee shall be responsible for maintaining records used to support PDH units claimed.

(2) Records required include:

(a) A log showing the date of the activity, provider, location, activity title, description, presenter's name, and PDH units earned; and

(b) Attendance certification records in the form of completion certificates or other documents supporting evidence of attendance.

Section 5. Exemptions and Extensions.

(1) A licensee shall be exempted from continuing professional development requirements for the calendar year in which the licensee is initially licensed by the board. If a licensee is initially licensed in the first calendar year of the reporting period, the number of PDH units required for that reporting period shall be fifteen (15) PDH units.

(3) A licensee who was licensed prior to January 1, 1972, and has kept the license in good standing since becoming licensed, shall be exempted from continuing professional development requirements.

(4) A former licensee who has selected inactive or retired status shall be exempted from continuing professional development requirements.

(5) A licensee who is unable to satisfy the CPD requirement because of physical disability, illness, or other extenuating circumstance shall be granted an extension for the reporting period in which the disability, illness, or extenuating circumstance occurs.

(6) An extension request shall be made in writing, with supporting documentation, to the board during the calendar year in which the extension is requested, and the exemption or extension shall only be valid for that calendar year.

Section 6. Reinstatement. Before a license shall be reinstated by the board under 201 KAR 18:115, a former licensee shall earn the PDH units required for each reporting period the license was revoked, suspended, expired, or in inactive or retired status up to a maximum of sixty (60) PDH units.

Section 7. Reporting.A licensee shall certify on the Online Individual Renewal – Professional Engineer form whether or not the licensee has complied with the requirements of this administrative regulation during the biennial renewal of license. The failure to truthfully report compliance with this administrative regulation shall constitute unprofessional conduct.

Section 8. Audits.

(1) Compliance with the CPD requirements shall be determined through an audit process.

(2) Four (4) percent of licensees who have completed their biennial renewals before September 1 of their renewal year shall be selected for audit through a random selection process.

(3) All licensees who complete their biennial renewals on or after September 1 of their renewal year shall be audited.

(4) A licensee who is the subject of an investigation pursuant to KRS 322.190 shall be audited.

(5) A licensee selected for audit shall provide the board with documentation as established in Section 4 of this administrative regulation within thirty (30) days of the board's request.

(7) Failure to comply with the CPD requirements shall constitute a violation of KRS 322.180(3).

Section 9. Incorporation by Reference.

(1) "Online Individual Renewal – Professional Engineer", October 2024, is incorporated by reference.

(3) This material may also be obtained at kyboels.ky.gov

History

RELATES TO: KRS 322.180(3), 322.190, 322.290
STATUTORY AUTHORITY: KRS 322.290(4), (16)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(4) and (16) require the board to promulgate administrative regulations to establish a program of continuing education for professional engineers. This administrative regulation establishes requirements for the continuing professional development program mandated by KRS 322.290(16) for professional engineers.
History: 34 Ky.R. 1299; 1705; eff. 2-1-2008, 2206; 2390; eff. 6-6-2008; TAm eff. 4-4-2011; Crt eff. 2-14-2020; Ky.R. 51 368, 1093; eff. 3-4-2025.

201 KAR 18:200 Minimum standards of practice for mortgage inspections in Kentucky {#sec-201-kar-18-200 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:200}

Section 1.

(1) A professional land surveyor shall meet the minimum standards established in this administrative regulation.

(2) He shall demonstrate a thorough knowledge of the property that is the subject of a mortgage inspection by:

(a) Conducting adequate research which at a minimum would be to obtain the subject deed and the adjoining deeds; and

(b) Obtaining and retaining sufficient recorded documentation.

Section 2. Work Order Required.

(1) Prior to conducting a mortgage inspection, a professional land surveyor shall obtain a work order:

(a) Stating that the borrower or purchaser has been advised of the:

Types of services available; and
Scope of each type of service; and

(b) That has been signed by the borrower or purchaser.

(2) If the work order requires a flood plain certification, statements regarding the flood plain shall contain the source or basis of the statements by reference to:

(a) Flood plain maps, by map identification number and date; and

(b) Any levels run by the surveyor to verify the elevation of the property.

(3) A work order shall include the following, the:

(a) Name of the borrower;

(b) Date the work was ordered;

(d) Address or location of the parcel;

(e) Record source of the parcel;

(f) Anticipated closing date;

(g) Required delivery date; and

(h) Statements in subsection (4) of this section.

(4) The work order shall include the following statements:

(a) Mortgage inspection. The sole purpose of this inspection is to obtain mortgage title insurance. This is the minimum service that your lender requires for closing your loan. It is a location of improvements and cursory check for violations or encroachments onto or from the subject property based on existing but not confirmed evidence. This does not constitute a boundary survey and is subject to any inaccuracies that a subsequent boundary survey may disclose; no property corners will be set; and, it should not be used or relied upon for the establishment of any fence, structure or other improvement. Flood plain certification is restricted to a review of the Flood Insurance Rate Maps (FIRM) (latest revision), and shall not be construed as a confirmation or denial of flooding potential.

(b) Boundary survey and improvement location. A boundary survey of the subject property will be made and the property corners will be located and verified or reset. The improvements on the property will be located and a check for violations or encroachments onto or from the subject property will be made. This survey may be used by the property owner for the construction of a fence or other improvement. Flood plain certification is restricted to a review of the Flood Insurance Rate Maps (FIRM) (latest revision), and shall not be construed as a confirmation or denial of flooding potential.

(c) ALTA/ACSM land title survey. This is the most comprehensive type of survey and improvement location. It covers all the aspects of the boundary survey and improvement location and identification for any additional evidence of possession or use which could be adverse to the interest of the purchaser. This survey may include definitive statements regarding the flooding potential in addition to a review of Flood Insurance Rate Maps (FIRM).

(5)

(a) A board "work order" sample form may be used.

(b) "Work Order (8-93)" is incorporated by reference.

(c) It may be inspected, copied, or obtained at Kentucky State Board of Licensure for Professional Engineers and Land Surveyors, 160 Democrat Drive, Frankfort, Kentucky 40601, 8 a.m. to 4:30 p.m., Monday through Friday.

Section 3. Recorded Documentation and Boundary Evidence.

(1) A professional land surveyor shall obtain recorded documentation pertaining to the property boundary that is sufficient to demonstrate general knowledge of the given area which at a minimum would be to obtain the subject deed and the adjoining deeds.

(2) Field crews shall be provided with current information necessary to determine property dimensions in the field.

(3) Field crews shall conduct a diligent search for existing boundary evidence.

(4) The highest available order of monumentation shall be used.

(5) The boundary monumentation, or evidence used shall be shown on the drawing.

(6) Conflicting boundary information shall be:

(a) Clearly shown on the drawing; and

(b) Reported to the client and the buyer in writing.

Section 4. Field Procedures.

(1) A field crew shall be provided with current information necessary to determine the property dimensions in the field.

(2) A diligent search for existing boundary evidence shall be made by a field crew.

(3) The highest order of monumentation and boundary evidence shall be used.

(4) Detailed notes shall be:

(a) Taken on all mortgage inspections; and

(b) Kept as part of the professional land surveyor's permanent record.

(5) If the field survey methods selected by the surveyor do not produce a level of certainty sufficient to determine whether encroachments exist, the surveyor shall recommend a boundary survey to the borrower or purchaser.

Section 5. Drafting of the Parcel.

(1) A drawing of a parcel that is inspected shall be used in support of the certificate of mortgage inspection.

(2) The following items shall be identified on a drawing of a parcel that is inspected:

(a) Property lines shall be shown by:

Boundary dimensions and bearings from the deed; or
Boundary dimensions and bearings from a record plat; or
By actual field measurement.

(b) The method of determination or basis of property lines shall be clearly shown.

With dimensions to the nearest property lines;
With a minimum of three (3) dimensions; and
In a manner sufficient to locate the major improvement.

(d) Location dimensions shall be shown:

By offsets perpendicular to straight property lines; or
By offsets radial to curved property lines.

(e) Major improvements shall include:

Residences;
Garages;
Outbuildings;
Barns;
Driveways;
Pools;
Porches; and
Patios.

(f) Apparent encroachments shall be:

Noted and described; and
Clearly shown.

(g) Means of access shall:

Be shown clearly and graphically; and
Include shared access and shared driveways.

(h) Platted and apparent easements shall be clearly identified.

(i) The source of record information for platted and apparent easements shall be identified by:

Deed book and page of recording; or
Title company commitment, including the name of title company and commitment number; and
For apparent easements for items such as power lines, the name of the easement holder.

(j) Platted setback lines shall be shown graphically.

(k) Adjacent owner and record source shall be noted on the drawing.

Lot numbers may be used for adjacent properties located in recorded subdivisions.
Conflicting boundary information shall be:

a. Clearly shown on the drawing; and

b. Reported to the client and the buyer in writing.

(l) If the address of the inspected parcel is:

Posted, it shall be shown; or
Not posted, a statement to that effect shall be included.

(m) A north arrow with the basis for the meridian shall be shown on the drawing.

(n) A graphic scale shall be shown on the drawing.

(o) All apparent encroachments shall be:

Noted and described on the drawing; and
Clearly shown on the drawing.

(p) A flood plain certification required by the work order shall reference:

Flood plain maps by map identification number and date; and
Levels run by the surveyor to verify the elevation of the inspected property.

(q) The following caption shall appear prominently on the sketch: MORTGAGE INSPECTION This does not constitute a boundary survey and is not a recordable document.

(r) If the certification and the drawing are on separate pieces of paper, this shall be stated in the report as: (Example: page 1 of 2, page 2 of 2).

(s) The sign and seal of the surveyor and the date of the mortgage inspection.

Section 6. Certification.

(1) A mortgage inspection shall not contain the word "survey" in any part of the certification.

(2) The mortgage inspection certification shall contain:

(a) The name, address and telephone number of the professional land surveyor responsible for the mortgage inspection;

(b) The name of the party who ordered the work;

(c) A statement that the mortgage inspection was conducted either by the professional land surveyor or under the surveyor's direct supervision;

(d) The date the inspection was made;

(e) The record source of the property;

(f) A statement that:

The accompanying sketch or drawing is a true representation of the conditions found at the time of the inspection;
The mortgage inspection is prepared for mortgage title insurance purposes only;
The document does not constitute a boundary survey;
The mortgage inspection is subject to any inaccuracies that a subsequent boundary survey may disclose;
No property corners were set;
The information shown on the sketch should not be used to establish any fence, structure or other improvement;
The linear or angular values shown on the drawing are based on record information, and have not been verified unless so noted.

(3) A mortgage inspection by a professional land surveyor shall:

(a) Be signed by the surveyor;

(b) Bear his seal; and

History

RELATES TO: KRS Chapter 322
STATUTORY AUTHORITY: KRS 322.290(2)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290 requires the Board of Licensure for Professional Engineers and Land Surveyors to adopt appropriate standards of practice. This proposed administrative regulation will establish minimum standards of practice for mortgage inspections in Kentucky.
History: 20 Ky.R. 871; Am. 1579; eff. 12-6-93; Crt eff. 2-14-2020.

201 KAR 18:210 Retired and inactive status {#sec-201-kar-18-210 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:210}

Section 1.

(1) A professional engineer may be registered as a "professional engineer, retired" or "professional engineer, inactive", and a professional land surveyor may be registered as a "professional land surveyor, retired" or "professional land surveyor, inactive".

(2) The applicant shall:

(a) Pay a biennial fee of twenty (20) dollars;

(b) Renew the registration in accordance with KRS 322.160; and

(3) In order to again practice the profession, the applicant shall apply for license reinstatement in accordance with 201 KAR 18:115.

Section 2. Professional Development Program.

(1) Except as required by subsections (2) and (3) of this section, an inactive or retired registrant shall not be required to complete professional development hours.

(2) An inactive or retired professional land surveyor shall, prior to reinstatement, complete eight (8) professional development hours for each calendar year of inactive or retired status, up to a maximum of thirty-two (32) professional development hours.

(3) An inactive or retired professional engineer shall, prior to reinstatement, complete fifteen (15) professional development hours for each calendar year of inactive or retired status, up to a maximum of sixty (60) professional development hours.

History

RELATES TO: KRS 322.100, 322.160(1), 322.290(15), (16)
STATUTORY AUTHORITY: KRS 322.100, 322.110(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.100 requires the board to establish license fees for engineers and land surveyors by administrative regulation. KRS 322.110(3) requires the board to promulgate administrative regulations for inactive or retired status engineers and land surveyors. This administrative regulation establishes the registration and renewal fee and professional development requirements for retired or inactive engineers and land surveyors.
History: 23 Ky.R. 3647; Am. 4110; eff. 6-13-97; 34 Ky.R. 2558; 35 Ky.R. 257; eff. 9-5-08; Crt eff. 2-14-2020.

201 KAR 18:220 Administrative hearings {#sec-201-kar-18-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 18:220}

Section 1. Definitions.

(1) "Action" means a charge brought pursuant to this administrative regulation and KRS Chapter 13B.

(2) "Administrative complaint" means a written accusation filed by the board's general counsel with the board and with the Office of the Attorney General, Administrative Hearings Division alleging a violation by a licensee of KRS Chapter 322 or a provision of 201 KAR Chapter 18.

(3) "Administrative hearing" or "hearing" is defined by KRS 13B.010(2).

(4) "Board" means the Kentucky State Board of Licensure for Professional Engineers and Land Surveyors.

(5) "Charge" means a written accusation of a violation of a provision of KRS Chapter 322 or of 201 KAR Chapter 18, contained in an administrative complaint.

(6) "Consent decree" means an order entered by the board with the agreement of a respondent.

(7) "Default" means a failure of a respondent to file an answer to an administrative complaint, to attend or participate in a prehearing conference, hearing, or other stage of the administrative hearing process, or to comply with the orders of a hearing officer.

(8) "Division" is defined by KRS 13B.010(8).

(9) "Final order" is defined by KRS 13B.010(6).

(10) "Hearing officer" is defined by KRS 13B.010(7).

(11) "Investigation review advisor" means a present or former member of the board, selected by the board chairman in consultation with the executive director, to independently review an investigation and provide the executive director with his or her opinion as to the propriety of filing an administrative complaint against the subject of the investigation, and to make suggestions regarding the nature of the charges, the appropriate penalty, and terms for settlement.

(12) "Letter of complaint" means a factual statement made in writing, by a person or organization, to the board, alleging a possible violation of a provision of KRS Chapter 322 or 201 KAR Chapter 18.

(13) "Licensee" means an individual or business entity licensed to practice engineering or land surveying in this Commonwealth pursuant to KRS Chapter 322.

(14) "Notice" means a notice of administrative hearing satisfying the requirements of KRS 13B.050(3).

(15) "Party" is defined by KRS 13B.010(3).

(16) "Respondent" means a licensee who is the subject of an investigation by the board for a violation of KRS Chapter 322 or 201 KAR Chapter 18.

(17) "Settlement conference" means a conference between board staff and a respondent and his or her attorney, if any, to attempt to resolve matters raised in an administrative complaint or charge.

(18) "Violation" means an act or failure to act that is in conflict with a provision of KRS Chapter 322 or 201 KAR Chapter 18.

Section 2. Letter of Complaint, and Investigation.

(1) A letter of complaint shall be in writing, be signed by the individual making the allegations, and shall allege facts showing why that individual believes that a violation has occurred.

(2) An investigation shall be made of every complaint.

(3) An investigation may also be made without the receipt of a letter of complaint if information within the knowledge of the board or board staff indicates that a violation may have been committed.

Section 3. Disposition Following Investigation.

(1) Following the completion of the investigation, if it appears to the executive director that no violation has occurred, or that the matter does not warrant further action, the executive director shall terminate any further proceedings and the matter shall be closed.

(2) If, following the completion of the investigation, it appears to the executive director that the respondent may have committed one (1) or more violations sufficient to warrant a charge or charges against that licensee, then to resolve the matter, the executive director shall:

(a) Issue a letter of admonishment to the respondent;

(b) Negotiate a proposed consent decree with the respondent, which shall, after execution by the respondent, be presented to the board for approval or rejection; or

(3) If a proposed consent decree is rejected by the board, the executive director shall either try to resolve the matter with another proposed consent decree, or shall proceed with an administrative complaint;

(4) The board may enter into a settlement conference following the completion of the investigation.

(5) Prior to causing an administrative complaint to be filed, the executive director may request that the board chairman designate one (1) or two (2) investigative review advisors who shall independently review the investigation, and shall submit to the executive director, their independent opinions as to the propriety of filing an administrative complaint against the subject of the investigation, and suggestions regarding the nature of the charges, the appropriate penalty, and terms for settlement.

(6) A former board member who serves as an investigative review advisor shall be compensated at the same rate as provided for a board member who so serves.

(7) A board member who serves as an investigative review advisor for a specific disciplinary action, shall not thereafter participate in the determination of a final order in that same action, except that he or she may participate in the consideration of a proposed consent decree.

(8) An individual who has filed a letter of complaint shall be notified of the disposition of the subject matter upon its resolution.

Section 4. Administrative Complaints. An administrative complaint shall be in plain language in the pleading form used in the circuit courts of this Commonwealth and shall be signed by the board's general counsel.

Section 5. Actions.

(1) An action shall be commenced by sending notice and a copy of the administrative complaint to the licensee at the address for the licensee on file with the board, with a copy to the Office of the Attorney General, Hearing Officer Division consistent with the provision of KRS Chapter 13B.

(2) The board shall file proof of notice with the hearing officer.

(3) Within twenty (20) days of notice, a respondent shall file an answer with the board and with the hearing officer.

(4) The hearing shall be conducted according to the provisions of KRS Chapter 13B.

Section 6. Default. A default shall be deemed a confession of all material allegations contained in the administrative complaint.

Section 7. Amended Pleadings.

(1) A party, as a matter of right, may amend a pleading.

(a) A pleading shall not be amended later than thirty (30) days before a scheduled hearing.

(b) A party seeking to amend a pleading within a period less than thirty (30) days before a scheduled hearing shall amend a pleading only by consent of the adverse party or by leave of the hearing officer, and leave shall be freely given if justice so requires.

(2) If an amended pleading introduces new legal or factual issues that cannot reasonably be met by the opposing party prior to the scheduled hearing, the hearing officer shall continue the hearing.

Section 8. Final Order and Consent Decree.

(1) If an administrative complaint has been filed, and the matter resolved by means of a consent decree, the consent decree entered by the board is a final order as established by KRS Chapter 13B.

(2) A consent decree shall not be binding on the parties until approved by the board.

(3) If a final order or consent decree provides that the executive director shall suspend or revoke a license for failure of the licensee to comply with the terms of the final order or consent decree, the executive director shall suspend or revoke the license for failure to comply according to the terms of the final order or consent decree.

(4) If a final order or consent decree does not include a provision for suspension or revocation of a license for the licensee's failure to comply with the terms of the final order or consent decree, and the executive director has probable cause to believe that a respondent has violated the terms of a final order or consent decree, the executive director shall cause a show cause order, over the signature of the board's general counsel, to be issued to the respondent, with a copy to the Office of the Attorney General, Hearing Officer Division.

(5) The show cause order shall meet the requirements of a notice and shall be treated as an administrative complaint for procedural purposes.

Section 9. Publication. At least annually, a summary of all final orders and consent decrees shall be published.

History

RELATES TO: KRS 13B, 322.290(4)
STATUTORY AUTHORITY: KRS 13B.170(1), 322.290(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322.290(4) requires the board to promulgate administrative regulations to carry out the conduct of proceedings before it. KRS 13B.170(1) authorizes the board to promulgate administrative regulations necessary to carry out the provisions of that chapter. This administrative regulation establishes procedural guidelines for administrative hearings as authorized by KRS 322.290(4) and 13B.170(1).
History: 30 Ky.R. 1705; Am. 1925; eff. 2-16-2004; 38 Ky.R. 1991; eff. 8-31-2012; Crt eff. 2-14-2020.

Chapter 19 Board of Architects

201 KAR 19:035 Qualifications for examination and licensure {#sec-201-kar-19-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:035}

Section 1. Eligibility to Take the Architect Registration Examination (ARE). A person who possesses the qualifications prescribed in KRS 323.050, and this administrative regulation, shall be eligible to take the examination.

Section 2. General Requirements.

(1)

(a) The board may verify the good moral character of an applicant for examination with employers and registered architects who have knowledge of the applicant's moral character.

(b) An applicant shall not be considered to be of good moral character if the applicant has:

Committed an act specified in KRS 323.120(1)(a) through (i);
Chronic alcoholism, persistent drug abuse, or an act of behavior that would, if the applicant were licensed, jeopardize or impair the applicant's judgment to meet professional responsibility as an architect and to act to protect the public welfare and safety; or
Violated a provision of KRS Chapter 323 or 201 KAR Chapter 19 either before or after admission to the examination.

(c) If an applicant has violated the registration laws of another jurisdiction, the board shall determine whether the violation adversely affected the moral character of the applicant.

(2) To be eligible for examination, an applicant shall submit to the board college transcripts and verification from the National Council of Architectural Registration Boards (NCARB) that the applicant has:

(a) Met the requirements of KRS 323.050 and this administrative regulation;

(b) Enrolled in NCARB's Architectural Experience Program (AXP) specified in Section 4 of this administrative regulation by establishing an NCARB record; and

(3) The documentation that includes the college transcripts required by subsection (2) of this section shall be verified, compiled, and transmitted in bound record form by the NCARB.

Section 3. Education Requirements. An applicant who has met the requirements of Section 2 of this administrative regulation shall hold a degree in architecture from a degree program that has been accredited by the National Architectural Accrediting Board (NAAB) not later than two (2) years after termination of enrollment.

Section 4. Training Requirements for Licensure.

(1) An applicant who has passed the examination shall have successfully completed the Architectural Experience Program (AXP) training requirements as provided by NCARB Architectural Experience Program (AXP) Guidelines prior to final application for licensure.

(2) The documentation of experience obtained by the completion of the Architectural Experience Program (AXP) training requirements required by subsection (1) of this section and college transcripts shall be verified, compiled, and transmitted in bound record form by the NCARB.

Section 5. Incorporation by Reference.

(1) "Architectural Experience Program Guidelines", 2020 Edition, National Council of Architectural Registration Boards, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Architects, 155 East Main Street, Suite 300, Lexington, Kentucky 40507, Monday through Friday, 8 a.m. to 4:00 p.m.

History

RELATES TO: KRS 323.050(2), (3), 323.060, 323.120(1)(a)-(j)
STATUTORY AUTHORITY: KRS 323.050(2), 323.210(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.050(2) authorizes the board to prescribe the qualifications and experience requirements for licensure. KRS 323.210(1)(b) requires the board to promulgate administrative regulations governing the contents and conduct of examinations, the method and time for filing applications, and the time within which an applicant shall be examined after his or her application has been filed. This administrative regulation establishes the prerequisites for taking the examination and obtaining a license.
History: BERA:E-3; 1 Ky.R. 1243; Am. 2 Ky.R. 256; eff. 11-12-75; 7 Ky.R. 913; eff. 9-2-81; 9 Ky.R. 491; 675; eff. 11-3-82; 11 Ky.R. 1273; eff. 4-9-85; 13 Ky.R. 1868; eff. 6-9-87; 17 Ky.R. 1781; 2178; eff. 12-14-90; 20 Ky.R. 2881; eff. 6-2-94; 22 Ky.R. 1668; 1993; eff. 5-16-96; 23 Ky.R. 3394; 3749; eff. 5-19-97; 31 Ky.R. 1533; 1785; eff. 5-26-05; 35 Ky.R. 1836; 2409; eff. 6-5-2009; TAm 11-20-2012; 42 Ky.R. 1584; 2031; eff. 2-5-2016; 48 Ky.R. 3031; 49 Ky.R. 558; eff. 12-6-2022.

201 KAR 19:087 Continuing education {#sec-201-kar-19-087 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:087}

Section 1. Definitions.

(1) "Continuing education" or "CE" means post-licensure learning that enables a licensed architect to increase or update knowledge of and competence in technical and professional subjects related to the practice of architecture to safeguard the public's health, safety, and welfare.

(2) "Continuing education hour" or "CEH" means a:

(a) Unit equal to sixty (60) minutes clock time for the taking of an examination; or

(b) Customary time of completion prescribed by an examination vendor, if the board finds the time to be reasonable.

(3) "Health, safety, and welfare subjects" means technical and professional subjects that the board finds appropriate to safeguard the public and that are within the following enumerated areas necessary for the proper evaluation, design, construction, and utilization of buildings and the built environment:

(a) Building Systems: Structural, Mechanical, Electrical, Plumbing, Communications, Security, Fire Protection;

(b) Construction Contract Administration: Contracts, Bidding, Contract Negotiations;

(d) Design: Urban Planning, Master Planning, Building Design, Site Design, Interiors, Safety and Security Measures;

(e) Environmental: Energy Efficiency, Sustainability, Natural Resources, Natural Hazards, Hazardous Materials, Weatherproofing, Insulation;

(f) Legal: Laws, Codes, Zoning, Regulations, Standards, Life Safety, Accessibility, Ethics, Insurance to protect Owners and Public;

(g) Materials and Methods: Construction Systems, Products, Finishes, Furnishings, Equipment;

(h) Occupant Comfort: Air Quality, Lighting, Acoustics, Ergonomics;

(i) Pre-Design: Land Use Analysis, Programming, Site Selection, Site and Soils Analysis, Surveying; or

(j) Preservation: Historic, Reuse, Adaptation.

(4) "Relevant topic" means an area which is particularly focused on the health, safety, and welfare of the public utilizing structured educational activities intended to increase or update the architect's knowledge and competence in health, safety, and welfare subjects.

(5) "Structured educational activities" means educational activities in which at least seventy-five (75) percent of an activity's content and instructional time is devoted to health, safety, and welfare subjects related to the practice of architecture, including courses of study or other activities under the areas identified as health, safety, and welfare subjects and provided by qualified individuals or organizations, whether delivered by direct contact or distance learning methods.

Section 2. Purpose. The purpose of this continuing education program is to ensure that all licensed architects remain informed on technical and professional subjects that the board finds appropriate to safeguard life, health, property, and welfare of the public.

Section 3. Scope and Exemptions.

(1) To annually renew a license, an architect licensed in Kentucky shall comply with this administrative regulation unless the licensee is exempted by one (1) of the following reasons:

(a) The licensee is exempted as a first-time registrant by:

Examination; or
Reciprocity;

(b) The licensee has applied for or is renewing as an architect emeritus who:

Is at least sixty-five (65) years old;
Has requested architect emeritus status at the beginning of the license renewal period; and
Has retired from practice in all jurisdictions and is not conducting an active practice in any jurisdiction;

(c) The licensee is a civilian who serves on active duty in the United States Armed Forces for a period of time exceeding ninety (90) consecutive days during the annual report period; or

(d) The licensee is a registrant of another National Council of Architectural Registration Boards' (NCARB) jurisdiction that has a required continuing education program, if:

It accepts Kentucky requirements to satisfy its continuing education requirements; and
The licensee certifies that all requirements for current continuing education compliance and registration have been met in that jurisdiction.

(2) A hardship case may be considered by the board.

Section 4. Requirements.

(1) A licensed Kentucky architect shall:

(a) Obtain a total of at least twelve (12) CEHs per year; and

(b) Report these credits as a condition for license renewal.

(2) Beginning with calendar year 2017, the continuing education requirement of subsection (1) of this section shall be satisfied during the period beginning January 1 and ending December 31 of the previous calendar year.

(3) CEHs shall not be carried over into the next reporting period for credit.

(4) A minimum of twelve (12) CEHs shall consist of structured educational activities on relevant topics addressing health, safety, and welfare subjects as referenced in Section 1(3) of this administrative regulation.

Section 5. Reporting and Recordkeeping.

(1) The following shall be submitted by an applicant for renewal of a license:

(a) A completed continuing education certification statement of compliance with the annual continuing education requirements portion of the completed Architect License Renewal Application;

(b) The completed Architect License Renewal Application or online renewal on the board's Web site at http://boa.ky.gov; and

(2) The following shall be submitted by an applicant for the reinstatement of a license previously administratively revoked:

(a) A completed continuing education certification statement of compliance with the annual continuing education requirements portion of the completed and notarized Architect License Reinstatement-Restoration Application listing the completed courses for the number of credits required. A reinstatement of a license revoked for one (1) year or less shall require reporting twelve (12) CEHs minimum. A reinstatement of a license revoked for one (1) year or more shall require reporting twenty-four (24) CEHs minimum;

(b) The completed and notarized Architect License Reinstatement-Restoration Application;

(c) The reinstatement application fee plus the applicable annual renewal fee required by 201 KAR 19:255 for each year since the date of revocation; and

(d) A two (2) inch by two (2) inch or larger passport quality color photograph of the applicant affixed to the application.

(3) The following shall be submitted by an applicant for the restoration of a license previously voluntarily surrendered:

(a) A completed continuing education certification statement of compliance with the annual continuing education requirements portion of the completed and notarized Architect License Reinstatement-Restoration Application listing the completed courses for the number of credits required. The restoration of a license voluntarily surrendered for one (1) year or less shall require reporting twelve (12) CEHs minimum. The restoration of a license voluntarily surrendered for more than one (1) year shall require reporting twenty-four (24) CEHs minimum;

(b) The completed and notarized Architect License Reinstatement-Restoration Application;

(d) A two (2) inch by two (2) inch or larger passport quality color photograph of the applicant affixed to the application.

(4) An incomplete submission shall be returned to the applicant.

(5) A random sample of annual reports of architect's continuing education certifications shall be audited to ensure accuracy and compliance. Any licensee audited shall submit a completed Architect Continuing Education Annual Report issued by the board with proof of continuing education activities attached.

(6) The licensee shall:

(a) Be responsible for retaining proof of participation in continuing education activities;

(b) Retain a record for continuing education for a period of five (5) years from the date of submission of the annual report to the board; and

(7) Proof of participation in continuing education activities shall include:

(a) A log showing the:

Activity claimed;
Sponsoring organization;
Location; and
Duration; and

(b) One (1) of the following:

An attendance certificate;
A signed attendance receipt;
A paid receipt;
A proof of participation document signed by a person in charge of the activity; or
Other documentation accepted at the discretion of the Board.

(8) Disallowances. If continuing education credit is disallowed, the licensee shall have thirty (30) calendar days after notification to:

(a) Substantiate the original claim; or

(b) Earn other continuing education credit to meet the minimum requirements.

Section 6. Noncompliance and Sanctions.

(1) Failure to fulfill the continuing education requirements, file the required Architect License Renewal Application or the Architect License Reinstatement-Restoration Application, properly completed and signed, or file the Architect Continuing Education Annual Report as required by an audit, properly completed and signed, shall result in the board imposing any combination of the following sanctions:

(a) Nonrenewal;

(b) Denial of reinstatement or restoration;

(d) Suspension of the license and the issuance of a reprimand.

(2) A licensee found to be deficient on CEHs following a continuing education audit shall be fined a civil penalty of $250 for the first deficient CEH and fifty (50) dollars for each deficient CEH thereafter.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Architect Continuing Education Annual Report", 2015;

(b) "Architect License Renewal Application", 2020; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at Kentucky Board of Architects, 155 East Main Street, Suite 300, Lexington, Kentucky 40507, Monday through Friday, 8 a.m. to 4:00 p.m., or on the board's Web site at https://boa.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 323.110(1), 323.120(1)(g), 323.210(3)
STATUTORY AUTHORITY: KRS 323.210(2), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(3) authorizes the board to establish continuing education requirements. This administrative regulation establishes continuing education requirements and establishes standards for the licensing of an architect for board licensees.
History: 24 Ky.R. 2241; Am. 2617; eff. 6-15-98; 35 Ky.R. 1841; 2411; eff. 6-5-2009; TAm 11-20-2012; 42 Ky.R. 1586; 2032; eff. 2-5-2016; 48 Ky.R. 3033; 49 Ky.R. 558; eff. 12-6-2022.

201 KAR 19:215 Accredited schools and colleges {#sec-201-kar-19-215 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:215}

Section 1. Accredited Schools and Colleges. Schools and colleges of architecture that have professional degree programs meeting the requirements of the National Architectural Accrediting Board (NAAB) shall constitute the list of accredited programs of the schools and colleges.

History

RELATES TO: KRS 323.050
STATUTORY AUTHORITY: KRS 323.050, 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.050(2) requires an applicant for examination to hold a professional degree in architecture accredited by the National Accrediting Board (NAAB), or its equivalent as determined by administrative regulations promulgated by the board. KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out and implement KRS Chapter 323. This administrative regulation defines accredited schools of architecture.
History: 47 Ky.R. 607, 1543; eff. 5-4-2021.

201 KAR 19:220 Application for examination {#sec-201-kar-19-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:220}

Section 1. Application for Examination and Registration.

(1) Each applicant shall:

(a) Submit a notarized Application for Architect Registration Examination with a two (2) inch by two (2) inch passport photo; and

(b) Comply with the requirements of KRS 323.050 through 323.090 and 201 KAR Chapter 19.

(2) The requirements for an applicant are summarized in theInformation and Instructions for Applicants for the Architects Registration Examination.

Section 2. Examination Applications. An Application for Architect Registration Examination shall be accompanied by the payment of the application fee established in 201 KAR 19:255.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Architect Registration Examination", November 2020 Edition, Kentucky Board of Architects; and

(b) "Information and Instructions for Applicants for the Architects Registration Examination", June 2019 Edition, Kentucky Board of Architects.

History

RELATES TO: KRS 323.050, 323.215
STATUTORY AUTHORITY: KRS 323.210(1)(b), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(1)(b), (2) requires the board to promulgate administrative regulations governing the contents and conduct of examinations, the method and time for filing applications, and the time within which an applicant shall be examined after his or her application has been filed. This administrative regulation establishes the application process for the examination.
History: 47 Ky.R.609, 1543; eff. 5-4-2021.

201 KAR 19:225 Examinations required; general provisions {#sec-201-kar-19-225 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:225}

Section 1. Examination Definition; Administration.

(1) Each applicant for licensure shall successfully complete the Architect Registration Examination (ARE), which is developed and graded by the National Council of Architectural Registration Boards (NCARB).

(2) The board shall designate each testing service consultant who shall administer the examination in accordance with the agreement between the consultant and NCARB.

(3) The examination sites and schedules shall be as designated by the testing service and agreed to by NCARB.

Section 2. Conditions of Examination.

(1) Grading of the examination shall be in accordance with the national grading procedure administered by NCARB.

(2) The board shall adopt the scoring procedures recommended by NCARB.

(3) Information pertaining to the subject matter of the examination shall not be given to an applicant in advance, except general examination content and policies as specifically authorized by the board.

(4) The board may approve transfer credits for each part of the examination passed prior to the 1983 ARE. Information as to transfer credits shall be provided, if appropriate, to an applicant who requests an Application for Architect Registration Examination, as incorporated by reference in 201 KAR 19:220.

Section 3.

(1) An applicant who has passed all divisions of the ARE by January 1, 2006, regardless of the time taken, has passed the examination.

(2) Retention of Credit: For all initial candidates for licensure, a passing grade for any division of the ARE taken on or after July 1, 2008, shall remain valid pursuant to National Council of Architectural Registration Board's Score Validity Policy in effect at the time of application. Divisions of the examination passed on or after July 1, 2008, that were considered expired prior to the adoption of the National Council of Architectural Registration Board's Score Validity Policy shall be reinstated pursuant to National Council of Architectural Registration Board's Score Validity Policy in effect at the time of application..

Section 4. Applicant Notice. Each applicant who has applied and is eligible to take the examination shall be notified of the examination sites and the procedures to make the appointments with the testing service centers to take the examination divisions of his or her choosing. Special instructions and limitations shall be issued to each applicant.

Section 5. Transfer of Scores.

(1) The board, upon compliance with KRS 323.050(2) and proper Application for Architect Registration Examination, as incorporated by reference in 201 KAR 19:220, may accept passing scores achieved on divisions of the ARE administered and attested to by another NCARB member board under the terms of Section 3 of this administrative regulation.

(2) The board, upon written request and if available, shall forward the grades achieved by an applicant in the various divisions of the examination given under the board's jurisdiction to any other duly constituted architectural registration board and to NCARB for use in evaluating the applicant's eligibility for NCARB certification. The applicant shall state his or her reason for requesting transfer. The transfer shall terminate the applicant's application pending before the board.

Section 6. Conditions of Examination.

(1) Upon allegation of misbehavior on the part of an applicant in connection with taking the examination, the board shall investigate the allegation and take appropriate action including suspending or revoking test-taking privileges and the cancellation of test scores.

(2) Misbehavior shall include:

(a) Falsifying information on the examination application;

(b) Cheating on the examination;

(d) A violation of a confidentiality agreement with respect to the examination.

History

RELATES TO: KRS 323.050, 323.215
STATUTORY AUTHORITY: KRS 323.210(1)(b), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(1)(b) and (2) require the board to promulgate administrative regulations governing the contents and conduct of examinations, the method and time for filing applications, and the time within which an applicant shall be examined after his or her application has been filed. This administrative regulation establishes the examination required by the board and establishes general provisions relating to the administration of the examination.
History: 47 Ky.R. 610, 1543, eff. 5-4-2021; 49 Ky.R. 2349, 50 Ky.R. 636; eff. 12-5-2023.

201 KAR 19:230 Reexamination; reconsideration {#sec-201-kar-19-230 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:230}

Section 1. Reexamination Applicants. An applicant who failed to successfully complete the examination under the provisions of KRS 323.090 and 201 KAR 19:225:

(1) Shall be considered a new applicant for the examination; and

(2) Shall submit a new Application for Architect Registration Examination, as incorporated by reference in 201 KAR 19:220, and processing fee as established in 201 KAR 19:255, Section 2(2).

Section 2. Reconsideration of Applicants who were Denied Admission to Examination.

(1) An applicant whose original Application for Architect Registration Examination for admission to the examination was denied may request reconsideration by letter to the board with evidence that he or she has made up the deficiencies which caused the denial. A formal application or application fees shall not be required for this request if it is made within a period of three (3) years from the date denied.

(2) After three (3) years a new Application for Architect Registration Examination shall be submitted containing relative information on training and experience subsequent to the original application.

History

RELATES TO: KRS 323.090, 323.210
STATUTORY AUTHORITY: KRS 323.210(1)(b), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(1)(b), (2) requires the board to promulgate administrative regulations governing the contents and conduct of examinations, the method and time for filing applications, and the time within which an applicant shall be examined after his or her application has been filed. This administrative regulation prescribes conditions for reexamination and reconsideration of applications.
History: 47 Ky.R. 612, 1544, eff. 5-4-2021.

201 KAR 19:235 Reciprocity; registration without examination {#sec-201-kar-19-235 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:235}

Section 1. General Requirements of Nonresident Architects.

(1) A nonresident architect shall be fully registered in Kentucky before he or she practices architecture in the Commonwealth. Any nonresident architect who desires registration in Kentucky, and whose state of residence grants reciprocal licensing privileges satisfactory to this board pursuant to KRS 323.060, may apply for a license in Kentucky.

(2) He or she shall make an application through the National Council of Architectural Registration Boards, 1401 H ST NW #500, Washington, DC 20005, using the Uniform Application for Architect Registration, NCARB Form 308 and obtain NCARB certification.

(3) An NCARB record plus certification shall provide all, or most of the information needed in applying for registration.

Section 2. Review of Applications. Registration by reciprocity shall be based upon equivalent examinations, experience, character, and education requirements. An application received through the National Council of Architectural Registration Boards shall be accepted for review to determine if the qualifications for licensing by examination were, in the opinion of the board, equal to those prescribed in Kentucky.

Section 3. Additional Provisions. The board may:

(1) Call for a personal interview of any applicant whose record is not sufficiently clear as to his or her technical, ethical, or moral qualifications, for further evaluation.

(2) Grant registration without examination to any architect whose application shows him or her to be so qualified and so fitted to practice architecture that his or her services will, in the opinion of this board, be a valuable asset to both the Commonwealth of Kentucky, and the profession of architecture.

(3) The board reserves the right of the decision to grant or deny registration by reciprocity to any applicant.

Section 4. Incorporation by Reference.

(1) "Uniform Application for Architect Registration, NCARB Form 308", 1/2021, is incorporated by reference.

History

RELATES TO: KRS 323.060, 323.210
STATUTORY AUTHORITY: KRS 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) requires the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. This administrative regulation establishes general requirements for nonresident architects.
History: 47 Ky.R. 613, 1545; eff. 5-4-2021.

201 KAR 19:240 Resident licensed in another state; reciprocity {#sec-201-kar-19-240 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:240}

Section 1. Residents Licensed in other States but not in Kentucky. A resident of Kentucky who is licensed in another state, but not in Kentucky who wishes to obtain a license by reciprocity shall follow the same procedure and meet the same standards as required for nonresident architects as established in 201 KAR 19:235, Section 1.

History

RELATES TO: KRS 323.060
STATUTORY AUTHORITY: KRS 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. This administrative regulation establishes requirements for licensure through reciprocity.
History: 47 Ky.R. 615, 1545; eff. 5-4-2021.

201 KAR 19:245 Duplicate certificates {#sec-201-kar-19-245 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:245}

Section 1. Request and Conditions. An architect who is registered in the Commonwealth of Kentucky may secure a duplicate certificate by requesting a duplicate certificate from the board.

History

RELATES TO: KRS 323.100, 323.210(2), (5), (7)
STATUTORY AUTHORITY: KRS 323.210(2), (5), (7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.210(5) and (7) authorize the board to promulgate administrative regulations to establish rules for the use of seals and signatures in electronic transactions and to assess reasonable administrative fees for copies of mailing lists, duplicate forms, and other media consistent with KRS 61.870 to 61.884. KRS 323.100 specifies the form of the license issued by the board. This administrative regulation provides the basis for issuing duplicate certificates.
History: 47 Ky.R. 616, 1545; eff. 5-4-2021.

201 KAR 19:250 Temporary licensing not permitted {#sec-201-kar-19-250 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:250}

Section 1. Temporary Licensing: Temporary registration, licenses, or permits shall not be granted.

History

RELATES TO: KRS 323.020
STATUTORY AUTHORITY: KRS 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. This administrative regulation prohibits temporary licensure of nonresident licensed architects.
History: 47 Ky.R. 617, 1545; eff. 5-4-2021.

201 KAR 19:255 Fees {#sec-201-kar-19-255 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:255}

Section 1. License Renewal.

(1) The renewal fee shall be due and paid before the first day of the year designated as the licensee's renewal period. Except as provided in subsection (3) of this section, a licensee failing to pay the renewal fee on or before the 30th day of August, of that designated year, or who has not voluntarily surrendered his or her registration by that date, shall be guilty of violation of KRS 323.110 and his or her license shall be automatically revoked.

(2)

(a) Except as provided by paragraph (b) of this subsection, a license shall be renewed, restored, or reinstated by July 1 of each calendar year.

(b) A license issued between January 1 and June 30 of a calendar year shall not be renewed until the following July 1.

(3)

(a) During a period of active military duty, a licensee in the military may, upon written request to the board, be excused from paying the renewal fee until the military service is terminated and the licensee wishes to resume practice.

(b) An identification card or renewal certificate shall be issued upon notification of the licensee's return from duty and payment of the current renewal fee.

(4)

(a) An architect whose license has expired or has been revoked for failure to pay the renewal fee, who wishes to have his or her license reinstated, shall make a written request giving the reason why the licensee neither surrendered his or her registration nor paid the fee within the time prescribed by subsection (1) of this section.

(b) Upon payment of the prescribed fees and acceptance by the board, the license shall be reinstated.

(5)

(a) The application for license renewal on the Annual Renewal Notice and Invoice shall include a signed affidavit that the licensee has not been in violation of the professional practice standards stated in 201 KAR 19:260.

(b) Failure to sign the affidavit shall be cause for the renewal application to be rejected.

Section 2. Fee Schedule.

(1) Application for Architect Registration Examination - $100.

(2) Reapplication for admission to the Architect Registration Examination after original application has expired - $100.

(3) For a license certificate after passing of examination - twenty-five (25) dollars.

(4) Application for restoration of a voluntarily surrendered license - $150.

(5) Application for a license by reciprocity with another state or country - $200.

(6) Application for reinstatement of license revoked or expired for failure to pay renewal fee, or suspended by the board; renewal fees from date of revocation plus - $150.

(7)

(a) Annual renewal fee for a license renewal submitted and received before July 1: $125.

(b) Annual renewal fee for a license renewal submitted and received on or after July 1 and before August 1: $150.

(8) Annual renewal fee for an emeritus architect: fifty (50) dollars.

(9) Certifying the active license of a registrant to the licensing agency of another jurisdiction: twenty-five (25) dollars.

(10)

(a) A fee shall not be refunded.

(b) Each payment shall be by:

Check made payable to "Kentucky State Treasurer";
Credit card; or
Debit card.

Section 3. Charges for Examination.

(1) An applicant shall register with and pay the cost of taking the examination directly to the designated testing service.

(2) The examination fee shall be paid each time the examinations are taken and shall not be refunded.

Section 4. Incorporation by Reference.

(1) "Annual Renewal Notice and Invoice", 2020 Edition, is incorporated by reference.

History

RELATES TO: KRS 323.080, 323.110
STATUTORY AUTHORITY: KRS 323.080, 323.210(1)(b), (2), (3)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.080, 323.210(1)(b), (2), (3)(b) require the board to promulgate administrative regulations establishing fees for services. This administrative regulation establishes the deadline for paying the renewal fee and a fee schedule.
History: 47 Ky.R. 618, 1546; eff. 5-4-2021.

201 KAR 19:260 Professional practice standards; violations, penalties {#sec-201-kar-19-260 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:260}

Section 1. Unprofessional Practice, Penalties, and Procedure.

(1) The following shall constitute unprofessional practice:

(a) Gross incompetence or negligence;

(b) Unprofessional conduct or conduct tending to bring the profession into disrepute;

(d) Fraudulent or dishonest architectural practice;

(e) Use of false evidence or misrepresentation in an:

Application for licensing; or
License renewal application;

(f) Signing or affixing a seal to a plan, print, specifications for a building, or report which have not been prepared by the architect or an employee under the architect's supervision; and

(g) Failure to comply with continuing education requirements in 201 KAR 19:087.

(2) The following penalties may be imposed on an architect for unprofessional practice:

(a) Refusal of to grant a license;

(b) Refusal to renew or reissue a license;

(d) Imposition of probation;

(e) Suspension of a license; and

(f) Revocation of a license.

(3) The procedure for imposing a penalty on an architect shall be conducted in accordance with KRS Chapter 13B and KRS 323.130.

Section 2. Gross Incompetence and Gross Negligence Defined. The following acts or omissions by an architect shall be gross incompetence or gross negligence within the meaning of the law:

(1) Willfully failing to use reasonable care and diligence in the architect's professional practice, resulting in a building or structure being improperly constructed to the detriment of the occupants; and

(2) Willfully failing to use reasonable care and diligence in preparing drawings, specifications, and other documents relating to the design and construction of buildings for the protection of a client in all relationships as agent of the client.

Section 3. Unprofessional Conduct Defined. The following acts by an architect shall be "unprofessional conduct":

(1) Accepting compensation for architectural services from any entity other than the architect's client or employer;

(2) Offering or making a payment or gift to a government official (whether elected or appointed) with the intent to influence the official judgment in connection with a prospective or existing project in which the architect has an interest in providing architectural services;

(3)

(a) Offering or making a payment or gift, as an individual architect or as a participating member of a partnership or corporation, to an elected governmental official, candidate for governmental office, or the campaign of a candidate for governmental office, if the payment or gift is a violation of federal or state campaign finance laws or administrative regulations;

(b) Entering a plea of guilty or an "Alford" plea to, or having been found guilty of, or having been convicted of, a felony or misdemeanor involving the violation of federal or state campaign finance laws, and the time for appeal has lapsed or the judgment or conviction has been affirmed on appeal, irrespective of an order granting probation following the conviction, suspending imposition of sentence shall be conclusive proof of a violation of this section, and a certified copy of the judgment or order shall constitute sufficient proof of a violation;

(4) Offering or making any gifts, except gifts of nominal value (including, for example, reasonable entertainment and hospitality), with the intent to influence the judgment of an existing or prospective client in connection with a project in which the architect has an interest;

(5) Having a financial interest in the manufacture, sale, or installation of any component or process used in a project for which he or she is the architect unless the client has been advised and has waived any objection;

(6) Publicly endorsing a product, system, or service, or permitting the use of the architect's name or photograph to imply endorsement of a product, system, or service not designed or developed by him or her; or

(7) Using paid advertising on behalf of himself or herself, his or her partner, associate, or any other architect affiliated with the architect's firm, that contains a statement or claim which is false or tends to be misleading, deceptive, or unfair, or which makes material claims of superiority which cannot be substantiated rather than being designed to inform the public.

Section 4. Fraudulent or Dishonest Practice Defined. The following practices by an architect shall be "fraudulent or dishonest practice" within the meaning of the law:

(1) Making an untrue or deceitful statement in an application for examination or registration, or in an application for license renewal or in any other statements or representations to the board;

(2) Affixing the architect's seal to a drawing:

(a) For which he or she was not:

The author; or
In charge of preparing the plan; or

(b) Which was not prepared under his or her supervision;

(3) Bribing a person who may influence the selection of an architect;

(4) Willfully misleading or defrauding a person employing him or her as an architect;

(5) Willful violation of:

(a) A Kentucky or other state law relating to the practice of architecture; or

(b) 201 KAR Chapter 19; or

(6) Using, or attempting to use, or practicing under, a license that has been suspended or revoked or which has not been renewed as required by KRS Chapter 323 and 201 KAR Chapter 19.

Section 5. Registration while Working for Others.

(1) Without affecting the status of his or her registration, an architect may work as an employee of:

(a) Another architect; or

(b) A firm, if his or her duties are nonarchitectural.

(2) If an architect works as an architect for or with a nonarchitect or corporation not under the control of architects:

(a) He or she shall maintain:

Free and unbiased judgment;
Unrestrained use of his or her professional prerogatives and services to clients; and

(b) The terms of his or her employment shall permit full compliance with the:

Obligations of practice; and
201 KAR Chapter 19.

Section 6. Office Staffing. An office maintained for the preparation of drawings, specifications, reports and other professional work shall have a regularly employed architect duly registered with this board, in full authority and responsible charge, having direct knowledge and supervisory control of all work.

Section 7. Advertising.

(1) Advertising may include the name of the architect or firm, address, telephone number, a statement of the fields of practice, and a statement of the geographical area where services are rendered, and cost of services.

(2) An architect or architectural firm which advertises a fee for a specific service and accepts employment for that service shall perform for the amount stated, and a statement to that effect shall be included in every advertisement.

(3) Advertisements may be made by:

(a) Newspaper or magazine advertisements;

(b) Radio or television announcements;

(d) Internet or other advertisements offered through other electronic means.

History

RELATES TO: KRS 323.095, 323.120, 323.130
STATUTORY AUTHORITY: KRS 323.210(2), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) and (3) authorize the board to establish administrative regulations relating to architecture and continuing education requirements. This administrative regulation establishes what constitutes unprofessional practice, penalties for unprofessional practice, and further defines gross incompetence, gross negligence, unprofessional conduct, and fraudulent or dishonest practice.
History: 47 Ky.R.620, 1546; eff. 5-4-2021.

201 KAR 19:265 Individual seals; office titles {#sec-201-kar-19-265 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:265}

Section 1. Individual Seals Required. Each architect registered for practice within the Commonwealth of Kentucky shall sign, date, and imprint with the architect's seal all documents prepared by the architect or under architect's supervision, and shall secure and use for this purpose a seal of the following design:

(1) Two (2) concentric circles;

(a) The outer circle to be one and nine-sixteenths (1 9/16) inches in diameter and the inner circle to one (1) inch in diameter;

(b) The upper portion of the annular space between the two (2) circles shall bear the name of the registrant;

(d) The space enclosed by the inner circle shall be divided into an upper and lower half;

The upper portion shall consist of three (3) lines, the word "Registered," then the abbreviation "No.," and then the number of the certificate of the registrant; and
The lower portion shall contain, in three (3) lines, the words "Commonwealth of Kentucky."

(2) It shall be permissible to combine the names and registration numbers of two (2) or more registered architects from the same office on one (1) seal. The names of any persons who are not registered architects on any such combination shall not be permitted.

(3) It shall be made clear, by proper use of seal that only those who are licensed architects in Kentucky are in charge and fully responsible for the work involved.

(4) Examples of permissible seals may be found in the Sample Forms of the Prescribed Seal that contains examples of three (3) versions of the prescribed seal sample, including a partnership, an individual, and a firm version.

Section 2. Office and Firm Names.

(1)

(a) Title blocks and firm names used in connection with the practice of architecture in this state shall not:

Be misleading; or
Infer that unlicensed persons are architects; and

(b) Only those registered to practice in Kentucky shall be designated as architects.

(2) A firm name may be used without all members being registered if those architects who are licensed in Kentucky have the title "architect" applied only to them in subheadings or subtitles in defining the practice of the firm. Examples:

(a) If Smith, Jones, Miller, and Moore are all architects in their own state, but only Albert Smith is licensed in Kentucky and is fully responsible for work in this state:

(b) If all are licensed in Kentucky in the professions indicated:

(c) If Jones and Smith are both licensed in Kentucky and the firm has other members they wish to include in their office title:

Section 3. Incorporation by Reference.

(1) "Sample Forms of the Prescribed Seal", November 2020 Edition, is incorporated by reference.

History

RELATES TO: KRS 323.095
STATUTORY AUTHORITY: KRS 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.210(5) authorizes the board to promulgate administrative regulations to establish rules for the use of seals and signatures in electronic transactions. This administrative regulation establishes requirements for architects to use a seal on all documents and prescribes the dimensions and design of the seal.
History: 47 Ky.R. 622, 1548; eff. 5-4-2021.

201 KAR 19:270 Plans and specifications standards {#sec-201-kar-19-270 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:270}

Section 1. Standards Required.

(1) All plans and specifications and other documents prepared for use within the Commonwealth of Kentucky shall be of a standard sufficient to safeguard the public against misrepresentations and shall show and describe all essential parts of the design, details, and materials necessary.

(2) Each project shall meet the requirements of the city, county, state, and federal agencies having jurisdiction, including, agencies such as, the following:

(a) Department of Housing, Buildings and Construction;

(b) Local City and County Building Departments;

(d) Local Department of Education (For tax supported schools, grades 1 - 12);

(e) Kentucky Department for Environmental Protection (if impoundment, diversion, or pollution is involved); and

(f) Kentucky Energy and Environment Cabinet Division for Air Quality.

History

RELATES TO: KRS 323.020
STATUTORY AUTHORITY: KRS 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. This administrative regulation establishes standards to safeguard the public against misrepresentations and requires projects meet the requirements of governmental agencies.
History: 47 Ky.R. 624, 1548; eff. 5-4-2021.

201 KAR 19:275 Use of title ''architect'' {#sec-201-kar-19-275 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:275}

Section 1. Individuals only are Licensed. Registration is of individuals only. No corporation, association, or partnership may be registered as an architect. The word "architect" may be used to apply only to the names of individuals registered under the provisions of KRS Chapter 323.

History

RELATES TO: KRS 323.010, 323.230
STATUTORY AUTHORITY: KRS 323.210
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. This administrative regulation establishes requirements that relate to the use of the title of "Architect."
History: 47 Ky.R. 625, 1549; eff. 5-4-2021.

201 KAR 19:410 Accredited schools and colleges for certified interior designers {#sec-201-kar-19-410 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:410}

Section 1. Definitions.

(1) "Board" is defined by KRS 323.010(1) and 323.400(1).

(2) "CIDA" means the Council for Interior Design Certification which was formerly known as the Foundation for Interior Design Education Research (FIDER).

(3) "NAAB" means the National Architectural Accrediting Board.

Section 2.

(1) Schools and colleges of interior design that have professional degree programs accredited by CIDA or NAAB shall constitute the list of accredited programs.

(2) Education from a program of study on interior design other than a CIDA or NAAB accredited degree program shall be obtained from a school accredited by a regional accrediting agency recognized by the U.S. Department of Education.

History

RELATES TO: KRS 323.406(1), 323.408, 323.410
STATUTORY AUTHORITY: KRS 323.210(2), 323.406
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(1) authorizes the board to promulgate administrative regulations to establish educational criteria for those persons seeking certification as a certified interior designer. This administrative regulation establishes the list of programs from which degrees and education meet the criteria for certification.
History: 47 Ky.R. 626, 1549; eff. 5-4-2021.

201 KAR 19:415 Application for certification as an interior designer {#sec-201-kar-19-415 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:415}

Section 1. Application for Certification. Each applicant shall:

(1) Submit a notarized Application for Interior Designer Certification with a two (2) inch by two (2) inch passport photo;

(2) Comply with the requirements of KRS 323.400 through 323.416 and 201 KAR Chapter 19; and

(3) Submit applicable initial application and certification fees as established in 201 KAR 19:440.

Section 2. Incorporation by Reference.

(1) "Application for Interior Designer Certification", November 2020 Edition is incorporated by reference.

History

RELATES TO: KRS 323.400, 323.408(4), 323.410
STATUTORY AUTHORITY: KRS 323.210(2), 323.406
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406 authorizes the board to promulgate administrative regulations necessary to implement KRS 323.400 to 323.416. This administrative regulation establishes the procedures for the filing and processing of an application for certification as an interior designer.
History: 47 Ky.R. 627, 1549; eff. 5-4-2021.

201 KAR 19:420 Qualifications for certification {#sec-201-kar-19-420 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:420}

Section 1. Definitions.

(1) "Board" is defined by KRS 323.010(1) and 323.400(1).

(2) "CIDA" means the Council for Interior Design Certification which was formerly known as the Foundation for Interior Design Education Research (FIDER).

(3) "NAAB" means the National Architectural Accrediting Board.

Section 2. Accredited Degrees.

(1) The board shall determine if an applicant's education and experience in the field of interior design are sufficient to establish eligibility for certification.

(2) The board shall certify an applicant who has obtained:

(a) A four (4) or five (5) year professional accredited degree;

(b) At least two (2) years of acceptable full-time employment in the performance of interior design services, in accordance with Section 3 of this administrative regulation; and

Section 3. Degrees from Programs Not Accredited by CIDA or NAAB.

(1)

(a) In lieu of the education and experience requirements of Section 2(2)(a) and (b) of this administrative regulation, the board may find an applicant eligible for certification if, prior to January 1, 2012, the applicant:

Has received a degree from a program not accredited by CIDA or NAAB; and
Otherwise meets the requirements of this section.

(b) An applicant seeking to qualify under this section shall obtain a passing score on the NCIDQ examination.

(2) To qualify under this section, the applicant shall be a graduate of a nonaccredited program of:

(a) Five (5) years or more which included at least 150 semester credits, of which ninety (90) or more are interior design related, or 225 quarter credits, of which 135 or more are interior design related, and who has completed at least two (2) years of acceptable interior design experience;

(b) Four (4) years or more which included at least 120 semester credits, of which sixty (60) or more are interior design related, or 180 quarter credits, of which ninety (90) or more are interior design related, and who has completed at least three (3) years of acceptable interior design experience;

(c) Three (3) years or more which included at least sixty (60) semester credits of interior design related coursework, or ninety (90) quarter credits of interior design related coursework, and who has completed at least four (4) years of acceptable interior design experience; or

(d) Two (2) years or more which included at least forty (40) semester credits of interior design related coursework, or sixty (60) quarter credits of interior design related coursework, and who has completed five (5) years of acceptable interior design experience.

(3) The experience required by subsection (2) of this section shall meet the criteria established in this section.

Section 4.

(1) Full-time employment shall include at least thirty-five (35) hours per week in the performance of interior design services.

(2) To be acceptable, experience shall be obtained under the supervision of:

(a) An interior designer who has passed the NCIDQ examination;

(b) A licensed architect; or

Section 5. The board shall certify any architect licensed in the Commonwealth of Kentucky upon application and payment of the fee prescribed in 201 KAR 19:440, Section 1(3).

History

RELATES TO: KRS 323.010, 323.400, 323.406(1), 323.408, 323.410(1), (3)
STATUTORY AUTHORITY: KRS 323.210(2), 323.406(1), 323.410
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(1) authorizes the board to establish criteria of education, experience, and testing for those persons seeking certification as a certified interior designer that are reasonable and necessary. KRS 323.410(1)(c) requires the board issue a certificate as a certified interior designer to persons who meet the standards of education, experience, and testing established by the board. This administrative regulation establishes the requirements for obtaining certification as a certified interior designer.
History: 47 Ky.R. 629, 1549; eff. 5-4-2021.

201 KAR 19:425 Certification under education and experience criteria {#sec-201-kar-19-425 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:425}

Section 1.

(1) An applicant who seeks to qualify for certification under the criteria of KRS 323.410(3) shall meet the statutory requirements of education and experience of KRS 323.406(1).

(2) The board shall evaluate experience as follows:

(a) 1600 hours of full-time employment equals one (1) year of experience.

(b) A minimum of thirty-five (35) hours per week is considered full-time employment.

Analysis of a client's needs, goals, and life safety requirements for the interior space of a structure;
Integration of findings with knowledge of interior design;
Formulation of preliminary design concepts that are appropriate, functional, and aesthetic;
Development and presentation of final design recommendations through presentation media;
Preparation of working drawings and specifications for nonloadbearing interior construction, materials, finishes, space planning, furnishings, fixtures, and equipment;
Collaboration with professional services of other licensed practitioners in the technical areas of mechanical, electrical, and load-bearing design required for regulatory approval;
Preparation and administration of bids and contract documents as the client's agent;
Review and evaluation of design solutions during implementation and upon completion; and
Teaching full time in an interior design program accredited by the U.S. Department of Education.

(3) One (1) year of interior design education shall be documented by the successful completion of a minimum of either:

(a) Twenty (20) semester hours of interior design related coursework; or

(b) Thirty (30) quarter credits of interior design related coursework.

History

RELATES TO: KRS 323.400, 323.410
STATUTORY AUTHORITY: KRS 323.210(2), 323.406(1), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(1) and (3) authorize the board to promulgate administrative regulations to establish criteria for education and experience. This administrative regulation establishes the experience and education criteria for qualifying under KRS 323.406(1).
History: 47 Ky.R. 631, 1550; eff. 5-4-2021.

201 KAR 19:430 Certification by persons credentialed in other jurisdictions {#sec-201-kar-19-430 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:430}

Section 1. An interior designer credentialed in another jurisdiction shall obtain certification in Kentucky before using the title "Certified Interior Designer", in this jurisdiction, in accordance with KRS 323.402.

Section 2. An applicant credentialed as an interior designer in another jurisdiction shall provide documentation demonstrating that the standards for certification in the jurisdiction of the applicant's original certification met the requirements of KRS 323.410(1) and 201 KAR 19:420 at the time of the certification.

History

RELATES TO: KRS 323.400, 323.402, 323.408, 323.410
STATUTORY AUTHORITY: KRS 323.210(2), 323.406(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(1) authorizes the board to promulgate administrative regulations that establish criteria of education, experience, and testing for those persons seeking certification as an interior designer. KRS 323.410(3) requires the board to issue a certificate to a person credentialed as an interior designer under the laws of other jurisdictions subject to the criteria imposed by KRS 323.410(1). This administrative regulation establishes the requirements for obtaining certification under the conditions identified in KRS 323.410(3).
History: 47 Ky.R. 632, 1550; eff. 5-4-2021.

201 KAR 19:435 Certification renewal {#sec-201-kar-19-435 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:435}

Section 1. Certification Renewal.

(1)

(a) A certificate holder shall renew a certificate before October 1 of each calendar year.

(b) A certificate issued between April 1 and September 30 shall not require renewal until October 1 of the following year.

(2) A certificate holder seeking renewal shall submit:

(a) A completed Certification Renewal Application Form, incorporated in 201 KAR 19:445, Section 6(1); and

(b) The appropriate renewal fee established in 201 KAR 19:440.

(3)

(a) During a period of active military duty, a certified interior designer in military service may, upon written request to the board, be excused from paying the renewal fee until his or her active military service is terminated.

(b) The board shall issue a renewal certificate upon:

Notification of the applicant's return from active duty; and
Payment of the renewal fee for the then-current renewal cycle.

(4) The board shall revoke the certificate of a holder who has:

(a) Failed to pay the renewal fee on or before the 30th of November of the renewal period; and

(b) Not requested that his or her certification be placed on inactive status.

(5) A certified interior designer whose certificate has been revoked for failure to pay the renewal fee shall:

(a) Submit a completed application for reinstatement of certification on the Reactivation of Kentucky Certificate form;

(b) Pay the fees for all outstanding renewal periods occurring since the certificate was revoked, including the renewal period for which the certificate was revoked;

Place his or her certificate on inactive status; or
Pay the renewal fee within the time prescribed; and

(d) Include a signed affidavit that the certificate holder has not been in violation of the requirements of KRS 323.400 through 323.416 or 201 KAR Chapter 19.

Section 2. Inactive Status.

(1) The board shall grant inactive status to a certificate holder who requests inactive status.

(2) While on inactive status, the certificate holder shall not use the title "Certified Interior Designer".

(3) A certificate holder on inactive status who seeks to become reactivated shall complete at least twelve (12) hours of continuing education, in compliance with 201 KAR 19:445 for each year the certificate has been inactive.

(4) A certificate holder who has been on inactive status for more than seven (7) consecutive years, and who seeks reactivation, shall pass the NCIDQ examination.

Section 3. Incorporation by Reference.

(1) "Reactivation of Kentucky Certificate", November 2020 Edition, is incorporated by reference.

History

RELATES TO: KRS 323.400, 323.406, 323.416
STATUTORY AUTHORITY: KRS 323.210(2), 323.406(3), 323.416
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(3) authorizes the board to promulgate administrative regulations to establish a renewal process for certifications that have expired. KRS 323.416 requires the board to establish forms upon which applicants for renewal may demonstrate completion of the renewal requirements. This administrative regulation establishes the process for renewing a certification.
History: 47 Ky.R. 633, 1551; eff. 5-4-2021.

201 KAR 19:440 Fees for certification of interior designers {#sec-201-kar-19-440 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:440}

Section 1. Fee Schedule.

(1) The initial certification application fee for a qualified person, not a licensed architect, shall be $100.

(2) The fee for initial certification, including a certificate, shall be $250.

(3) The fee for initial certification for a licensed architect, including a certificate, shall be $150.

(4) The fee for certification renewal shall be $200.

Section 2.

(1) Each payment shall be by check made payable to "Kentucky State Treasurer".

(2) Fees shall not be refundable.

History

RELATES TO: KRS 323.400-323.416
STATUTORY AUTHORITY: KRS 323.210(2), 323.406(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(2) authorizes the board to promulgate administrative regulations to establish an initial certification fee and a renewal fee for certified interior designers. KRS 323.416(1) requires the board to establish forms upon which applicants for renewal may demonstrate completion of the renewal requirements. This administrative regulation establishes the fees related to certified interior designers.
History: 47 Ky.R. 635, 1551; eff. 5-4-2021.

201 KAR 19:445 Continuing education {#sec-201-kar-19-445 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:445}

Section 1. Definitions.

(1) "Elective topic" means a topic that is related to interior design.

(2) "Professional development unit" or "PDU" means a:

(a) Unit equal to fifty (50) minutes clock time for classroom education; or

(b) Customary time of completion prescribed by a vendor, if the board finds the time to be reasonable.

(3) "Relevant topic" means an area focused on the health, safety, and welfare of the public.

(4) "Self-directed activity" means:

(a) An unstructured self-study visit to an interior design significant site;

(b) A service to the public which uses the certified interior designer's expertise as an interior designer; or

(c) A business practice course related to new technology relevant to interior design, and, offered by a person qualified by education or experience.

(5) "Structured activity" means a relevant:

(a) College or university sponsored course;

(b) Seminar;

(d) Short course; or

(e) Professional or technical organization sponsored:

Program;
Course;
Self-study course; or
Monograph.

Section 2. Exemptions. An interior designer certified in Kentucky shall, in order to obtain annual certification renewal:

(1) Comply with this administrative regulation unless exempt because he or she is:

(a) A first-time certificate holder by examination or reciprocity;

(b) A civilian who serves on active duty in the United States Armed Forces for a period of time exceeding ninety (90) consecutive days during the annual report period;

(c) Certified from another jurisdiction that has a required continuing education program, if that jurisdiction accepts Kentucky requirements to satisfy its continuing education requirements and the certificate holder certifies that all requirements for current continuing education compliance and certification have been met in that jurisdiction;

(d) Is also a licensed architect who has met the requirements of 201 KAR 19:087; or

(e) Is on inactive status.

(2) A hardship case may be considered by the board.

Section 3. Requirements.

(1) A certified Kentucky interior designer shall:

(a) Obtain a total of twelve (12) PDU's per year, as required by KRS 323.416(1); and

(b) Report the PDU credits as a condition for certification renewal.

(2) The twelve (12) hours of continuing education shall be satisfied during the period beginning October 1 and ending September 30 of the following year.

(3) At least eight (8) PDU's shall consist of structured activities, addressing the following relevant topics:

(a) Codes, statutes, and administrative regulations related to the built environment;

(b) Environmental issues;

(d) State certification law;

(e) Design proficiency;

(f) New technology, including construction:

Material;
Methods;
Systems; or
Concepts.

(g) Interface, other than normal day-to-day contact, with a member of another design discipline, including an:

Architect;
Planner;
Consultant;
Financier; or
Consultant.

(h) Legal aspects, including:

Contract documents;
Insurance;
Bonds; and
Project administration.

(i) Specialization in:

Preservation;
Adaptive reuse; or
A building type.

(j) Study or consultation opportunity.

(4) A maximum of four (4) PDU's may consist of self-directed activities, addressing the following elective topics:

(a) Business or practice efficiency;

(b) Business development;

(d) New skills; or

(e) General education.

Section 4. Reporting and Recordkeeping.

(1) A certificate holder seeking certificate renewal shall submit to the board:

(a) A Certification Renewal Application Form, including a list of PDUs completed; and

(b) The renewal fee as established in 201 KAR 19:440.

(2) An incomplete submission shall be returned to the certificate holder.

(3) The board shall review a random sample of annual reports, composed of up to ten (10) percent of the number of issued certificates, to ensure accuracy and compliance.

(4) The certificate holder shall:

(a) Retain proof of participation in continuing education activities;

(b) Retain a record for continuing education for a period of two (2) years from the date of submission of the annual report to the board; and

(5) Proof of participation in continuing education activities shall include:

(a) A log showing the:

Activity claimed;
Sponsoring organization;
Location;
Duration; and
Date of activity;

(b) An attendance certificate;

(d) A paid receipt;

(e) A list of attendees signed by a person in charge of the activity; or

(f) Similar documentation.

(6) If continuing education credit is disallowed, the certificate holder shall have 180 calendar days after notification to:

(a) Substantiate the original claim; or

(b) Earn other continuing education credit to meet the minimum requirements.

Section 5. Noncompliance and Sanctions. Failure to fulfill the continuing education requirements or file the required annual report, properly completed and signed, shall result in nonrenewal of the interior designer's certification.

Section 6. Incorporation by Reference.

(1) "Certification Renewal Application Form", November 2020" is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the offices of the Kentucky Board of Architects, 155 East Main Street, Suite 300, Lexington, Kentucky 40507, Monday through Friday, 8 a.m. to 4 p.m.

History

RELATES TO: KRS 323.400-323.416
STATUTORY AUTHORITY: KRS 323.210(2), 323.416
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.416(1) requires certificate holders to meet continuing education requirements in order to renew certification. KRS 323.416(2) mandates certain topics to be covered. This administrative regulation establishes the requirements for continuing education.
History: 47 Ky.R. 636, 1552; eff. 5-4-2021.

201 KAR 19:450 Signature of documents by certified interior designers; use of title {#sec-201-kar-19-450 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:450}

Section 1. Certification shall be granted for individuals only. A corporation, association, or partnership shall not be certified as an interior designer.

Section 2. Office and Firm Names.

(1) A title block or firm name used in connection with the title of "certified interior designer" in this state shall:

(a) Not be misleading;

(b) Not infer that an uncertified person is a "certified interior designer";

(d) Include the certificate number of the certified interior designer if used in business or as a form of advertising.

(2) A firm name may be used without all members being certified if those certified interior designers who are certified in Kentucky have the title "certified interior designer" applied only to them in subheadings or subtitles in defining the services of the firm. Examples:

(a) If Smith and Jones are both certified interior designers in their own state, but only Albert Smith is certified in Kentucky and is fully responsible for work done in Kentucky:

(b) If each member is certified or licensed in Kentucky in the profession indicated:

Section 3. A certified interior designer who is certified by the Kentucky Board of Architects shall:

(1) Sign and affix his or her certification number to all documents prepared:

(a) By him or her; or

(b) Under his or her supervision; and

(2) Clearly identify himself or herself as a certified interior designer by including the title or its abbreviation on the document in association with his or her signature.

History

RELATES TO: KRS 323.402, 323.406(4), 323.408(3), 323.414(1)
STATUTORY AUTHORITY: KRS 323.210(2), 323.402, 323.406(4), 323.408(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.402 prohibits persons who are not certified by the board from using the title "certified interior designer." KRS 323.406(4) authorizes the board to promulgate administrative regulations to establish a process regarding the use of a certified interior designer's signature and certificate number, and KRS 323.408(3) requires the board to enforce the requirement that a certified interior designer include the certified interior designer's certificate number on all business and advertising documents. This administrative regulation establishes the requirements for use of the certified interior designer's signature and certificate number.
History: 47 Ky.R. 639, 1553; eff. 5-4-2021.

201 KAR 19:455 Misconduct {#sec-201-kar-19-455 omnilex-key=us-ky-regs-official--title-201--201 KAR 19:455}

Section 1. Misconduct. The following acts by a certified interior designer shall be "misconduct":

(1) Accepting compensation for interior design services from an entity other than his or her client or employer, unless the client or employer has notice and has waived objection;

(2) Offering or making a payment or gift to a government official, whether elected or appointed, with the intent to influence official judgment in connection with a prospective or existing project;

(3) Offering or making a payment or gift, as an individual certified interior designer or as a participating member of a partnership or corporation, to an elected governmental official, candidate for governmental office, or the campaign of a candidate for governmental office, if the payment or gift is a violation of federal or state campaign finance law;

(4) Having a court judgment entered, as described at KRS 323.412;

(5) Offering or making a gift, except a gift of nominal value, including, for example, reasonable entertainment and hospitality, with the intent to influence the judgment of an existing or prospective client in connection with a project in which the certified interior designer has an interest;

(6) Having a financial interest in the manufacture, sale, or installation of a component or process used in a project for which he or she is the certified interior designer, unless the client has been advised and has waived objection;

(7) Publicly endorsing a product, system, or service, or permitting the use of his or her name or photograph to imply endorsement of a product, system, or service not designed or developed by him or her; and

(8) Claiming to be the author of a plan, print, building specification, or report, or affixing his or her name to a drawing, which has not been prepared by the certified interior designer or an employee under the supervision of the certified interior designer.

Section 2. Fraudulent or Dishonest Activity. In addition to the prohibitions in KRS 323.412, the following practices by a certified interior designer shall be "fraudulent or dishonest behavior":

(1) Making untrue or deceitful statements or representations to the board;

(2) Bribing a person who may influence the selection of a certified interior designer;

(3) Willfully misleading or defrauding a person employing him or her as a certified interior designer;

(4) Willful violation of:

(a) A Kentucky or other state law relating to the title of certified interior designer; or

(b) An administrative regulation promulgated by the board; and.

(5) Using, or attempting to use, or working under, a certificate that has been suspended or revoked or which has not been renewed as required by law.

History

RELATES TO: KRS 323.408(1), 323.412
STATUTORY AUTHORITY: KRS 323.210(2), 323.406, 323.408(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 323.210(2) authorizes the board to promulgate administrative regulations necessary to carry out the purposes of KRS Chapter 323. KRS 323.406(4) authorizes the board to promulgate administrative regulations to establish a process regarding the use of a certified interior designer's signature. KRS 323.408(1) requires the board to administer and enforce the laws governing certified interior designers. This administrative regulation establishes what constitutes misconduct, and fraudulent or dishonest activity for certified interior designers.
History: 47 Ky.R. 640, 1553; eff. 5-4-2021.

Chapter 20 Board of Nursing

201 KAR 20:056 Advanced practice registered nurse licensure and certification requirements {#sec-201-kar-20-056 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:056}

Section 1. An applicant for licensure as an advanced practice registered nurse in Kentucky shall:

(1)

(a) Complete an Application for Licensure as an Advanced Practice Registered Nurse as required by 201 KAR 20:370, Section 1(1);

(b) Provide a copy of a current active registered nurse license or validation of registered nurse licensure if the state of licensure does not issue licensure cards;

(d) Comply with the requirements established in KRS 314.042 and this administrative regulation.

(2) If the applicant is applying only for a license as an advanced practice registered nurse, the applicant shall also:

(a) Provide a criminal record check by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI);

(b) Use the FBI Applicant Fingerprint Card;

(d) Complete the criminal record check within six (6) months of the date of the application; and

(e) If there are any misdemeanor or felony convictions, provide:

A certified or attested copy of the court record as required by 201 KAR 20:370, Section 1(3); and
A letter of explanation that addresses each conviction.

(3) An applicant shall not be licensed until:

(a) A report is received from the FBI pursuant to the request submitted under subsection (2) of this section and any conviction is addressed by the board; and

(b) A query is completed to the board's reporting agent to the National Practitioner Data Bank of the United States Department of Health and Human Services pursuant to KRS 218A.205(3)(h) and any relevant data on the applicant is received.

(4) An applicant shall provide evidence of completion of the jurisprudence examination required by KRS 314.042(1)(d).

Section 2. Education and Clinical Experience.

(1) An applicant for licensure as an advanced practice registered nurse shall complete an accredited education program that prepares a registered nurse for one (1) of the four (4) APRN roles established under Section 13(5) of this administrative regulation and clinical experience. This program shall conform to 201 KAR 20:062 or its substantial equivalence if from an out of state program.

(2)

(a) If the applicant for licensure as an advanced practice registered nurse completed a program of study after January 1, 2005, the applicant shall hold a master's degree, doctorate, or postmaster's certificate awarding academic credit by a college or university related to the advanced practice registered nurse designation.

(b) If the applicant for licensure as an advanced practice registered nurse completed a program of study before January 1, 2005, the program shall be evaluated by the board on an individual basis to find if the program sufficiently prepares a student for advanced practice registered nursing by complying with the requirements of 201 KAR 20:062.

Section 3. National Certifying Organizations.

(1) A nationally established organization or agency that certifies registered nurses for advanced practice registered nursing shall be recognized by the board if it meets the following criteria:

(a) The certifying body is an established national nursing organization or a subdivision of this type of organization;

(b) Eligibility requirements for certification are delineated;

(c) Certification is offered in a role as established in KRS 314.042(6)(a) and in a population focus as defined by KRS 314.011 and with primary or acute care competencies;

(d) Scope and standards of practice statements are promulgated;

(e) Mechanism for determining continuing competency is established; and

(f) The certifying body is accredited by the American Board of Nursing Specialties or the National Commission for Certifying Agencies.

(2) The board recognizes the following national certifying organizations:

(a) American Nurses Credentialing Center;

(b) American Midwifery Certification Board;

(d) Pediatric Nursing Certification Board;

(e) National Certification Corporation;

(f) American Academy of Nurse Practitioners Certification Board; and

(g) American Association of Critical-Care Nurses Certification Corporation.

(3) The board recognizes the Oncology Nursing Certification Corporation only for an individual who has received certification prior to December 15, 2010, and who has continually renewed his or her Kentucky advanced practice registered nurse license since that date.

Section 4. Practice Pending Licensure.

(1) A registered nurse who meets all of the requirements for practice as an advanced practice registered nurse, and who holds a registered nurse temporary work permit issued pursuant to 201 KAR 20:110 pending licensure by endorsement or a privilege to practice as a registered nurse, shall be authorized to practice as an advanced practice registered nurse for a period of time not to exceed the expiration date of the temporary work permit.

(2) Authorization to practice pursuant to this section shall be in the form of a letter from the board acknowledging that the applicant has met all the requirements of this section. An applicant shall not practice until the authorization letter has been issued.

(3) An individual authorized to practice pursuant to subsection (1) of this section may use the title "advanced practice registered nurse" or "APRN".

Section 5. Provisional License.

(1) An applicant who meets the requirements of KRS 314.042(2) may request a provisional license by completing the application for licensure required by Section 1 of this administrative regulation.

(2)

(a) The board shall issue the provisional license to the applicant after the requirements of Section 1 of this administrative regulation are met.

(b) In the case of a graduate of a foreign nursing school, the board shall issue the provisional license after the requirements of 201 KAR 20:480 are met.

(3) The applicant shall not prescribe medications and shall only practice under a mentorship with an advanced practice registered nurse or a physician.

(a) To qualify as a mentorship pursuant to KRS 314.042(3), the APRN or physician responsible for the applicant shall be physically present and immediately available to the applicant during work hours while the applicant holds a provisional license; and

(b) The APRN or physician mentoring the applicant shall be currently licensed in Kentucky.

(4) Upon notification to the board that the applicant has failed the national certification exam after two (2) attempts, the provisional license shall be voided. The applicant shall:

(a) Notify the board within forty-eight (48) hours; and

(b) Cease practicing under the provisional license provided by this section.

(5) An individual authorized to practice pursuant to subsection (1) of this section may use the title "advanced practice registered nurse applicant" or "APRNA".

(6) A provisional license shall be valid for a period not to exceed six (6) months.

Section 6. License Renewal.

(1) The advanced practice registered nurse license shall expire or lapse when the registered nurse license or privilege expires or lapses.

(2) To be eligible for renewal of the license as an advanced practice registered nurse, the applicant shall:

(a) Renew the registered nurse license or privilege on an active status;

(b) Submit a completed Annual Licensure Renewal Application: RN and APRN or a completed Annual Licensure Renewal Application: APRN with RN Compact License (not Kentucky) form, as applicable, and as required by 201 KAR 20:370, Section 1(1);

(d) Maintain current certification by a recognized national certifying organization.

(3) An advanced practice registered nurse who fails to renew the registered nurse license or privilege or is otherwise unable to legally practice as a registered nurse shall not practice as or use the title of advanced practice registered nurse until:

(a) A current active license has been issued by the board or a privilege is recognized by the board; and

(b) The advanced practice registered nurse license has been reinstated.

(4) An advanced practice registered nurse shall provide to the board evidence of current certification by a recognized national certifying organization upon recertification or at the request of the board.

Section 7. License Reinstatement.

(1) If a nurse fails to renew the advanced practice registered nurse license as prescribed by KRS 314.042 and this administrative regulation, the license shall lapse on the last day of the licensure period.

(2) To be eligible for reinstatement of the advanced practice registered nurse license, the applicant shall:

(a) Submit a completed Application for Licensure as an Advanced Practice Registered Nurse form as required by 201 KAR 20:370, Section 1(1);

(b) Submit the current reinstatement application fee, as established in 201 KAR 20:240, Section 1(2)(l); and

(3) If the applicant is applying for reinstatement of a license as an advanced practice registered nurse, the applicant shall also:

(a) Provide a criminal record check by the KSP and the FBI;

(b) Use the FBI Applicant Fingerprint Card;

(d) Complete the criminal record check within six (6) months of the date of the application; and

(e) If there are any misdemeanor or felony convictions, provide:

A certified or attested copy of the court record of any misdemeanor or felony conviction as required by 201 KAR 20:370, Section 1(3); and
A letter of explanation that addresses each conviction, if applicable.

(4) The license shall not be issued until a report is received from the FBI and any conviction is addressed by the board.

Section 8. Certification or Recertification.

(1)

(a) An advanced practice registered nurse (APRN) shall maintain current certification or recertification from one (1) of the national organizations recognized in Section 3 of this administrative regulation throughout the licensure period.

(b) The APRN shall notify the board if current certification or recertification has been obtained and provide evidence of the certification or recertification prior to the expiration date.

(2)

(a) A nurse who fails to attain current, active certification or recertification from one (1) of the national organizations recognized in Section 3 of this administrative regulation shall not practice or use the title of advanced practice registered nurse (APRN) until current certification or recertification is obtained.

(b)

An APRN who does not provide evidence of current certification or recertification prior to its expiration date shall have the APRN license voided. This action shall not be considered to be a disciplinary action. The board shall send written notice to the APRN if the license has been voided.
The APRN may request a hearing on this action by submitting the request in writing. If a hearing is requested and the order of the board is adverse to the APRN, the board may impose the costs pursuant to 201 KAR 20:162, Section 7. If the action is upheld or not challenged, the APRN may seek reinstatement of the license in accordance with Section 7 of this administrative regulation, except as provided in subparagraph 3 of this paragraph.
If, after the APRN license has been voided, the APRN provides evidence of current certification acquired before the certification expiration date and there are no complaints pending against the APRN pursuant to 201 KAR 20:161 that indicate that reinstatement would create an immediate danger to the public health, safety, or welfare, then the APRN shall meet the requirements of Section 7 of this administrative regulation except for Section 7(4) of this administrative regulation. A license may be issued prior to receipt of the FBI report in such cases.

(3) An advanced practice registered nurse whose certification lapses or is not renewed by the appropriate national organization shall:

(a) Notify the board of that fact; and

(b) Not practice as or use the title of advanced practice registered nurse during the period of decertification.

Section 9.

(1) An application shall be valid for a period of one (1) year from the date of submission to the board.

(2) After one (1) year from the date of application, the applicant shall be required to reapply.

Section 10. The requirements of this administrative regulation shall not prohibit the supervised practice of a nurse enrolled in:

(1) An accredited educational program for preparation for advanced practice registered nursing; or

(2) An advanced practice registered nurse refresher course.

Section 11. A registered nurse who holds himself or herself out as a clinical nurse specialist or is known as a clinical nurse specialist shall be required to be licensed as an advanced practice registered nurse if his or her practice includes the performance of advanced practice registered nursing.

Section 12. A nurse practicing as an advanced practice registered nurse who is not licensed as an advanced practice registered nurse by the board, an advanced practice registered nurse whose practice is inconsistent with the population focus to which he or she has been designated, or an advanced practice registered nurse who does not recertify and continues to practice as an advanced practice registered nurse shall be subject to the disciplinary procedures established in KRS 314.091.

Section 13. Dual Designations.

(1) An advanced practice registered nurse who wishes to practice in more than one (1) role designation shall complete an accredited educational program of study and clinical experience for each desired designation in compliance with the educational requirements established in KRS Chapter 314 and 201 KAR 20:062 and meet all the requirements for licensure for each designation.

(2) To apply for licensure for more than one (1) role designation, the applicant shall submit a separate application and fee for each desired designation.

(3) To renew each role designation, the APRN shall pay a separate licensure fee as set forth in 201 KAR 20:240, Section 1(2)(k).

(4) For the purposes of Section 8(2)(b) of this administrative regulation, if the APRN does not provide evidence of current recertification in a role designation, then that role designation shall be voided. The license shall not be voided if the other role designation is maintained. All other provisions of Section 8(2)(b) of this administrative regulation shall apply to the voided designation.

(5) Role designations shall be the Certified Registered Nurse Anesthetist, Certified Nurse Midwife, Certified Nurse Practitioner, and Clinical Nurse Specialist pursuant to KRS 314.042.

History

RELATES TO: KRS 218A.205(3)(h), (8), 314.011, 314.042, 314.091, 314.103, 314.109, 314.161, 314.475
STATUTORY AUTHORITY: KRS 218A.205(3)(h), (8), 314.042, 314.103, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 218A.205(3)(h) requires the board to establish by administrative regulation for licensees authorized to dispense or prescribe controlled substances the process for submitting a query on each applicant to the National Practitioner Data Bank. KRS 218A.205(8) requires the board to require for any applicant for an initial licensure that authorizes the prescribing or dispensing of controlled substances to complete a state and national criminal records check. KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.042 requires the licensure of an advanced practice registered nurse and authorizes the board to promulgate administrative regulations establishing licensing requirements. KRS 314.103 authorizes the board to require a criminal background investigation of an applicant or a nurse. This administrative regulation establishes the requirements for licensure, renewal, and reinstatement, education, and recognition of a national certifying organization.
History: 6 Ky.R. 651; 7 Ky.R. 309; eff. 11-6-1980; 9 Ky.R. 1027; eff. 4-6-1986; 11 Ky.R. 1445; eff. 5-14-1985; 12 Ky.R. 1523; eff. 4-17-1986; 18 Ky.R. 331; 997; eff. 9-24-1991; 19 Ky.R. 2664; 20 Ky.R. 302; eff. 8-6-1993; 3216; eff. 8-4-1994; 24 Ky.R. 2421; 25 Ky.R. 60; eff. 7-9-1998; 27 Ky.R. 817; 1246; eff. 11-17-2000; 29 Ky.R. 2118; 2448; eff. 4-11-2003; 30 Ky.R. 2544; 31 Ky.R. 337; eff. 8-24-2004; 32 Ky.R. 283; eff. 10-19-2005; 33 Ky.R. 509; 1067; eff. 10-18-2006; 34 Ky.R. 1781; 2182; eff. 5-2-2008; 35 Ky.R. 2787; eff. 8-12-2009; 37 Ky.R. 419; 1215; eff. 12-15-2010; 2043; eff. 5-6-2011; 2892; 38 Ky.R. 235; eff. 8-17-2011; 38 Ky.R. 1358; 1547; eff. 3-21-2012; 39 Ky.R. 533; 1383; eff. 2-1-2013; 40 Ky.R. 1323; 1705; eff. 2-19-2014; 2596; 41 Ky.R. 17; eff. 8-1-2014; 42 Ky.R. 480; 1133; eff. 11-6-2015; 43 Ky.R. 1799, 2125; eff. 6-21-2017; 44 Ky.R. 2237, 2473; eff. 6-20-2018; 45 Ky.R. 1733, 2702; eff. 3-13-2019; 50 Ky.R. 859; eff. 1-18-2024; 51 Ky.R. 371, 872; eff. 11-18-2024.

201 KAR 20:057 Scope and standards of practice of advanced practice registered nurses {#sec-201-kar-20-057 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:057}

Section 1. Definitions.

(1) "Collaboration" means the relationship between the advanced practice registered nurse (APRN) and a physician in the provision of prescription medication, including both autonomous and cooperative decision-making, with the APRN and the physician contributing their respective expertise.

(2) "Collaborative Agreement for the Advanced Practice Registered Nurse's Prescriptive Authority for Controlled Substances" or "CAPA-CS" means the written document pursuant to KRS 314.042(11).

(3) "Collaborative Agreement for the Advanced Practice Registered Nurse's Prescriptive Authority for Nonscheduled Legend Drugs" or "CAPA-NS" means the written document required by KRS 314.042(12).

(4) "Good standing" is defined by KRS 314.039.

(5) "Immediate family member" means a spouse, parent, parent-in-law, stepparent, child, stepchild, son-in-law, daughter-in-law, sibling, stepsibling, brother-in-law, sister-in-law, grandparent, grandchild, spouse of grandparent or grandchild, or other person residing in the same residence as the APRN.

(6) "KBML" means the Kentucky Board of Medical Licensure.

(7) "PDMP" means the electronic prescription drug monitoring program system for monitoring scheduled controlled substances and medicinal cannabis currently in use in Kentucky pursuant to KRS 218A.202, including the Kentucky All Schedule Prescription Electronic Reporting (KASPER) System.

Section 2.

(1) The practice of the APRN shall be in accordance with the standards and functions established in scope and standards of practice statements adopted by the board in subsection (2) of this section.

(2) The following scope and standards of practice statements shall be adopted:

(a) AACN Scope and Standards for Adult-Gerontology and Pediatric Acute Care Nurse Practitioner;

(b) AACN Scope and Standards for Acute Care Clinical Nurse Specialist Practice;

(d) Nursing: Scope and Standards of Practice;

(e) Pediatric Nursing: Scope and Standards of Practice;

(f) Psychiatric- Mental Health Nursing: Scope and Standards of Practice;

(g) Scope of Practice for Nurse Practitioners;

(h) Standards of Practice for Nurse Practitioners;

(i) Scope of Nurse Anesthesia Practice;

(j) Standards for Nurse Anesthesia Practice;

(k) Standards for the Practice of Midwifery;

(l) Oncology Nursing Scope and Standards of Practice;

(m) The Women's Health Nurse Practitioner: Guidelines for Practice and Education;

(n) Definition of Midwifery and Scope of Practice of Certified Nurse-Midwives and Certified Midwives; and

(o) Standards for Professional Nursing Practice in the Care of Women, Newborns, and People Across the Life Span.

Section 3. CAPA-CS Practice Requirements for APRNs.

(1) In the performance of advanced practice registered nursing, the APRN shall seek consultation or referral in those situations outside the APRN's scope of practice.

(2) An APRN wishing to have a CAPA-CS in the first year of the APRN's licensure shall be employed by a health care entity or provider. If the employing provider is an APRN, the employing APRN shall have been granted an exemption under Section 7 of this administrative regulation.

(3) During the term of the CAPA-CS, the APRN and the collaborating physician shall meet in person or via video conferencing, or by phone if in person or video conferencing is not feasible, to review the APRN's reverse PDMP queries since the last review with the collaborating physician. The review may include information from the patient's medical record that relates to the condition or conditions being treated with controlled substances by the APRN.

(a) Both the APRN and the physician shall maintain a written record of:

The meeting date;
A summary of the discussions; and
Any recommendations made.

(b) The record shall be maintained by both parties for a period of one (1) year past the expiration of the APRN CAPA-CS.

(c) The APRN's meeting records shall be subject to audit by the board and the physician's records shall be subject to audit by the KBML. The sole purpose of the audit shall be to document that the collaboration meetings have taken place to verify compliance with this section.

(4) In the first year of the CAPA-CS, the APRN and a physician shall meet at least quarterly.

(5) In the ensuing three (3) years of the CAPA-CS, the APRN and the physician shall meet at least biannually.

Section 4. Advanced practice registered nursing shall include prescribing and administering medications, as well as ordering treatments, devices, diagnostic tests, and performing certain procedures that shall be consistent with the scope and standards of practice of the APRN.

Section 5. Advanced practice registered nursing shall not preclude the practice by the APRN of registered nursing practice as defined by KRS 314.011(6).

Section 6.

(1)

(a) A CAPA-NS and a CAPA-CS shall include the:

Name;
Practice address;
Phone number;
License number of both the APRN and each physician who is a party to the agreement; and
Population focus and area of practice of the APRN and each physician.

(b) An APRN shall use a CAPA-NS Agreement Form.

(2)

(a) To notify the board of the existence of a CAPA-NS pursuant to KRS 314.042(8)(b), the APRN shall submit an online notification as established in paragraph (e) of this subsection.

(b) To notify the board that the requirements of KRS 314.042(9) have been met and that the APRN will be prescribing nonscheduled legend drugs without a CAPA-NS, the APRN shall submit an online notification as established in paragraph (e) of this subsection.

(c) To notify the board of the existence of a CAPA-CS pursuant to KRS 314.042(11)(b), the APRN shall submit an online notification as established in paragraph (e) of this subsection.

(d) To notify the board that the requirements of KRS 314.042(14) have been met and request that the APRN be exempt from prescribing scheduled legend drugs under a CAPA-CS, the APRN shall complete the request for APRN exemption from CAPA-CS prescriptive authority and pay the listed fee in 201 KAR 20:240, Section 3(1)(e). Each submitted request shall be subject to the fee, regardless of whether the board grants the exemption after making a determination under Section 7 of this administrative regulation.

(e) Each notification, recission, and exemption request shall be submitted by the APRN to the board via the online KBN Nurse Portal at www.kbn.ky.gov, and shall include the information and documentation required by subsection (1) of this section and this subsection.

(f) Upon request by the board, the APRN shall furnish to the board a copy of the executed CAPA-NS Agreement Form or Standardized CAPA-CS Agreement Form.

(3) For purposes of the CAPA-NS and the CAPA-CS, in determining whether the APRN and the collaborating physician are qualified in the same or a similar specialty, the board shall consider the facts of each situation and the scope of the APRN's and the physician's actual practice.

(4) An APRN with controlled substance prescriptive authority, shall:

(a) Obtain a United States Drug Enforcement Administration (DEA) Controlled Substance Registration Certificate and shall report the APRN's Kentucky DEA number, and any change in the status of a certificate by providing a copy of each registration certificate to the board within thirty (30) days of issuance.

(b) Register for a master account with the PDMP, within thirty (30) days of obtaining a DEA Controlled Substance Registration Certificate, and prior to prescribing controlled substances. A copy of the PDMP master account registration certificate shall be submitted to the board via the online KBN Nurse Portal within thirty (30) days of receipt of confirmation of registration by the PDMP.

(5) An APRN shall report any changes to a CAPA-NS or a CAPA-CS to the board within thirty (30) days.

(6) If an APRN's CAPA-NS or CAPA-CS ends unexpectedly for reasons outside the APRN's control such as being ended by the physician without notice, the physician's license becoming no longer valid in Kentucky, or the death of a physician, the APRN may continue to prescribe for thirty (30) days, after documenting in each patient's medical record the applicant's professional determination that the continued prescribing is justified based on the individual facts applicable to the patient's diagnosis and treatment. This thirty (30) day grace period shall not be extended or occur successively.

(7) An APRN with a CAPA-NS or a CAPA-CS shall report a practice address to the board. A change to the practice address shall be reported to the board within thirty (30) days.

(8) All documents and information required to be reported to the board by this section shall be reported by uploading the document or information through the board's Web site, https://kbn.ky.gov. The board shall not accept documents or information sent in any other format.

Section 7. CAPA-CS Exemption Review Request.

(1) An APRN who wishes to request a CAPA-CS exemption pursuant to KRS 314.042(14) shall:

(a) Complete a CAPA-CS exemption review request on the board's Web site as required in Section 6(8) of this administrative regulation;

(b) Submit the fee required by 201 KAR 20:240, Section 3(1)(e); and

(2) Upon receipt of the CAPA-CS exemption review request, the board shall verify the following:

(a) The APRN has had four (4) years of controlled substance prescribing authority;

(b) The APRN's license is in good standing;

(d) The APRN has maintained a PDMP registration and a current registration is on file with the board;

(e) That a current Notification of a CAPA-CS for the APRN is on record with the board; and

(f) The APRN has an active account with the PDMP.

(3) Upon receipt of the CAPA-CS exemption review request, the board shall:

(a) Perform a criminal background check for any unreported misdemeanor or felony convictions in Kentucky; and

(b) Perform a check of the coordinated licensure information system specified in KRS 314.475 for any unreported disciplinary actions in another state.

(4) The APRN submitting the request shall cooperate with supplemental requests for documentation before the board makes a determination that the APRN's license is in good standing pursuant to KRS 314.042(14).

(5) An APRN wishing to practice in Kentucky through licensure by endorsement may request an exemption under this section.

(a) An APRN wishing to practice in Kentucky through licensure by endorsement is exempt from the CAPA-CS requirement if the APRN:

Has met the prescribing requirements for controlled substances in a state that grants such prescribing authority to APRNs;
Has had authority to prescribe controlled substances for at least four (4) years; and
Has a license in good standing.

(b) An APRN wishing to practice in Kentucky through licensure by endorsement who has had the authority to prescribe controlled substances for less than four (4) years and wishes to continue to prescribe controlled substances shall enter into a CAPA-CS with a physician licensed in Kentucky and comply with the provisions of KRS 314.042(11), until the requirements of this section are met.

(6) If the board determines that the APRN is eligible for the exemption after a review and determination of the exemption request under this section, the board shall notify the APRN in writing that the CAPA-CS is no longer required. The board shall not require the APRN to maintain a CAPA-CS as a condition to prescribe controlled substances unless the board imposes the requirement as part of an action instituted under KRS 314.091(1).

(7) If the board denies the exemption request, the denial shall be in writing and shall state the reasons for the denial. The requestor may request a hearing pursuant to KRS Chapter 13B within twenty (20) days of receiving written notification of the denial. If a hearing is requested and the order of the board is adverse to the advance practice registered nurse, the board may impose costs pursuant to 201 KAR 20:162, Section 7.

(8) The APRN nurse shall not prescribe controlled substances without a CAPA-CS until the board has completed its review and has notified the APRN in writing that the APRN is exempt from the CAPA-CS requirement.

Section 8. Prescribing Medications without Prescriptive Authority. Prescribing nonscheduled legend drugs without a CAPA-NS or prescribing controlled substances without a CAPA-CS shall constitute a violation of KRS 314.091(1), unless:

(1) In the case of nonscheduled legend drugs, the CAPA-NS has been discontinued pursuant to KRS 314.042(9) or if the prescribing occurred within the grace period established in Section 6(6) of this administrative regulation; or

(2) In the case of controlled substances, the APRN was granted an CAPA-CS exemption by the board under KRS 314.042(14)(e) prior to the date the medications were prescribed.

Section 9. The board may make an unannounced visit to an APRN's practice to determine if it is consistent with the requirements established by KRS Chapter 314 and 201 KAR Chapter 20. Patient and prescribing records shall be made available for immediate inspection.

Section 10. Prescribing Standards for Controlled Substances.

(1)

(a) This section shall apply to APRNs with controlled substance prescriptive authority. It also applies to the utilization of the PDMP.

(b) The APRN shall practice according to the applicable scope and standards of practice for the APRN's role and population focus. This section does not alter the prescribing limits established in KRS 314.011(8).

(2) Prior to the initial prescribing of a controlled substance to a patient, the APRN shall:

(a) Obtain the patient's medical history, including history of substance use, and conduct an examination of the patient and document the information in the patient's medical record. An APRN certified in psychiatric-mental health shall obtain a medical and psychiatric history, perform a mental health assessment, and document the information in the patient's medical record;

(b) Query the PDMP for the twelve (12) month period immediately preceding the request for available data on the patient and maintain all PDMP report identification numbers and the date of issuance of each PDMP report in the patient's record;

(c) Develop a written treatment plan stating the objectives of the treatment and further diagnostic examinations required; and

(d) Discuss with the patient, the patient's parent if the patient is an unemancipated minor child, or the patient's legal guardian or health care surrogate:

The risks and benefits of the use of controlled substances, including the risk of tolerance and drug dependence;
That the controlled substance shall be discontinued once the condition requiring its use has resolved; and
Document that the discussion occurred and obtain written consent for the treatment.

(3) The treatment plan shall include an exit strategy, if appropriate, including potential discontinuation of the use of controlled substances.

(4) For subsequent or continuing long-term prescriptions of a controlled substance for the same medical complaint, the APRN shall:

(a) Update the patient's medical history and document the information in the patient's medical record;

(b) Modify and document changes to the treatment plan as clinically appropriate; and

(c) Discuss the risks and benefits of any new controlled substances prescribed, including the risk of tolerance and drug dependence with the patient, the patient's parent if the patient is an unemancipated minor child, or the patient's legal guardian or health care surrogate.

(5) During the course of treatment, the APRN shall query the PDMP no less than once every three (3) months for the twelve (12) month period immediately preceding the request for available data on the patient. The APRN shall maintain in the patient's record all PDMP report identification numbers and the date of issuance of each PDMP report or a copy or saved image of the PDMP report. If neither an identification number nor an image can be saved to the patient's record as a result of technical limitations of the APRN's electronic health record system, the APRN shall make a concurrent note in the patient's record documenting the date and time that the APRN reviewed the patient's PDMP report.

(6) These requirements may be satisfied by other licensed practitioners in a single group practice if:

(a) Each licensed practitioner involved has lawful access to the patient's medical record;

(b) Each licensed practitioner performing an action to meet these requirements is acting within the scope of practice of his or her profession; and

(7) If prescribing a controlled substance for the treatment of chronic, non-cancer pain, the APRN, in addition to the requirements of this section, shall obtain a baseline drug screen and further random drug screens if the APRN:

(a) Finds a drug screen clinically appropriate; or

(b) Believes that it is appropriate to determine whether the controlled substance is being taken by the patient.

(8) If prescribing a controlled substance for the treatment of a mental health condition, the APRN shall meet the requirements of this section and KRS 314.011(8)(a) and (b).

(9) Prior to prescribing a controlled substance for a patient in the emergency department of a hospital that is not an emergency situation, the APRN shall:

(a) Obtain the patient's medical history, conduct an examination of the patient, and document the information in the patient's medical record. An APRN certified in psychiatric - mental health shall obtain a medical and psychiatric history, perform a mental health assessment, and document the information in the patient's medical record;

(b) Query the PDMP for the twelve (12) month period immediately preceding the request for available data on the patient and document the data in the patient's record;

(c) Develop a written treatment plan stating the objectives of the treatment and further diagnostic examinations required; and

(d) Discuss the risks and benefits of the use of controlled substances with the patient, the patient's parent if the patient is an unemancipated minor child, the patient's legal guardian, or health care surrogate, including the risks of tolerance and drug dependence, and document that the discussion occurred and that the patient consented to that treatment.

(10) For each patient for whom an APRN prescribes a controlled substance, the APRN shall keep accurate, readily accessible, and complete medical records, which include:

(a) Medical history and physical or mental health examination;

(b) Diagnostic, therapeutic, and laboratory results;

(d) Treatment objectives;

(e) Discussion of risk, benefits, and limitations of treatments;

(f) Treatments;

(g) Medications, including date, type, dosage, and quantity prescribed;

(h) Instructions and agreements;

(i) Periodic reviews of the patient's file; and

(j) The date and time of therequest and review of each PDMP query.

(11) The requirement to query the PDMP shall not apply to:

(a) An APRN prescribing or administering a controlled substance immediately prior to, during, or within the fourteen (14) days following an operative or invasive procedure or a delivery if the prescribing or administering is medically related to the operative or invasive procedure of the delivery and the medication usage does not extend beyond the fourteen (14) days;

(b) An APRN prescribing or administering a controlled substance necessary to treat a patient in an emergency situation; or

For administration in a hospital or long-term-care facility with an institutional account, or an APRN in a hospital or facility without an institutional account, if the hospital, long-term-care facility, or licensee queries the PDMP for all available data on the patient or resident for the twelve (12) month period immediately preceding the query within twelve (12) hours of the patient's or resident's admission and places a copy of the query in the patient's or resident's medical records during the duration of the patient's stay at the facility;
As part of the patient's hospice or end-of-life treatment;
For the treatment of pain associated with cancer or with the treatment of cancer;
To assist a patient with submitting to a diagnostic test or procedure;
Within seven (7) days of an initial prescription pursuant to subsection (1) of this section if the prescriber:

a. Substitutes a controlled substance for the initial prescribing;

b. Cancels any refills for the initial prescription; and

c. Requires the patient to dispose of any remaining unconsumed medication;

Within ninety (90) days of an initial prescription pursuant to subsection (1) of this section if the prescribing is done by another licensee in the same practice or in an existing coverage arrangement, if done for the same patient for the same condition;
To a research subject enrolled in a research protocol approved by an institutional review board that has an active federal-wide assurance number from the United States Department of Health and Human Services, Office for Human Research Protections if the research involves single, double, or triple blind drug administration or is additionally covered by a certificate of confidentiality from the National Institutes of Health;
During the effective period of any disaster or situation with mass casualties that have a direct impact on the APRN's practice;
As part of the administering or ordering of controlled substances to prisoners in a state, county, or municipal correctional facility;
That is a Schedule IV controlled substance for no longer than three (3) days for an established patient to assist the patient in responding to the anxiety of a nonrecurring event; or
That is classified as a Schedule V controlled substance.

(12) In accordance with 21 C.F.R. 1306.12(b)(1)(iv) - (v), federal regulation 21 C.F.R. 1306.12(b) concerning the issuance of multiple prescriptions for Schedule II controlled substances shall not apply to APRNs in this state.

(13) No less than once every six (6) months, an APRN who holds a DEA Controlled Substance Registration Certificate shall query and review the PDMP for the preceding six (6) months to determine if the information contained in the PDMP is correct. If the information is incorrect, the APRN shall comply with 902 KAR 55:110 and take the necessary steps to seek correction of the information, by:

(a) First contacting the reporting pharmacy;

(b) Contacting law enforcement if suspected fraudulent activity; or

(c) Contacting the Drug Enforcement Professional Practices Branch, Office of Inspector General, Cabinet for Health and Family Services.

(14) An APRN shall not issue a prescription for hydrocodone combination products for more than a three (3) day supply if the prescription is intended to treat pain as an acute medical condition, except if:

(a) The APRN, in his or her professional judgment, believes that more than a three (3) day supply of hydrocodone combination products is medically necessary to treat the patient's pain as an acute medical condition and the APRN adequately documents the acute medical condition and lack of alternative treatment options that justifies deviation from the three (3) day supply limit on the patient's medical records;

(b) The prescription for hydrocodone combination products is prescribed to treat chronic pain;

(c) The prescription for hydrocodone combination products is prescribed to treat pain associated with a valid cancer diagnosis;

(d) The prescription for hydrocodone combination products is prescribed to treat pain while the patient is receiving hospice or end-of-life treatment;

(e) The prescription for hydrocodone combination products is prescribed to treat pain following a major surgery, which is any operative or invasive procedure or a delivery, or the treatment of significant trauma; or

(f) Hydrocodone combination products are administered directly to an ultimate user in an inpatient setting.

(15) Prescriptions written for hydrocodone combination products pursuant to subsection (14)(a) through (g) of this section shall not exceed thirty (30) days without any refill.

(16) An APRN may prescribe electronically. Electronic prescription shall be as established in KRS 218A.171.

(17) For any prescription for a controlled substance, the prescribing APRN shall discuss with the patient the effect the patient's medical condition and medication may have on the patient's ability to safely operate a vehicle in any mode of transportation.

Section 11. Immediate Family Member and Self-prescribing or Administering Medications.

(1) An APRN shall not self-prescribe or administer controlled substances.

(2) An APRN shall not prescribe or administer controlled substances to his or her immediate family member except as established in subsections (3) and (4) of this section.

(3) An APRN may prescribe or administer controlled substances to an immediate family member:

(a) In an emergency situation;

(b) For a single episode of an acute illness through one (1) prescribed course of medication; or

(4)

(a) An APRN who prescribes or administers controlled substances for an immediate family member pursuant to subsections (3)(a) or (b) of this section shall document all relevant information and notify the appropriate provider.

(b) An APRN who prescribes or administers controlled substances for an immediate family member pursuant to subsection (3)(c) of this section shall maintain a provider-practitioner relationship and appropriate patient records.

Section 12. Incorporation by Reference.

(1) The following material is incorporate by reference:

(a) "AACN Scope and Standards for Adult-Gerontology and Pediatric Acute Care Nurse Practitioners", 2021 Edition, American Association of Critical-Care Nurses;

(b) "AACN Scope and Standards for Acute Care Clinical Nurse Specialist Practice", 2022 Edition, American Association of Critical-Care Nurses;

(c) "Neonatal Nursing: Scope and Standards of Practice", 2021, 3rd Edition, American Nurses Association/ National Association of Neonatal Nurses;

(d) "Nursing: Scope and Standards of Practice", 2021, 4th Edition, American Nurses Association;

(e) "Pediatric Nursing: Scope and Standards of Practice", 2015, 2nd Edition, American Nurses Association/ Society of Pediatric Nursing/ National Association of Pediatric Nurse Practitioners;

(f) "Psychiatric-Mental Health Nursing: Scope and Standards of Practice", 2022, 3rd Edition, American Nurses Association/ American Psychiatric Nursing Association;

(g) "Scope of Practice for Nurse Practitioners", 2022 Edition, American Association of Nurse Practitioners;

(h) "Standards of Practice for Nurse Practitioners", 2022 Edition, American Association of Nurse Practitioners;

(i) "Scope of Nurse Anesthesia Practice", 2020 Edition, American Association of Nurse Anesthetists;

(j) "Standards for Nurse Anesthesia Practice", 2019 Edition, American Association of Nurse Anesthetists;

(k) "Standards for the Practice of Midwifery", 2022 Edition, American College of Nurse Midwives;

(l) "Oncology Nursing Scope and Standards of Practice", 2019 Edition, Oncology Nursing Society;

(m) "The Women's Health Nurse Practitioner: Guidelines for Practice and Education", 2020, 8th Edition, Association of Women's Health, Obstetric and Neonatal Nurses/Nurse Practitioners in Women's Health;

(n) "Definition of Midwifery and Scope of Practice of Certified Nurse-Midwives and Certified Midwives", 2021 Edition, American College of Nurse Midwives;

(o) "Standards for Professional Nursing Practice in the Care of Women, Newborns, and People Across the Life Span", 2023, 9th Edition, Association of Women's Health, Obstetric and Neonatal Nurses;

(p) "Standardized CAPA-CS Agreement Form", 9/2023; and

(q) "CAPA-NS Agreement Form", 9/2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 218A.171, 218A.172, 218A.202, 218A.205(3)(a), (b), 314.011(7), (8), 314.039, 314.042, 314.091, 314.195, 314.475
STATUTORY AUTHORITY: KRS 218A.205(3)(a), (b), 314.042, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 218A.205(3)(a) and (b) require the Board of Nursing, in consultation with the Kentucky Office of Drug Control Policy, to establish by administrative regulation mandatory prescribing and dispensing standards for licensees authorized to prescribe or dispense controlled substances, and in accordance with the Centers for Disease Control and Prevention (CDC) guidelines, to establish a prohibition on a practitioner issuing a prescription for a Schedule II controlled substance for more than a three (3) day supply if intended to treat pain as an acute medical condition, unless an exception applies. KRS 314.131(1) authorizes the board to promulgate administrative regulations necessary to enable it to carry into effect the provisions of KRS Chapter 314 and authorizes the board to require by administrative regulation that licensees and applicants utilize a specific method of submission of documents or information that is required to be provided to the board, including electronic submission. This administrative regulation establishes the scope and standards of practice for an advanced practice registered nurse.
History: 13 Ky.R. 2168; eff. 7-2-1987; 14 Ky.R. 231; eff. 9-10-1987; 19 Ky.R. 2666; 20 Ky.R. 303; eff. 8-6-1993; 3218; eff. 8-4-1994; 22 Ky.R. 305; eff. 9-20-1995; 23 Ky.R. 3606; 4176; 24 Ky.R. 62; eff. 6-18-1997; 27 Ky.R. 819; eff. 11-17-2000; 29 Ky.R. 2120; 2449; eff. 4-11-2003; 2943; eff. 8-13-2003; 32 Ky.R. 285; eff. 10-19-2005; 33 Ky.R. 511; 1069; eff. 10-18-2006; 34 Ky.R. 1783; 2184; 2278; eff. 5-2-2008; 35 Ky.R. 2790; eff. 8-12-2009; 37 Ky.R. 421; eff. 10-20-2010; 38 Ky.R. 1361; 1549; eff. 3-21-2012; 39 Ky.R. 535; 1185; 1385; eff. 2-1-2013; 39 Ky.R. 2191; 40 Ky.R. 13; eff. 7-17-2013; 2599; 41 Ky.R. 19; eff. 7-16-2014; 1854; 2070; eff. 5-1-2015; 42 Ky.R. 1910; 2372; 2471; eff. 3-10-2016; 43 Ky.R. 1802; eff. 6-21-2017; 44 Ky.R. 270, 740, 916; eff. 11-15-2017; 45 Ky.R. 411, 1044; eff. 11-27-2018.; 46 Ky.R. 2684; 47 Ky.R. 53; eff. 7-29-2020; 48 Ky.R. 529, 1521; eff. 11-23-2021; 50 Ky.R. 862, 1712, 1874; eff. 3-21-2024; 51 Ky.R. 532, 1296, 1429; eff. 2-13-2025.

201 KAR 20:062 Standards for advanced practice registered nurse (APRN) programs of nursing {#sec-201-kar-20-062 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:062}

Section 1. Definitions.

(1) "APRN program coordinator" means that individual who is responsible for the administrative oversight of the educational unit that prepares a person for practice and licensure as an APRN and is licensed as an APRN in one (1) of the four (4) roles.

(2) "APRN program of nursing" means the educational unit for which the curricular design prepares a person for practice and licensure as an advanced practice registered nurse in one (1) of the four (4) roles.

(3) "APRN track coordinator" means that individual responsible for the oversight of the APRN track and is licensed as an APRN in the same role and population focus as the track.

(4) "Chief nurse administrator" means the registered nurse who has academic and administrative authority for the overall nursing program.

(5) "National nursing accrediting body" means the Accreditation Commission for Education in Nursing (ACEN), the Commission for Collegiate Nursing Education (CCNE), the Commission on Nursing Education Accreditation (CNEA), the Council on Accreditation of Nurse Anesthesia Educational Programs (COA), or the Accreditation Commission on Midwifery Education (ACME).

(6) "Preceptor" means an advanced practice registered nurse, a physician, or a physician assistant who meets the standards established in Section 5 of this administrative regulation.

(7) "Role" means certified registered nurse anesthetist, certified nurse midwife, certified nurse practitioner, or clinical nurse specialist, as designated by the board pursuant to KRS 314.042.

(8) "Track" means the educational unit that prepares a person for practice and licensure as an APRN in one (1) of the four (4) roles and in a population focus as defined in KRS 314.011(20).

Section 2. Accreditation Communications. Copies of all correspondence and reports between the APRN program of nursing or track, and the national nursing accrediting body regarding accreditation shall be forwarded to the board by the APRN program of nursing or track at the time of receipt or submission, but no later than thirty (30) days of receipt.

Section 3. Establishing a New APRN Program of Nursing or Track.

(1) An institution may receive consultation from the board prior to establishing an APRN program of nursing or track.

(2) An institution that desires to establish and conduct an APRN program of nursing or track shall be accredited as outlined in 201 KAR 20:260, Section 2(1)(a).

(3) An institution shall submit a letter of intent to establish an APRN program of nursing or track along with the fee required by 201 KAR 20:240, Section 1(2)(o) and (p).

(4) When the letter of intent is submitted to the board, the institution shall begin the accreditation process with a national nursing accrediting body and the Council on Postsecondary Education, if applicable.

(5) The letter of intent shall be completed under the direction of the registered nurse who shall serve as the chief nurse administrator or the APRN program coordinator.

(6) The letter of intent shall include:

(a) General information about the governing institution including the:

Mission;
Ownership;
Accreditation;
Enrollment;
Geographical area served; and
Resources that are sufficient to support defined outcomes and goals;

(b) A description and rationale for the APRN role and track, which includes the post-graduate certificate or graduate degree to be awarded;

(c) Approval from the governing body of the institution planning the APRN program of nursing or track or other empowered approval bodies as applicable;

(d) Results of a needs assessment, including availability of an adequate number of potential students and employment opportunities for program graduates;

(e) Evidence of support from the community of interest;

(f) A description of physical or virtual resources adequate to meet the needs of the faculty and students; and

(g) Evidence of a sound financial base and demonstrated financial stability available for planning, implementing, and maintaining the program of nursing.

(7) If the letter of intent is approved by the board, the chief nurse administrator shall be notified in writing that the program of nursing may move to the proposal phase. The proposal shall be submitted within one (1) year of the date of the approval of the letter of intent or it shall expire.

(8)

(a) A completed proposal shall be submitted to the board by the governing institution for approval.

(b) The proposal shall include:

An organizational chart of the governing institution and a written plan which describes the organization of the program of nursing or track and its relationship to the governing institution;
A designation of the current or desired national nursing accrediting body to be used for the accreditation of the program;

a. A copy of the curriculum vitae of the APRN identified as the APRN program coordinator or track coordinator;

b. The program coordinator who may serve as a track coordinator if the requirements of Section 1(3) of this administrative regulation are met;

A timeline for the admission and enrollment of students, projected graduation of the first class, and any plans for expansion;
The philosophy of the APRN program or track and outcomes for graduates;
Curriculum design for each identified population focus to include:

a. Proposed course sequence;

b. Description of courses;

c. Credit hours delineating those credits assigned to theory and practice;

d. The total number of clinical hours designated for each population focus; and

e. Information regarding Kentucky nursing laws pertaining to APRNs, including scope of practice, licensure requirements, and the role of the board of nursing. The provision in this clause shall be implemented by January 1, 2020;

A five (5) year plan for securing clinical sites and preceptors sufficient to accommodate the number of students;
A five (5) year plan for recruiting and retaining qualified nurse faculty; and
Recruitment plan and five (5) year projection for student enrollment and policies and procedures for student selection and progression.

(9) The program shall not be announced or advertised, nor students admitted or enrolled until the proposal has been approved and developmental status has been granted by the board.

(10) Developmental status shall be the approval granted by the board to an APRN program of nursing or track that has met all the requirements of this administrative regulation including evidence that it has applied for accreditation from a national nursing accrediting body.

(11) When developmental status has been granted by the board, implementation of the program or track may proceed, which includes the admission of students.

(12) Developmental status of an APRN program shall expire if a class of students is not admitted within two (2) years of receiving developmental status.

(13) It shall be the program of nursing's responsibility to notify the board of the admission of the first class. The status of the program shall move automatically from developmental status to initial status upon admission of the first class and notification to the board.

(14) All communication between the APRN program of nursing and the national nursing accrediting body shall be forwarded to the board by the chief nurse administrator or the APRN program coordinator at the time of receipt from or submission to the accrediting body, but no later than thirty (30) days of receipt by the program.

(15) The chief nurse administrator or the APRN program coordinator shall notify the board within thirty (30) days of any change in accreditation status.

(16) The chief nurse administrator or the APRN program coordinator shall notify the board of pending site visits by the national nursing accrediting body and shall provide to the board copies of any formal communication submitted to the national nursing accrediting body at the time of submission.

(17) The decision to grant program approval by the board shall be based on review of the following:

(a) Achievement and continued approval by a national nursing accrediting body; and

(b) Reports of site visits conducted by a board representative to evaluate program compliance with administrative regulations.

(18) The board may grant program approval for a period of time not to exceed the approval period of the national nursing accrediting body.

Section 4. Compliance with National Nursing Accrediting Body Standards. An APRN program shall comply with the standards of its national nursing accrediting body.

Section 5. Preceptor Standards.

(1) In addition to the standards of the national nursing accrediting body, the APRN program shall comply with the preceptor standards established in this section.

(2) The APRN program shall secure all necessary preceptors to students enrolled in the program. A student shall not be required to obtain his or her own preceptor, but may have input into the process.

Section 6. Ongoing Approval.

(1)

(a) The board shall be notified in writing of a change, vacancy, or pending vacancy in the position of the APRN program coordinator or the APRN track coordinator within thirty (30) days of the program of nursing's awareness of the change, vacancy, or pending vacancy.

The governing institution shall submit to the board in writing the name of the advanced practice registered nurse who has been designated to assume the administrative duties for the program or track, the date that person will assume the duties, and a copy of his or her curriculum vitae.
If there is to be a lapse between the date of the vacancy and the date the newly-appointed program administrator or APRN track coordinator assumes the duties, then the head of the governing institution shall submit a plan of transition to ensure the continuity of the program.

a. The length of the appointment of an interim program administrator shall not exceed six (6) months Additional six (6) month periods may be granted upon request to the board based on a documented inability to fill the position.

b. Progress reports shall be submitted if requested by the board.

(b) Approved APRN programs of nursing accredited by a national nursing accrediting body may be subject to a site visit at intervals associated with their national nursing accreditation.

(c) The APRN program of nursing shall submit to the board the annual report it submits to the national nursing accrediting body.

(2) The board requires continuous accreditation by a national nursing accrediting body.

(3) The board may perform a site visit of a program on an announced or unannounced basis.

(4) Factors that may indicate the need for a site visit and that jeopardize program approval status shall include:

(a) Identified deficiencies in compliance with this administrative regulation;

(b) Noncompliance with the governing institution or program of nursing's stated philosophy, mission, program design, objectives, outcomes, or policies;

(d) Failure to provide sufficient clinical learning opportunities including securing preceptors for students to achieve stated outcomes;

(e) Failure to comply with requirements of the board or to respond to recommendations of the board within the specified time;

(f) Failure to submit communication from the accrediting agencies within the time frames identified in Section 2 of this administrative regulation;

(g) Withdrawal of accreditation of either the program of nursing, college, or university by a national or regional accrediting body, or if accredited for less than the maximum accreditation period;

(h) Failure to obtain board approval at least six (6) months prior to implementation of:

The addition of a new APRN program of nursing or track; or
A change that affects the APRN program of nursing's compliance with the accreditation standards;

(i) Providing false or misleading information to students or the public concerning the program of nursing; or

(j) A change in the ownership or organizational restructuring of the governing institution.

(5) If the APRN program of nursing achieves reaccreditation, it shall submit documentation from the national nursing accrediting body to the board for action. If the board finds that all requirements have been met, the program shall continue to be eligible for approval.

(6) Action following a site visit:

(a) The board shall evaluate a program of nursing in terms of its compliance with this administrative regulation.

(b) Following a site visit and prior to board consideration, a draft of the site visit report shall be made available to the chief nurse administrator and to the APRN program coordinator for review and correction of factual data.

(c) The APRN program coordinator or designee shall be available during the discussion of the report at the board committee meeting to provide clarification.

(d) Following the board's review and decision, a letter shall be sent to the chief nurse administrator, the APRN program coordinator, and the head of the governing institution regarding any requirements to be met along with required timelines.

Section 7. Withdrawal of Approval of an APRN Program.

(1) Approval of an APRN program may be withdrawn if:

(a) It loses its national nursing accreditation; or

(b) It is unable to or does not meet the requirements of this administrative regulation.

(2) The board shall send notice to the chief nurse administrator, the APRN program coordinator, and the head of the governing institution of its intent to withdraw approval.

(3) Within thirty (30) days of receipt of this notice, the chief nurse administrator may request an administrative hearing pursuant to KRS Chapter 13B. If an administrative hearing is not requested, approval shall be withdrawn and the program shall be closed. A closed program shall comply with 201 KAR 20:360, Section 7.

(4)

(a) If a program requests an administrative hearing, that hearing shall be held within sixty (60) days of the request.

(b) The board shall decide whether the hearing shall be held before a hearing officer or before the full board.

Section 8. Licensure Requirement.

(1) The chief nurse administrator and the APRN program coordinator shall hold an unencumbered active RN license in this state or a privilege to practice pursuant to KRS 314.475. The APRN program coordinator shall also hold an unencumbered active APRN license in this state.

(2) Nurse faculty who teach via distance learning shall hold an unencumbered active APRN license and an unencumbered active RN license in the nurse faculty's primary state of residence.

History

RELATES TO: KRS 314.011, 314.042, 314.111, 314.131
STATUTORY AUTHORITY: KRS 314.042, 314.111(3), 314.131(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.111(3) and 314.131(2) require the board to promulgate administrative regulations to set standards for the establishment and outcomes of nursing programs, to approve schools of nursing preparing persons for advanced practice registered nurse (APRN) licensure, and to monitor standards for APRN competency under KRS Chapter 314. KRS 314.131(1) authorizes the board to promulgate administrative regulations to implement KRS Chapter 314. This administrative regulation establishes standards for APRN programs of nursing.
History: 201 KAR 020:062. 37 Ky.R. 637; 1217; 1415; eff. 12-15-2010; 2895; eff. 8-17-2011; 40 Ky.R. 1328; 1708; eff. 2-19-2014; 483; 1135; eff. 11-6-2015; 45 Ky.R. 1736, 2577; eff. 3-13-2019; Crt eff. 1-8-2026.

201 KAR 20:065 Professional standards for prescribing Buprenorphine-MonoProduct or Buprenorphine-Combined-with-Naloxone by APRNs for medication assisted treatment for opioid use disorder {#sec-201-kar-20-065 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:065}

Section 1. Definitions.

(1) "Advanced Practice Registered Nurse" or "APRN" is defined by KRS 314.011(7).

(2) "Buprenorphine" means the controlled substances Buprenorphine-Mono-Product and Buprenorphine-Combined-with-Naloxone.

(3) "Consultation" means the process by which an APRN directs the patient to a physician, APRN, or other specialist, as required by Section 3(3)(a), (4)(b)2., or (4)(g)2. of this administrative regulation to render an opinion with regard to the prescribing of Buprenorphine to the patient, and includes the requirements as established in Section 8 of this administrative regulation.

Section 2. Minimum Qualifications for Prescribing Buprenorphine. An advanced practice registered nurse (APRN) shall not prescribe Buprenorphine for Opioid Use Disorder unless that APRN possesses the minimum qualifications established in this section.

(1) The APRN shall obtain and maintain in good standing a registration as issued by the United States Drug Enforcement Administration (DEA) and an active PDMP account as defined by 201 KAR 20:057, Section 1(7).

(2) The APRN shall:

(a) Be a DEA-registered prescriber; and

(b) Have completed an eight (8) hour continuing education training on managing and treating opioid and other substance abuse disorders as required by 201 KAR 20:215, Section 5(2).

(3) The APRN shall provide to the board a copy of the DEA Controlled Substance Registration Certificate as required by 201 KAR 20:057, Section 6(4), via the KBN Nurse Portal at https://kbn.ky.gov.

(4) The APRN shall comply with all federal statutes and regulations pertaining to the prescribing of Buprenorphine.

(5) The APRN shall comply with all federal statutes and regulations pertaining to the prescribing of controlled substances via telehealth for medication assisted treatment for opioid use disorder.

(6) The APRN who is at a remote location from the patient and is communicating with the patient, or health care professional who is treating the patient, using a telecommunications system referred to in 42 U.S.C. 1395m(m), shall comply will applicable federal and state laws.

Section 3. Professional Standards for Prescribing Buprenorphine for Supervised Withdrawal or the Treatment of Opioid Use Disorder.

(1) Buprenorphine may be prescribed for supervised withdrawal or as a maintenance treatment for a patient diagnosed with opioid use disorder in accordance with the standards established by this administrative regulation.

(2) Buprenorphine-Mono-Product shall not be prescribed for supervised withdrawal or as a maintenance treatment for a patient diagnosed with opioid use disorder, except:

(a) To a pregnant patient, as established in subsection (4)(b) of this section;

(b) To a patient with demonstrated hypersensitivity to naloxone;

(c) As administered under supervision in an APRN's office or other healthcare facility, including hospitals, urgent care settings, surgical care centers, residential treatment facilities, and correctional facilities; or

(d) To a patient transitioning from methadone to buprenorphine, limited to a period of no longer than one (1) week.

(3)

(a) Except as provided in paragraph (b) of this subsection, buprenorphine shall not be prescribed to a patient who is also being prescribed benzodiazepines, other sedative hypnotics, stimulants, or other opioids, without consultation of:

A physician certified in addiction medicine or psychiatry as required by 201 KAR 9:270;
An APRN who is certified in addiction therapy by the:

a. Addictions Nursing Certification Board;

b. American Academy of Health Care Providers in the Addictive Disorders; or

c. National Certification Commission for Addiction Professionals; or

A psychiatric-mental health nurse practitioner.

(b) An APRN may prescribe buprenorphine to a patient who is also being prescribed benzodiazepines, other sedative hypnotics, stimulants, or other opioids, without consultation in order to address a documented extraordinary and acute medical need not to exceed a combined period of thirty (30) days.

(4) Each APRN who prescribes buprenorphine for supervised withdrawal or for the treatment of opioid use disorder shall comply with the professional standards established in this subsection.

(a) Prior to initiating treatment, the APRN shall:

Obtain, review, and record a complete and appropriate evaluation of the patient, which shall include:

a. The patient's history of present illness;

b. The patient's history of drug use;

c. The patient's social and family history;

d. The patient's medical and psychiatric histories;

e. A focused physical examination of the patient; and

f. Appropriate laboratory tests, which may include a complete blood count (CBC), a comprehensive quantitative drug screen, liver function tests, a complete metabolic panel (CMP), HIV screening, and hepatitis serology. If an appropriate justification for initiation of treatment in advance of the review of laboratory tests is documented by the APRN, this subsection shall be satisfied though the documentation of a plan for obtaining and reviewing the laboratory tests required by this subsection within thirty (30) days of initiating treatment.

Document a plan to obtain the patient's consent and authorizations in order to obtain and discuss the patient's prior medical records within thirty (30) days of initiating treatment, which shall require:

a. Upon receipt of the medical records, the APRN shall review and incorporate the information from the records into the evaluation and treatment of the patient; or

b. If the APRN is unable, despite best efforts, to obtain the patient's prior medical records, the APRN shall document those efforts in the patient's chart.

Obtain and review a PDMP report for that patient for the twelve (12) month period immediately preceding the initial patient encounter and appropriately utilize that information in the evaluation and treatment of the patient;
Explain treatment alternatives, the risks, and the benefits of treatment with buprenorphine to the patient;
Obtain written informed consent from the patient for treatment;
Discuss and document the patient's treatment with the patient's other providers;
If the patient is a female of childbearing potential and age, meet the requirements of paragraph (b) of this subsection; and
Develop a treatment plan that incorporates the patient's participation in a behavioral modification program, which may include counseling or a twelve (12) step facilitation.

(b)

Prior to initiating treatment, the APRN shall recommend that female patients of child bearing age and ability submit to a pregnancy test and, if pregnant, the APRN shall provide counseling as to the risk of neonatal abstinence syndrome which shall be consistent with current SAMHSA guidance. The APRN shall document a patient's decision to decline to take a pregnancy test and the stated rationale for the patient's decision.
Prior to prescribing buprenorphine to a patient who is pregnant or breastfeeding, an APRN who is not an obstetrical care provider shall have a plan to obtain and document consultation with an obstetrical care provider to co-manage the patient's care. The APRN shall document a patient's decision to decline consultation referenced in this subsection, and the stated rationale for the patient's decision.

(c) Except as provided by paragraph (d) of this subsection, while initiating treatment with buprenorphine, the APRN shall comply with the following requirements:

The APRN shall recommend to the patient an in-office observed induction protocol.

a. Except as provided in clause b. of this subparagraph, the APRN shall conduct or supervise the in-office observed induction protocol.

b. If an in-office observed induction does not occur, the APRN shall appropriately document the circumstances in the patient record and shall implement a SAMHSA-recognized or ASAM recognized home-based induction protocol.

The APRN shall document the presence of any opioid withdrawal symptoms before the first dose is given by using a standardized instrument, such as the clinic opioid withdrawal scale (COWS) or other similarly recognized instrument.
The APRN shall initiate treatment with a dose not to exceed the dose equivalency of four (4) milligrams buprenorphine generic tablet, which:

a. May be followed by subsequent doses if withdrawal persists; and

b. Shall not exceed the dose equivalency of sixteen (16) milligrams buprenorphine generic tablet on the first day of treatment.

(d) If the patient is transferred from another treatment provider and has previously experienced withdrawal without a relapse and has not had a lapse in treatment, the APRN shall:

Document the previous history of withdrawal;
Educate the patient about the potential for precipitated withdrawal;
Continue maintenance treatment of the patient on the same or less dosage as established by the previous treatment provider and then as provided in paragraph (e) of this subsection; and
Schedule visits at the same frequency as the previous treatment provider would have been required to or more frequently if deemed necessary by the APRN.

(e) After initial induction of buprenorphine, the APRN shall prescribe to the patient an amount of buprenorphine that:

Is necessary to minimize craving and opiate withdrawal;
Does not produce opiate sedation;
Is able only to supply the patient until the next visit, which shall be scheduled as required by this section; and
Does not exceed the FDA-approved dosage limit.

(f) The patient's visits shall be scheduled as follows:

The APRN shall ensure that the patient is seen no later than ten (10) days after induction and then at intervals of no more than ten (10) days for the first month after induction and at intervals of no more than fourteen (14) days for the second month after induction.
If the patient demonstrates objective signs of positive treatment progress after the first two (2) months, the patient shall be seen at least once monthly thereafter for up to two (2) years.
If after two (2) years after initiation of treatment, the patient has demonstrated objective signs of positive treatment progress, including documented evidence that the patient has been compliant with the treatment plan and all treatment directives, then the APRN may require that the patient be seen at least once every three (3) months. The APRN shall:

a. Evaluate the patient to determine whether the patient's dosage should be continued or modified; and

b. Appropriately document that evaluation and clinical judgment in the patient's chart.

The APRN shall see the patient in shorter intervals if the patient demonstrates any noncompliance with the treatment plan.
If extenuating circumstances arise that require a patient to unexpectedly reschedule a visit, the APRN shall make best efforts to see the patient as soon as possible and document the circumstances in the patient chart.

(g) After initial induction of Buprenorphine, the APRN shall review compliance with the recommendations of the treatment plan and drug screen results at each visit to help guide the treatment plan. Current relevant PDMP reports shall be obtained no less frequently than once every three (3) months, to help guide the treatment plan.

The APRN shall:

a. Incorporate those findings into the treatment plan to support the continuation or modification of treatment; and

b. Accurately document the same in the patient record.

Appropriate evaluation of continued Buprenorphine prescribing shall include documented consideration of initial laboratory test results as specified in subsection (4)(a)1.f. of this section, subsequent laboratory test results, and the patient's prior medical records. Appropriate evaluation of continued Buprenorphine prescribing shall also include, if appropriate and relevant, adjustment of dose strength or frequency of visits, increased screening, a consultation with or referral to a specialist, or an alternative treatment, including consideration of weaning, if weaning is clinically appropriate.
The APRN shall obtain a minimum of eight (8) drug screens from the patient within each twelve (12) month period of treatment in order to help guide the treatment plan.

a. At least two (2) of the drug screens shall be random and coupled with a pill count.

b. At least one (1) of those two (2) drug screens shall be confirmed by either gas chromatography/mass spectrometry (GC/MS) or liquid chromatography/mass spectrometry (LC/MS).

c. Each drug screen shall screen for buprenorphine, methadone, opioids, THC, benzodiazepines, amphetamines, alcohol, and cocaine.

d. If a drug screen indicates the presence of any of the drugs screened, the APRN shall:

(i) Incorporate those findings into appropriate clinical evaluation to support the continuation or modification of treatment; and

(ii) Document in the patient record.

(h) Every twelve (12) months following initiation of treatment, if a patient's prescribed daily therapeutic dosage exceeds the dose equivalency of sixteen (16) milligrams buprenorphine generic tablet per day, then the APRN who is not certified in addiction therapy shall:

Refer the patient for an evaluation by a physician or an APRN as established in subsection (3)(a) of this section for an opinion as to whether continued treatment and dosage is appropriate; and
Document the results of that evaluation in the patient chart.

(i) For patients who have demonstrated objective signs of positive treatment progress for at least two (2) years from the date of initiation of treatment, including documented evidence that the patient has been compliant with the treatment plan and all treatment directives, the APRN shall evaluate for and document every twelve (12) months the medical necessity for continued treatment at the established dose.

(j) The APRN shall document a plan for dealing with any lost or stolen medication, which shall not provide for the automatic replacement of medication prior to the specified interval date. Replacement medication shall not be authorized by the APRN in the absence of an individual assessment, specific consideration of all prior instances of lost or stolen medication, and documented discussion with the patient.

(k) After initial induction, the APRN shall:

Implement a treatment plan that requires objective behavioral modification by the patient.
The behavioral modification plan shall include the patient's participation in a behavioral modification program that shall include counseling or a twelve (12) step facilitation.

Section 4. Continuing Education. An APRN who prescribes buprenorphine for the treatment of Opioid Use Disorder shall complete continuing education pursuant to 201 KAR 20:215, Section 5(1)(b).

Section 5. Use of Transmucosal Buprenorphine for Treatment of Opioid Use Disorder in an Emergency Situation or Inpatient Setting.

(1) In an emergency, including in a hospital emergency department or similar outpatient urgent care setting, or in an inpatient setting, an APRN may offer and initiate buprenorphine treatment to patients who present with opioid use disorder, without meeting the requirements established in Sections 2 and 3 of this administrative regulation and to the extent permitted by federal law, if:

(a) The APRN has determined that the use of buprenorphine will not result in a harmful interaction with other medications or substances in the patient's system, including benzodiazepines, sedative hypnotics, carisoprodol, or tramadol;

(b) The APRN obtains and documents written informed consent from the patient specific to risks and benefits of Buprenorphine treatment; and

(c) The APRN provides the patient with written instructions and contact information for appropriate follow up care, including bridge-provider services, residential treatment providers, and outpatient treatment providers.

(2) The APRN shall initiate Buprenorphine treatment under an observed induction protocol with an initial dose not to exceed the dose equivalency of four (4) milligrams buprenorphine generic tablet, which may be followed by subsequent doses, up to a maximum of twenty-four (24) milligrams buprenorphine generic tablet, if withdrawal persists and is not improving.

Section 6. Telehealth. Nothing in this administrative regulation shall be construed to prohibit prescribing buprenorphine via telehealth. The prescribing APRN shall follow the standards set by 201 KAR 20:520.

Section 7. Documented Deviation from Professional Standards for Prescribing Buprenorphine. If an APRN is unable to conform to professional standards for prescribing Buprenorphine as set forth in this administrative regulation due to circumstances beyond the APRN's control, or the APRN makes a professional determination that it is not appropriate to comply with a specific standard, based upon the individual facts applicable to a specific patient's diagnosis and treatment, the APRN shall document those circumstances in the patient's record and only prescribe Buprenorphine to the patient if the patient record appropriately justifies the prescribing under the circumstances and in accordance with SAMHSA guidelines.

Section 8. Consultation Requirements.

(1) Consultation shall not require an in-person visit.

(2) It may include a discussion by the APRN and the consultant by telephone or other appropriate electronic communication.

(3) The consultant may recommend further evaluation which may be either in-person, by telehealth, or a records review.

(4) It is the responsibility of the APRN to initiate a consultation and to communicate clearly to the consultant that the APRN is seeking a consultation.

(5) A consultation may involve the consultant providing advice and information to the APRN or patient.

(6) It is the responsibility of the APRN to provide all relevant client records to the consultant, including a written summary of the client's history and presenting problem, as deemed appropriate by the consultant.

(7) Consultation shall be fully documented in writing by the APRN in the patient's record, including the consultant's name, date of service, and the consultant's findings, opinions, and recommendations.

(8) The APRN shall discuss the consultant's recommendations with the patient.

History

RELATES TO: KRS 218A.010, 218A.170, 314.011, 314.042, 21 U.S.C. 823, 42 U.S.C. 1395
STATUTORY AUTHORITY: KRS 314.131
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131 authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. This administrative regulation establishes the professional standards for APRNs practicing in Kentucky who prescribe Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone.
History: 44 Ky.R. 840, 1364, 1507; eff. 1-18-2018; 456 Ky.R. 2159, 2702, 2860; eff. 5-3-2019; 46 Ky.R. 2984, 47 Ky.R. 525, 1194; eff. 11-19-2020; 47 Ky.R. 1819, 2578; eff. 6-16-2021; 50 Ky.R. 867; eff. 3-21-2024.

201 KAR 20:067 Professional standards for medicinal cannabis {#sec-201-kar-20-067 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:067}

Section 1. Definitions.

(1) "Advanced Practice Registered Nurse" or "APRN" is defined by KRS 314.011(7).

(2) "Authorization" means a credential that authorizes the APRN to provide written certifications under KRS 218B.050 and this administrative regulation.

(3) "Bona fide practitioner-patient relationship" is defined by KRS 218B.010(1).

(4) "Cabinet" is defined by KRS 218B.010(2).

(5) "Controlled substance" means any Schedule II, III, IV, or V controlled substance and does not include medicinal cannabis.

(6) "Good standing" means a license that at the time of initial application or renewal, is not:

(a) Limited, suspended, probated, revoked, or otherwise disciplined;

(b) Under investigation;

(d) Held by a person who has ever been subject to disciplinary action by any licensing entity, including the board of any jurisdiction or the United States Drug Enforcement Administration (DEA) that was based, in whole or in part, on the person's inappropriate prescribing, personally furnishing, dispensing, diverting, administering, supplying, or selling a controlled substance or other dangerous drug.

(7) "Immediate family member" is defined by 201 KAR 20:057, Section 1(5).

(8) "Medicinal cannabis" is defined by KRS 218B.010(15).

(9) "Medicinal cannabis practitioner" means an APRN who is holds an authorization under this administrative regulation.

(10) "Minor" is defined by KRS 218B.010(19).

(11) "Prescription Drug Monitoring Program" or "PDMP" is defined by 201 KAR 20:057, Section 1(11).

(12) "Qualified patient" is defined by KRS 218B.010(25).

(13) "Qualifying medical condition" is defined by KRS 218B.010(26).

(14) "Telehealth" is defined by KRS 211.332(5).

(15) "Use of medicinal cannabis" is defined by KRS 218B.010(37).

(16) "Written certification" means a written certification for the use of medicinal cannabis and is defined by KRS 218B.010(39).

Section 2. Applicability. The procedures and standards established in this administrative regulation shall not apply to an APRN who recommends treatment with cannabis or a drug derived from cannabis in accordance with KRS 218B.050(11).

Section 3. Eligibility for an Authorization to provide written certifications.

(1) An APRN applicant for an authorization pursuant to KRS 218B.050 shall:

(a) Hold an active, unrestricted Kentucky license as an APRN that is in good standing;

(b) Have a valid DEA registration and a current registration certificate is on file with the board;

(d) Have not been denied a license to prescribe, possess, dispense, administer, supply, or sell a controlled substance by the DEA or appropriate issuing body of any state or jurisdiction, based, in whole or in part, on the applicant's inappropriate prescribing, personally furnishing, dispensing, administering, supplying, or selling a controlled substance or other dangerous drug;

(e) Have not held a license issued by the DEA or a state licensing administration in any jurisdiction, under which the person may prescribe, personally furnish, dispense, possess, administer, supply, or sell a controlled substance, that has ever been restricted, based, in whole or in part, on the applicant's inappropriate prescribing, dispensing, administering, supplying, or selling a controlled substance or other dangerous drug;

(f) Have not been subject to disciplinary action by any licensing entity that was based, in whole or in part, on the applicant's inappropriate prescribing, personally furnishing, dispensing, diverting, administering, supplying, or selling a controlled substance or other dangerous drug;

(g) Have completed the continuing education requirements in Section 6 of this administrative regulation; and

(h) Have no ownership or investment interest in or compensation agreement with a cannabis business licensed under KRS Chapter 218B.

(2) The board shall provide the cabinet with the names of all APRNs authorized to provide written certifications.

(3) An APRN who fails to renew the authorization or is otherwise unable to legally practice as a registered nurse or APRN shall not practice as or use the title of medicinal cannabis practitioner until an authorization has been issued by the board.

(4) An APRN shall not provide written certifications unless authorized to do so under this section.

(5) It is not within the scope of practice for an APRN to provide written certifications, unless the APRN is authorized to do so under this section.

(6) The board shall notify the cabinet immediately with the name of any APRN whose authorization is lapsed, surrendered, suspended, revoked, or otherwise not renewed.

Section 4. Procedures for submitting an initial or renewal application for authorization to provide written certifications.

(1) An applicant for a certificate to recommend medicinal cannabis shall:

(a) Submit to the board an Authorization to Provide Written Certifications for the Use of Medicinal Cannabis-Initial Application or Renewal Application;

(b) Submit to the board a copy of the APRN's DEA registration certificate;

(d) Submit proof of completion of the education requirements in Section 6(1) of this administrative regulation; and

(e) Pay a nonrefundable fee of $100.

(2) An application shall be considered complete if:

(a) Evidence of all the requirements in subsection (1) of this section are received by the board; and

(b) The APRN is not under investigation pursuant to 201 KAR 20:161 of evidence appearing to show that the applicant has violated KRS 314.091(1).

(3) Upon receipt of the application:

(a) The board shall review all application materials submitted; and

(b) The board may contact individuals, agencies, or organizations for information about the applicant. As part of the application process, the board may request an applicant to appear before the board to answer questions or provide additional information.

(4) The following processes apply if an application is not complete within (6) six months of the date the application is received by the board:

(a) If the application is not complete because required information or materials have not been received by the board, the board may notify the applicant in writing that it intends to consider the application abandoned if the application is not completed. If an application is abandoned, the board may close the application.

The notice shall specifically identify the information or materials required to complete the application and inform the applicant that the information or materials shall be received by a specified date.
The notice shall also inform the applicant that if the application remains incomplete at the close of business on the specified date the application may be deemed to be abandoned.
If all of the information or materials are received by the board by the specified date and the application is determined to be complete, the board shall process the application. The board may require updated information, as it deems necessary.

(b) If the application is not complete because the board is investigating the applicant for a violation of KRS 314.091(1), the board shall:

Notify the applicant that although otherwise complete, the application shall not be processed pending completion of the investigation; and
Upon completion of the investigation and the determination that the applicant is not in violation of KRS 314.091(1), process the application. The board may require updated information, as it deems necessary.

(5) Once submitted, the Authorization to Provide Written Certifications for the Use of Medicinal Cannabis, either the Initial Application or Renewal Application, shall follow the periods for length and renewal in accordance with 201 KAR 20:085, Sections 1 and 2.

(6) An applicant shall not withdraw an Initial or Renewal Application for Authorization to Provide Written Certifications for the Use of Medicinal Cannabis without the approval of the board.

(7) All supporting documentation required under this section shall be submitted via the KBN Nurse Portal at https://kbn.ky.gov.

Section 5. Renewal and Lapse of the Authorization.

(1) If the APRN fails to renew the authorization in accordance with 201 KAR 20:085, Sections 1 and 2, the authorization shall lapse.

(2) If the APRN fails to timely renew the authorization, the APRN may reapply as an initial applicant in accordance with the procedures set forth in Section 4 of this administrative regulation.

(3) The authorization may be renewed after an APRN's license to practice has been renewed or restored, if the APRN:

(a) Meets the requirements in Section 3 of this administrative regulation;

(b) Pays a nonrefundable fee of $100; and

(4) All supporting documentation required under this section shall be submitted via the KBN Nurse Portal at https://kbn.ky.gov.

Section 6. Continuing Education.

(1) An applicant for an initial authorization shall have completed within the immediate twelve (12) months a one (1) time requirement of six (6) contact hours in the following subjects:

(a) Diagnosing qualifying medical conditions;

(b) Treating qualifying medical conditions with medicinal cannabis;

(d) Indications of cannabis use disorder.

(2) Thereafter, an APRN renewing the authorization shall have obtained during the earning period three (3) continuing education hours in the subjects listed in subsection (1) of this section.

Section 7. Sanctions.

(1) The board may probate, restrict, suspend, revoke, or otherwise discipline an APRN's license or credential to issue authorizations for violations of KRS 314.091(1), or violations in accordance with KRS 218B.015(3)(b).

(2) An investigation against the APRN under this administrative regulation shall be conducted in accordance with 201 KAR 20:161.

(3) A disciplinary proceeding against the APRN under this administrative regulation shall be conducted in accordance with KRS 314.091 and 201 KAR 20:162.

(4) APRN may be ordered by the board to undergo a substance use evaluation or be subject to an immediate temporary suspension, in accordance with KRS 218B.015(4), 314.085, and 314.089.

Section 8. Professional Standards of Care for Providing Written Certifications.

(1) An APRN authorized by the board to provide written certifications may only provide a qualified patient with a written certification after the APRN has complied with the requirements established by KRS 218B.050(4).

(2) A bona fide practitioner-patient relationship may be established pursuant to KRS 218B.050(5) .

(3) An APRN shall comply with the written certification requirements established in KRS 218B.050(6).

(4)

(a) An APRN who provides written certifications shall comply with the professional standards established in this subsection.

(b) Prior to providing a written certification, the APRN shall:

Obtain, review, and record a complete and appropriate evaluation of the patient, which shall include:

a. The patient's name;

b. Date or dates of office visits or treatments, and responses to treatments;

c. The patient's medical history, including relevant prescription history and diagnostic results;

d. The patient's history of drug use, including a documented review of the patient's current medication to identify possible drug interactions, including benzodiazepines and opioids;

e. Based on evidence or behavioral indications of addiction or drug abuse, the APRN shall obtain a drug screen on the patient. It is within the APRN's discretion to decide the nature of the screen and which type of drug to be screened;

f. The patient's social and family history;

g. A physical examination relevant to the current medical condition;

h. The patient's psychiatric history;

i. A focused physical examination of the patient relevant to the patient's current medical condition;

j. Documented review that standard medical treatment has been attempted or considered. If standard medical treatment is not attempted, the APRN shall document the reasons that standard medical treatment is not appropriate for this patient;

k. The APRN's diagnosis of the qualified patient's qualifying medical condition; and

l. If the patient has been previously diagnosed with a qualifying medical condition by another health care provider pursuant to KRS 218B.050(4), the APRN may confirm the diagnosis if:

(i) The APRN obtains a copy of the medical records or a detailed written summary indicating the diagnosis;

(ii) The APRN is satisfied that those records confirm a diagnosis of a qualifying condition;

(iii) The APRN maintains a copy of any record or report of any medicinal cannabis practitioner on which the practitioner relied for purposes of meeting the requirements under this paragraph;

(iv) The APRN documents a plan to obtain the patient's consent to obtain and discuss the patient's prior medical records within thirty (30) days of initiating treatment. Upon receipt of the medical records, the APRN shall review and incorporate the information from the records into the evaluation and treatment of the patient. If the APRN is unable, despite best efforts, to obtain the patient's prior medical records, the APRN shall document those efforts in the patient's chart;

(v) The APRN obtains and reviews a PDMP report for that patient for the twelve (12) month period immediately preceding the initial patient encounter and appropriately utilizes that information in the evaluation and treatment of the patient;

(vi) The APRN explains treatment alternatives, the risks, and the benefits of medicinal cannabis with the patient;

(vii) The APRN obtains written informed consent from the patient for treatment;

(viii) The APRN discusses and documents the patient's treatment with the patient's other providers; and

(ix) The patient is a female of childbearing potential and age, and meets the requirements of subparagraph 2. of this paragraph.

a. Prior to initiating treatment, the APRN shall recommend that female patients of childbearing age submit to a pregnancy test and, if pregnant, the APRN shall provide counseling. The APRN shall document a patient's decision to decline to take a pregnancy test and the stated rationale for the patient's decision.

b. Prior to providing a written certification to a patient who is pregnant or breastfeeding, the APRN shall document the patient's decision to decline consultation referenced in this subsection, and the stated rationale for the patient's decision.

(5) The written certification shall include a statement from the APRN certifying that:

(a) A bona fide practitioner-patient relationship exists between the APRN and qualified patient.

(b) The qualified patient has been diagnosed with at least one (1) qualifying medical condition for which the APRN believes the patient may receive medical, therapeutic, or palliative benefit; and

(c) In the APRN's professional medical opinion, the qualified patient may receive medical, therapeutic, or palliative benefit from the use of medicinal cannabis.

(6) An APRN who authorizes a written certification shall be available to provide follow-up care and treatment to the qualified patient, including physical examinations relevant to the qualified patient's condition to determine the efficacy of medicinal cannabis in treating the patient's qualifying medical condition. If the qualifying condition was indicated as a terminal illness in the prior six (6) months, the APRN shall confirm whether the qualified patient's condition continues to be a terminal illness.

(7) The APRN shall terminate or decline to issue a new written certification under any of the following circumstances:

(a) The patient no longer has the diagnosis of, or symptoms of, the qualifying medical condition;

(b) The APRN is not authorized to issue a written certification;

(d) The qualified patient is deceased.

(8) The APRN shall notify the cabinet in writing within thirty (30) days the name of any patient for whom the APRN has terminated or declined to issue a written certification.

(9) The records required for the recommendation for a written certification may be kept with the patient's other medical records and shall be retained for at least five (5) years following the last office visit by the patient.

(10) An APRN medicinal cannabis practitioner shall not:

(a) Dispense medicinal cannabis; or

(b) Provide a written certification to an immediate family member or for himself or herself.

Section 9. Documented Deviation from Professional Standards for Providing Written Certifications. If an APRN is unable to conform to professional standards for providing written certifications set forth in this administrative regulation due to circumstances beyond the APRN's control, or the APRN makes a professional determination that it is not appropriate to comply with a specific standard, based upon the individual facts applicable to a specific patient's diagnosis and treatment, the APRN shall document those circumstances in the patient's record and only provide a written certification to the patient if the patient record appropriately justifies the providing of a written certification under the circumstances.

Section 10. Material Incorporated by reference.

(1)

(a) "Authorization to Provide Written Certifications for the Use of Medicinal Cannabis-Initial Application", 01/2024; and

(b) "Authorization to Provide Written Certifications for the Use of Medicinal Cannabis-Renewal Application", 01/2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the Board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 211.332, 218B.010, 218B.015, 218B.050, 218B.080, 314.011, 314.042, 314.085, 314.089, 314.091
STATUTORY AUTHORITY: KRS 218B.010, 218B.050, 314.131
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131 authorizes the board to promulgate administrative regulations to regulate the conduct of its licensees. KRS 218B.050(10) requires the board to promulgate administrative regulations to establish the procedures, process, and conditions for authorization to provide written certifications, continuing education requirements for medical cannabis practitioners, and minimal standards of care. This administrative regulation establishes the professional standards for an APRN practicing as a medicinal cannabis practitioner.
History: 50 Ky.R. 990, 1717, 1878; eff. 3-21-2024.

201 KAR 20:070 Licensure by examination {#sec-201-kar-20-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:070}

Section 1. Eligibility for Licensure by Examination for a Graduate of a Kentucky Program or Other State or Territorial Nursing Program.

(1) To be eligible for licensure by examination, an applicant shall:

(a) Submit:

A properly executed application for licensure, as required by and incorporated by reference in 201 KAR 20:370, Section 1(1);
The licensure application fee as established in 201 KAR 20:240;
A criminal record check completed within six (6) months of the date of the application by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI) using the FBI Applicant Fingerprint Card, and including payment of any required fee to the KSP and the FBI;
A certified or attested copy of the court record of any misdemeanor or felony conviction as required by 201 KAR 20:370, Section 1(3);
A letter of explanation that addresses each conviction, if applicable;
A certified copy of any disciplinary action taken on any professional or business license in another jurisdiction with a letter of explanation or a report if there is any disciplinary action pending on any professional or business license in another jurisdiction; and
Evidence of completion of the jurisprudence examination required by KRS 314.041(4) for RN applications or KRS 314.051(4) for LPN applications;

(b) Notify the board as soon as a new address is established after submitting the application;

(c) Submit a copy of a marriage certificate, divorce decree, Social Security card, or court order to change the applicant's name, if the applicant's name is changed after the original application is filed;

(d) While taking the examination, abide by and cooperate with security procedures adopted by the board; and

(e) Apply to take and pass the National Council Licensure Examination.

(2) An application for licensure shall be valid for a period of one (1) year from the date the application is filed with the board office or until the board receives the results of the examination.

(3)

(a) Except as provided in paragraph (b) of this subsection, the name of the applicant shall appear on the Certified List of Kentucky Program of Nursing Graduates or the Certified List of Out-of-state Program of Nursing Graduates.

(b) If the name does not appear on the list, the applicant shall request that the program submit to the board an official transcript verifying completion of program requirements.

(c) The Certified List of Out-of-state Program of Nursing Graduates shall be submitted by the nurse administrator of the out-of-state program of nursing.

(4)

(a) The applicant shall complete the three (3) hour continuing education course on domestic violence within three (3) years of licensure as required by KRS 194A.540.

(b) The applicant shall complete the applicable continuing education courses as required by 201 KAR 20:215, Section 5.

(5) An applicant shall not be licensed until a report is received from the FBI pursuant to the request submitted pursuant to subsection (1)(a)3 of this section and any conviction is addressed by the board.

(6) A graduate of a school of nursing in Puerto Rico after September 1, 2006, in addition to the other requirements of this section, shall provide evidence of evaluation of the graduate's transcript by the Commission on Graduates of Foreign Nursing Schools or a credential evaluation organization that is a member of the National Association of Credentialing Evaluation Services. The evaluation shall indicate that the school of nursing is substantially equivalent to a school of nursing in this state.

Section 2. Retaking the Examination.

(1) An examination candidate who fails to achieve a passing result may retake the examination after meeting the requirements of Section 1 of this administrative regulation.

(2) The applicant shall not be eligible to take the examination more often than once every forty-five (45) days.

Section 3. Release of Examination Results. The board shall release examination results to:

(1) The candidate;

(2) Other state boards of nursing;

(3) The National Council of State Boards of Nursing, Inc.;

(4) The candidate's program of nursing; and

(5) An individual or agency who submits an applicant's or licensee's written authorization for their release, if applicable.

Section 4. Provisional License.

(1) An applicant shall request a provisional license by completing the application for licensure required by Section 1 of this administrative regulation.

(2)

(a) The board shall issue the provisional license to the applicant after Section 1(1)(a) and (3) of this administrative regulation are met, but not until the report is received from the FBI and any conviction is addressed by the board.

(b) In this case of a graduate of a foreign nursing school, the board shall issue the provisional license after the requirements of 201 KAR 20:480 are met.

(3) To qualify as direct supervision pursuant to KRS 314.041(5) and KRS 314.051(6), the nurse responsible for the applicant shall be physically present in the facility and immediately available to the applicant during work hours while the applicant holds a provisional license.

(4) The nurse responsible for the applicant shall be currently licensed or privileged to practice pursuant to KRS 314.475 as a nurse in Kentucky.

(5) Upon notification to the board that the applicant has failed the NCLEX examination after two (2) attempts, the provisional license shall be voided.

(6) A provisional license shall be valid for a period not to exceed six (6) months.

Section 5.

(1) An applicant not from a party state under the Nurse Licensure Compact who is issued a license and who does not have permanent residency in Kentucky shall be issued a license that indicates on the license that it is only valid in Kentucky.

(2) The board may request that an applicant provide evidence of the applicant's state of residence.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Certified List of Kentucky Program of Nursing Graduates", 6/10, Kentucky Board of Nursing; and

(b) "Certified List of Out-of-State Program of Nursing Graduates", 6/10, Kentucky Board of Nursing.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the agency's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx

History

RELATES TO: KRS 194A.540, 314.041, 314.051(3), (6), 314.103, 314.109, 314.475
STATUTORY AUTHORITY: KRS 314.041(2), 314.051(3), 314.103, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Kentucky Board of Nursing to promulgate administrative regulations to implement the provisions of KRS 314.011 to 314.991. KRS 314.041(2) requires an applicant for licensure as a registered nurse to pass an examination prescribed by the board. KRS 314.103 authorizes the board to require a criminal background check investigation of an applicant or nurse. KRS 314.051(3) requires an applicant for licensure as a licensed practical nurse to pass an examination prescribed by the board. This administrative regulation establishes the requirements for the licensure of nurses by examination.
History: BNE-8; 1 Ky.R. 1251; eff. 7-2-1975; 6 Ky.R. 419; eff. 4-1-1980; 8 Ky.R. 780; eff. 3-1-1982; 9 Ky.R. 251; eff. 9-8-1982; 11 Ky.R. 1621; eff. 6-4-1985; 14 Ky.R. 571; eff. 11-6-1987; 19 Ky.R. 1637; eff. 2-17-1993; 20 Ky.R. 2044; 2622; eff. 3-14-1994; 3219; eff. 8-4-1994; 22 Ky.R. 1872; 2287; eff. 6-6-1996; 24 Ky.R. 1752; 2108; eff. 4-13-1998; 25 Ky.R. 592; 1030; eff. 11-18-1998; 26 Ky.R. 1437; eff. 2-16-2000; 27 Ky.R. 820; 1247; eff. 11-17-2000; 28 Ky.R. 676; 1114; eff. 10-17-2001; 1677; eff. 3-14-2002; 29 Ky.R. 498; 918; eff. 10-16-2002; 2121; eff. 4-11-2003; 30 Ky.R. 378; eff. 10-15-03; 30 Ky.R. 378; 1584; 1926; eff. 2-16-2004; 31 Ky.R. 792; 1290; 1399; eff. 2-22-2005; 32 Ky.R. 287; eff. 10-19-2005; 1917; eff. 6-21-2006; 33 Ky.R. 859; 1286; eff. 11-15-2006; 33 Ky.R. 4205; eff. 8-16-2007; 34 Ky.R. 2559; 35 Ky.R. 258; eff. 9-5-2008; 37 Ky.R. 423; 10-20-2010; 2900; eff. 8-17-2011; TAm eff. 5-10-2012; 39 Ky.R. 2194; 40 Ky.R. 16; eff. 7-17-2013; 42 Ky.R. 488; 1140; eff. 11-6-2015; 43 Ky.R. 2187; 44 Ky.R. 216; eff. 8-16-2017; 44 Ky.R. 2239, 2475; eff. 6-20-2018; 48 Ky.R. 2847; 49 Ky.R. 325; eff. 8-25-2022; TAm eff. 11-21-2023.

201 KAR 20:085 Licensure periods and miscellaneous requirements {#sec-201-kar-20-085 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:085}

Section 1.

(1) A nursing license or credential issued during the first six (6) months of a licensure period shall expire at the end (October 31) of the current licensure period.

(2) A nursing license or credential issued during the last six (6) months of a licensure period shall expire at the end (October 31) of the succeeding licensure period.

Section 2. Licensure Periods. The licensure period for all licenses and credentials, except for provisional, inactive, and retired status licenses, shall be for one (1) year beginning on November 1.

Section 3. For the purposes of the practice of nursing, a nurse shall use the name under which he or she is licensed with the board of nursing.

Section 4.

(1) A nurse shall provide the board with an electronic mail (email) address to receive communications from the board.

(2) This requirement shall also apply to dialysis technicians and certified professional midwives.

(3) The email address provided shall be exempt from disclosure pursuant to KRS 61.878(1)(a).

Section 5.

(1) A nurse shall provide the board with Workforce Data as part of the nurse's licensure renewal application under 201 KAR 20:370.

(2) The Workforce Data is collected for statistical purposes and shall be exempt from disclosure pursuant to KRS 61.878(1)(a).

History

RELATES TO: KRS 61.878, 314.041, 314.051, 314.071, 314.073
STATUTORY AUTHORITY: KRS 314.071, 314.131
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.071(1) requires the board to establish licensure periods by administrative regulation for licenses issued by the board. This administrative regulation establishes the licensure periods andmiscellaneous requirements.
History: 9 Ky.R. 289; eff. 9-8-1982; Am. 11 Ky.R. 1623; eff. 6-4-1985; 21 Ky.R. 1748; eff. 2-15-1995; 31 Ky.R. 794; 1056; eff. 1-4-2005; 38 Ky.R. 1185; 1437; eff. 2-15-2012; 39 Ky.R. 2196 eff. 7-17-2013; 47 Ky.R. 553; eff. 12-15-2020; 48 Ky.R. 2615, 49 Ky.R. 19; eff. 8-25-2022.

201 KAR 20:095 Retired nurse licensure status {#sec-201-kar-20-095 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:095}

Section 1. Retired Status.

(1) A registered nurse or a licensed practical nurse who is retired and holds or has held a Kentucky nurse license may apply for retired status by:

(a) Completing the "Application for Retired Status" as required by 201 KAR 20:370;

(b) Paying the fee set out in 201 KAR 20:240; and

(c) Submitting a copy of an official name change document, such as a court order, marriage certificate, Social Security card, or divorce decree, if applicable.

(2)

(a) Upon completion of all requirements, the board shall issue the nurse a retired status license.

(b) The retired status license shall remain in effect unless reinstated in accordance with 201 KAR 20:225. A nurse who is currently under disciplinary action shall not be eligible for retired status.

Section 2.

(1) An individual who has been granted retired status in Kentucky shall not be employed in this state as a nurse or function in the capacity of a nurse while maintaining the retired status.

(2) An individual who is employed or who practices as a nurse in this state while on retired status shall be considered to be practicing without a license and in violation of KRS 314.031 and subject to the penalties in KRS 314.091 and 314.991.

History

RELATES TO: KRS 314.041(10), 314.051(10)
STATUTORY AUTHORITY: KRS 314.041(10), 314.051(10), 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations to implement the provisions of KRS 314.011 to 314.991. KRS 314.041(10) and 314.051(10) authorize the board to promulgate administrative regulations concerning the granting of retired status for persons holding licensure as a "registered nurse" or a "licensed practical nurse". This administrative regulation establishes requirements for obtaining retired status and establishes requirements for changing licensure status to active.
History: 6 Ky.R. 162; eff. 10-3-1979; 9 Ky.R. 595; eff. 12-1-1982; 11 Ky.R. 1624; eff. 6-4-1985; 14 Ky.R. 574; 1066; eff. 11-6-1987; 1581; eff. 3-10-1988; 19 Ky.R. 1639; eff. 2-17-1993; 27 Ky.R. 821; 1248; eff. 11-17-2000; 29 Ky.R. 499; 919; eff. 10-16-2002; 30 Ky.R. 380; 847; 2546; eff. 10-15-2003; 31 Ky.R. 339; eff. 8-24-2004; 31 Ky.R. 339; 795; 1056; eff. 1-4-2005; 32 Ky.R. 289; eff. 10-19-2005; 44 Ky.R. 1381; eff. 2-15-2018; Cert eff. 1-3-2025.

201 KAR 20:110 Licensure by endorsement {#sec-201-kar-20-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:110}

Section 1. Eligibility for Licensure by Endorsement.

(1) To be eligible for licensure by endorsement, an applicant shall:

(a)

Have completed a state approved program of nursing equivalent to Kentucky requirements; or
Have completed requirements found equivalent to a state program of nursing;

(b) Have taken and passed the State Board Test Pool Examination or National Council Licensure Examination or an examination that is consistent with Section 4 of this administrative regulation;

(d) Submit the current fee for a licensure application, as established by 201 KAR 20:240;

(e) Report and submit a certified or attested copy of each disciplinary action taken or pending on a nursing or other professional or business license by another jurisdiction and a letter of explanation;

(f) Submit a certified copy of the court record of each misdemeanor or felony conviction and a letter of explanation that addresses each conviction as required by 201 KAR 20:370, Section 1(3);

(g) Request the U.S. jurisdiction, territory, or foreign country of initial licensure to submit to the board a verification of licensure by examination, which shall include the following information:

a. Name of the program of nursing completed and date of graduation; or

b. Name of the program of nursing attended and date of completion of the requirements for eligibility to take the licensure examination in that jurisdiction; and

A statement that the applicant's license has not been revoked, suspended, limited, probated, or otherwise disciplined by the licensing authority and is not subject to disciplinary action;

(h) Submit a criminal record check completed within six (6) months of the date of the application by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI) using the FBI Applicant Fingerprint Card, and including payment of any required fee to the KSP and the FBI; and

(i) Submit evidence of completion of the jurisprudence examination required by KRS 314.041(4) for RN applications or KRS 314.051(4) for LPN applications as approved by the board.

(2) An application shall be valid for a period of one (1) year. The applicant shall:

(a) Submit a copy of a marriage certificate, divorce decree, Social Security card, or court order to change the applicant's name, if the applicant's name is changed after the original application is filed; and

(b) Notify the board in writing as soon as a new address is established after submitting the application.

(3) After one (1) year if the requirements for licensure have not been met, the applicant shall:

(a) Submit a new application;

(b) Submit the current licensure application fee as established by 201 KAR 20:240; and

(4) The applicant shall meet all of the continuing education course.earning requirements in 201 KAR 20:215, Section 5 that are required for the applicant's licensure.

(5) An applicant shall not be licensed until a report is received from the FBI pursuant to the request submitted under subsection (1)(h) of this section and any conviction is addressed by the board.

Section 2. Nursing Practice and Continuing Education Requirements.

(1) Except as provided in subsection (2) of this section, an applicant shall complete fourteen (14) contact hours in continuing education for each year since the last year in which the applicant is able to demonstrate at least 100 hours of practice.

(2) The requirement established in subsection (1) of this section shall not apply to an applicant who:

(a) Has been licensed for less than five (5) years from the date of initial licensure;

(b) Has been actively licensed and engaged in nursing practice for at least 500 hours during the preceding five (5) years; or

(c) Has not been engaged in nursing practice during the five (5) years preceding the date of the application. This applicant shall complete at least 120 contact hours of continuing education earned within one (1) year of the date of the application.

(3) At least fourteen (14) contact hours shall have been earned within the twelve (12) months preceding the date of application for active Kentucky licensure status.

(4) Continuing education earned more than five (5) years preceding the date of application shall not be counted toward meeting the requirements established in subsections (1) and (3) of this section.

Section 3. Temporary Work Permit.

(1) An applicant for licensure by endorsement who meets all of the requirements of Section 1(1)(a) through (i), except for paragraph (g) of this administrative regulation shall be issued a temporary work permit, but not until the report is received from the FBI and any conviction is addressed by the board.

(2) A temporary work permit shall be valid for a period not to exceed six (6) months.

(3) An individual who practices as a nurse in Kentucky without a current temporary work permit prior to issuance of a current active license shall be considered to be practicing without a license in violation of KRS 314.031 and shall be subject to the penalties listed in KRS 314.091 and 314.991.

Section 4. Licensing Examination Standards. An applicant who has taken an examination other than the State Board Test Pool Examination or the National Council Licensure Examination shall provide evidence to the board that the examination met the following standards of equivalency:

(1) Accepted psychometric procedures shall be used in the development of the examination;

(2) The examination shall be available to the board in the English language;

(3) The examination test plan blueprint shall be available for board review and adequately identifies test content and content weighting;

(4) Test items shall be available for board review and demonstrate the testing of competency necessary for safe practice;

(5) At least one (1) of the reliability estimates for the examination shall be 0.80 or higher;

(6) The examination shall be revised after each administration to ensure currency and security of content; and

(7) The examination shall be given under strict security measures.

Section 5. Applicants for LPN License Pursuant to KRS 314.041(16). An applicant for an LPN license pursuant to KRS 314.041(16) shall meet the requirements of this administrative regulation.

Section 6.

(1) An applicant not from a party state under the Nurse Licensure Compact who is issued a license and does not have permanent residency in Kentucky shall be issued a license that indicates on the license that it is only valid in Kentucky.

(2) The board may request that an applicant provide evidence of the applicant's state of residence.

History

RELATES TO: KRS 194A.540, 314.031, 314.041, 314.051, 314.091, 314.103, 314.109, 314.475, 314.991
STATUTORY AUTHORITY: KRS 314.041(7), 314.051(8), 314.101(4), 314.103, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations to implement the provisions of KRS 314.011 to 314.991. KRS 314.041(7) and 314.051(8) authorize the board to issue a license to practice nursing as a registered nurse or a licensed practical nurse to an applicant who has passed the required examination or its equivalent and who was licensed to practice nursing in another jurisdiction. KRS 314.103 authorizes the board to require a criminal background check investigation of an applicant or nurse. KRS 314.101(4) authorizes the board to issue a temporary work permit to a person who has completed the requirements for, applied for, and paid the fee for licensure by endorsement. This administrative regulation establishes the requirements for licensure by endorsement and establishes the requirements for a temporary work permit for an applicant to practice nursing while the application for a license is being processed.
History: 1 Ky.R. 1252; eff. 7-2-1975; 6 Ky.R. 579; eff. 7-2-1980; 8 Ky.R. 781; eff. 3-1-1982; 11 Ky.R. 1626; eff. 6-4-1985; 14 Ky.R. 575; 1067; eff. 11-6-1987; 1582; eff. 3-10-1988; 19 Ky.R. 1641; eff. 2-17-1993; 24 Ky.R. 1754; 2110; eff. 4-13-1998; 25 Ky.R. 594; 1031; eff. 11-18-1998; 26 Ky.R. 1438; eff. 2-16-2000; 27 Ky.R. 823; 1249; eff. 11-17-2000; 28 Ky.R. 677; eff. 10-17-2001; 1678; 3-14-2002; 29 Ky.R. 500; 920; eff. 10-16-2002; 30 Ky.R. 380; 847; eff. 10-15-2003; 31 Ky.R. 797; 1291; 1400; eff. 2-22-2005; 32 Ky.R. 290; eff. 10-19-2005; 1918; eff. 6-21-2006; 33 Ky.R. 861; 1287; eff. 11-15-2006; 34 Ky.R. 2338; 2525; eff. 6-18-2008; 37 Ky.R. 424; 10-20-2010; 38 Ky.R. 2902; eff. 8-17-2011; TAm eff. 5-10-2012; 39 Ky.R. 2197; eff. 7-17-2013; 42 Ky.R. 490; 1141; eff. 11-6-2015; 43 Ky.R. 2189; 44 Ky.R. 217; eff. 8-16-2017; 44 Ky.R. 2241, 2476; eff. 6-20-2018; 46 Ky.R. 2987; 47 Ky.R. 527eff. 9-23-2020; 48 Ky.R. 2616, 49 Ky.R. 19; eff. 8-25-2022.

201 KAR 20:161 Investigations and dispositions of complaints {#sec-201-kar-20-161 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:161}

Section 1. Receipt of Complaints.

(1) The board shall receive and process each complaint made against a credential holder, licensee, holder of a multistate licensure privilege pursuant to KRS 314.475, applicant, or unlicensed individual if the complaint alleges acts that may be in violation of the provisions of KRS Chapter 314, 201 KAR 20:478, Section 2, or 201 KAR 20:630, Section 1.

(2)

(a) A complaint shall be in writing and shall be dated and fully identify the individual by name. The complaint may be submitted electronically, by fax, hand-delivery, or mail.

(b) The president of the board or the executive director, or their designee shall file a complaint based upon information received by oral, telephone, or written communications if the facts of the complaint are found to be accurate and indicate acts that may be in violation of the provisions of KRS Chapter 314, 201 KAR 20:478, Section 2, or 201 KAR 20:630, Section 1.

(3) A certified copy of a court record for a misdemeanor or felony conviction, or a certified copy of disciplinary action in another jurisdiction shall be considered a valid complaint.

(4) A complaint shall be investigated.

(a) If the complaint establishes a potential violation or the conduct falls within the statutory or regulatory instances which shall be investigated, the board shall send a copy of the complaint to the credential holder, licensee, holder of a multistate privilege, or applicant to the address of record by United States Postal Service regular mail. If the board is aware of the person's email address, it may send a copy by email as well.

For credential holders and licensees, the address of record is the last known address in accordance with KRS 314.107, 201 KAR 20:478, Section 3(1), or 201 KAR 20:630, Section 4(1).
For applicants for nurse licensure, the address of record is the last known address in accordance with 201 KAR 20:370, Section 1(10).
For applicants for a dialysis technician credential or licensure as a licensed certified professional midwife, the address of record is the last known address reported to the board by the applicant.
For holders of a multistate privilege, the address of record is the last known mailing address of record reported by the primary state of residence board of nursing to the NURSYS database.
All further mailings to the respondent subsequent to the complaint shall be mailed by U.S. Postal Service regular mail to the address of record, except:

a. If a respondent has submitted a written request for email delivery in lieu of regular mail; or

b. A notice of hearing pursuant to KRS 13B.050 or a final order pursuant to KRS 13B.120, both of which shall be mailed by U.S. Postal Service certified mail to the address of record, notwithstanding whether a respondent has submitted a written request for email delivery under clause a. of this subparagraph.

(b) A written, legible, verified response shall be filed with the board within thirty (30) days of receipt by the individual against whom the complaint has been made.

(5)

(a) A complaint shall be evaluated to find if a violation of the provisions of KRS Chapter 314, 201 KAR 20:478, Section 2, or 201 KAR 20:630, Section 1 has been alleged.

(b) The credentials review panel or the executive director, or their designee shall make the determination as to the disposition of the complaint pursuant to Section 2 of this administrative regulation.

(6)

(a) All preliminary information shall be treated as confidential during the investigation and shall not be disclosed to board members or to the public, except as provided by KRS 314.475. The board shall make available to the public the fact that an investigation is pending.

(b) If a board member has participated in the investigation or has substantial knowledge of facts prior to a hearing on the complaint that may influence an impartial decision by the member, that member shall not participate in the adjudication of the complaint at a hearing, pursuant to KRS Chapter 13B. A board member may participate in the consideration and ratification of an order or consent decree that has been submitted to the full board pursuant to this administrative regulation.

(7)

(a) If the board receives a report of improper, inappropriate, or illegal prescribing or dispensing of a controlled substance by an advanced practice registered nurse (APRN), it shall notify, within three (3) business days:

The Department of Kentucky State Police;
The Office of the Attorney General; and
The Cabinet for Health and Family Services, Office of the Inspector General.

(b) An investigation concerning a complaint filed against an APRN pertaining to the improper, inappropriate, or illegal prescribing or dispensing of controlled substances shall be commenced within seven (7) days of the filing of the complaint.

(c) The investigation shall be completed and a determination as to the disposition of the complaint shall be made within 120 days of the receipt of the complaint, unless:

The circumstances of the complaint make it impractical to produce the charging decision pursuant to this subsection; or
An extension of time is requested by a law enforcement agency due to an ongoing criminal investigation.

Section 2. Disposition of Complaints.

(1) Disposition of complaints shall be as follows:

(a) If there is a determination by the executive director or designee that there is insufficient evidence of a violation or that a violation has not occurred, there shall not be further action unless warranted by future evidence;

(b)

The complaint may be referred to the credentials review panel of the board by the executive director or designee for disposition pursuant to this section or for issuance of a letter of concern; or
It may be found that there is probable cause that a violation of KRS 314.091, 201 KAR 20:478, Section 2, or 201 KAR 20:630, Section 1, has occurred.

(c) In cases involving practice as a nurse on the privilege pursuant to KRS 314.475, the case may be referred to the home state.

(2) Upon determination that there is probable cause that a violation of KRS 314.091, 201 KAR 20:478, Section 2, or 201 KAR 20:630, Section 1, has occurred, the complaint shall be handled as follows:

(a) An administrative hearing may be scheduled pursuant to subsection (3) of this section;

(b) An agreed order may be offered pursuant to subsection (4) of this section; or

(3) Administrative hearings.

(a) Hearings shall be held pursuant to KRS 314.091, Chapter 13B, and 201 KAR 20:162.

(b) Notice of the hearing and charges shall be signed by the executive director or designee.

(4) Agreed order.

(a) The board may enter into an agreement with an individual for denial, revocation, voluntary surrender, suspension, probation, reinstatement, limitation of credential or license, or reprimand, and to impose a civil penalty, if the individual agrees to waive the right to a hearing. The terms of the agreement may include other conditions or requirements to be met by the individual, including those listed in Section 4 of this administrative regulation.

(b) The agreed order may contain terms that ensure protection of public health and safety or that serve to educate or rehabilitate the individual.

(c) The agreed order, if approved by the board or the board designee, shall terminate the investigation of a specific complaint.

(d) If the agreed order is not approved by the board, or the board designee, charges may be brought pursuant to KRS 314.091, 201 KAR 20:478, Section 2, or 201 KAR 20:630, Section 1, and the matter shall be resolved as directed therein.

(5) Consent decree.

(a) If an individual agrees to waive the right to a hearing, the board may issue a consent decree in accordance with the provisions of KRS 314.991 to impose a civil penalty and other terms and conditions as listed in Section 4 of this administrative regulation against an individual who has:

Practiced as a nurse in the Commonwealth of Kentucky without a temporary work permit, multistate licensure privilege pursuant to KRS 314.475, or a current license or provisional license issued by the board;
Practiced as an advanced practice registered nurse in the Commonwealth of Kentucky without current licensure issued by the board prior to filing an application for licensure;
Practiced as an advanced practice registered nurse after expiration of the current certification granted by the appropriate national organization or agency;
Practiced as a licensed certified professional midwife after the license lapsed due to non-renewal;
Practiced as a dialysis technician after the dialysis technician credential lapsed due to non-renewal;
Rectified noncompliance with continuing education requirements, as established in 201 KAR 20:215, Section 3;
Tested positive on a drug screen for a nonprescribed drug,illicit substance, or THC without proof of certification or registry identification card, and obtained a substance use disorder evaluation that does not indicate a diagnosis of substance use disorder;
Failed to report a criminal conviction or disciplinary action against any professional license or credential in Kentucky or in another jurisdiction on an application;
Committed a substandard nursing, dialysis technician, or licensed certified professional midwife act where:

a. The continuing practice by the respondent does not pose a risk of harm to the client or another;

b. The potential risk of physical, emotional, or financial harm to the client due to the incident is minimal;

c. The respondent subsequently exhibits a conscientious approach to and accountability for his or her practice; and

d. The respondent subsequently has demonstrated the knowledge and skill to practice safely; or

As an advanced practice registered nurse (APRN) who has obtained a DEA registration number for the prescribing of controlled substances:

a. Failed to register with KASPER or the PDMP, as defined in 201 KAR 20:057, Section 1;

b. Failed to report a DEA registration number to the board; or

c. Failed to notify the board of a CAPA-NS or CAPA-CS, or the recission of either.

(b) The issuance of a consent decree shall be restricted to those individuals described in paragraph (a) of this subsection who have not been issued a consent decree for the same or substantially similar violation and that is ineligible for expungement under 201 KAR 20:410. If determining whether a same or substantially similar prior consent decree would disqualify an individual's eligibility for another consent decree, the board shall disregard 201 KAR 20:410, Section 5.

(c) Upon ratification by the board of the consent decree, the investigation of the specific complaint shall be terminated.

(d) If the consent decree is not ratified by the board, charges may be brought pursuant to KRS 314.091, and the matter shall be resolved as directed therein.

(e) Consent decrees that have been ratified by the board shall not be reported to other state boards of nursing, the national council of state boards of nursing, or other organizations, unless required by law.

(6) Special standards for an Advanced Practice Registered Nurse (APRN) with a Collaborative Agreement for Prescriptive Authority for Controlled Substances (CAPA-CS).

(a) An APRN licensed in Kentucky or an applicant for APRN licensure in Kentucky who has been convicted of any felony offense after July 20, 2012, relating to controlled substances in any state shall be permanently banned from prescribing controlled substances.

(b) An APRN licensed in Kentucky or an applicant for licensure in Kentucky who has been convicted of any misdemeanor offense after July 20, 2012, relating to prescribing or dispensing controlled substances in any state shall have their authority to prescribe controlled substances suspended for at least three (3) months and further restricted as established by the board.

(c) The board shall mirror in time and scope any disciplinary limitation placed on an APRN licensed in Kentucky by a licensing board of another state if the disciplinary action resulted from improper, inappropriate, or illegal prescribing or dispensing of controlled substances.

(d) An applicant for APRN licensure in Kentucky who has disciplinary action by a licensing board of another state which resulted from improper, inappropriate, or illegal prescribing or dispensing of controlled substances shall have his or her application denied.

(e) Cases that come under KRS 314.011(21)(c) shall not be considered convictions for the purpose of this subsection.

Section 3. The executive director or designee shall notify the complainant and the person against whom the complaint was made of the final disposition of the case.

Section 4. The restrictions or conditions imposed by the board on a temporary work permit, DT applicant, holder of a multistate licensure privilege, or license or provisional license may include the following:

(1) Prohibiting the performance of specific healthcare acts including:

(a) Access to, responsibility for, or the administration of controlled substances;

(b) Administration of medication;

(d) Any act that the individual is unable to safely perform;

(2) Requiring the individual have continuous, direct, or on-site supervision by a licensed nurse, physician, or another specifically identified classification of professional licensure in Kentucky;

(3) Specifying the individual's practice setting;

(4) Specifying the types of patients to whom the individual may give professional care;

(5) Requiring the individual to notify the board in writing of a change in name, address, or employment;

(6) Requiring the individual to have his or her employer submit to the board written reports of performance or compliance with the requirements established by the board;

(7) Requiring the individual to submit to the board evidence of:

(a) Physical, mental health, neuropsychological, psychosocial, psychosexual, or substance use disorder evaluations;

(b) Counseling;

(d) Drug screens;

(8) Meeting with representatives of the board;

(9) Issuing the license or temporary work permit for a specified period of time;

(10) Requiring the individual to notify the board in writing of criminal arrests, charges, or convictions;

(11) Requiring the individual to be employed as a nurse, dialysis technician, or licensed certified professional midwife for a specified period of time; or

(12) Requiring the individual to complete continuing education or other training in a specific subject.

Section 5. Anonymous Complaints. Section 1(2)(a) of this administrative regulation notwithstanding, the board shall accept an anonymous complaint if the complaint is accompanied by sufficient corroborating evidence as would allow the board to believe, based upon a totality of the circumstances, that a reasonable probability exists that the complaint is meritorious.

Section 6. In accordance with 42 U.S.C. 1320a-7e et seq., 1396r-2 et seq., and 45 C.F.R. Part 60, the board shall submit all disciplinary actions to the National Practitioner Data Bank of the United States Department of Health and Human Services either directly or through a reporting agent.

Section 7.

(1) The board may conduct a random audit of the prescribing practices of an advanced practice registered nurse (APRN) through a review of data in KASPER or PDMP, as defined in 201 KAR 20:057, Section 1, such as patient records, pharmacy records, or other relevant material.

(2) An APRN who is audited shall cooperate with the audit. Failure to cooperate may subject the APRN to disciplinary action pursuant to KRS 314.091.

Section 8. The board may initiate disciplinary proceedings pursuant to this administrative regulation for any potential violation of KRS Chapter 314 or 201 KAR Chapter 20.

History

RELATES TO: KRS Chapter 13B, 218A.205, 314.011, 314.031, 314.035, 314.071(4), 314.091, 314.107, 314.137, 314.402, 314.404, 314.475, 314.991(3), 42 U.S.C. 1320a-7e et seq., 1396r-2 et seq., 45 C.F.R. Part 60
STATUTORY AUTHORITY: KRS 218A.205, 314.035, 314.131(1), 314.137, 314.402, 314.404
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations necessary to enable it to carry into effect the provisions of KRS Chapter 314. This administrative regulation establishes the procedures for the investigation and disposition of complaints received by the board.
History: 201 KAR 020:161. 11 Ky.R. 1694; eff. 6-4-1985; 14 Ky.R. 578; 1068; eff. 11-6-1987; 2192; eff. 8-5-1988; 15 Ky.R. 838; eff. 10-14-1988; 17 Ky.R. 2758; eff. 4-11-1991; 19 Ky.R. 2667; 20 Ky.R. 304; eff. 8-6-1993; 32 Ky.R. 292; 620; eff. 10-19-2005; 33 Ky.R. 863; 1288; eff. 11-15-2006; 34 Ky.R. 2341; 2527; eff. 6-18-2008; 35 Ky.R. 1505; eff. 2-18-2009; 36 Ky.R. 1978; eff. 5-7-2010; TAm eff. 7-15-2010; 38 Ky.R. 297; 10-19-11; 39 Ky.R. 538; eff. 2-1-2013; 40 Ky.R. 2602; 41 Ky.R. 22; eff. 8-1-2014; 45 Ky.R. 1739, 2580; eff. 3-13-2019; 47 Ky.R. 555; eff. 12-15-2020; 52 Ky.R. 209, 707; eff. 11-12-2025.

201 KAR 20:162 Disciplinary proceedings {#sec-201-kar-20-162 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:162}

Section 1. An administrative hearing shall be conducted in accordance with KRS Chapter 13B.

Section 2. Composition of the Hearing Panel.

(1)

(a) Except as established in paragraph (b) of this subsection, a disciplinary action shall be heard by a hearing panel consisting of two (2) members of the board, one (1) of whom shall be a registered nurse, and a hearing officer qualified in accordance with KRS 13B.040, who shall be:

An assistant attorney general; or
Other attorney appointed by the board.

(b) A hearing officer meeting the requirements described in this section shall conduct the hearing without a hearing panel:

At an emergency hearing pursuant to KRS 13B.125(3); or
At a hearing pursuant to KRS 131.1817(5)(e).

For consideration of reinstatement of a license or credential;
For consideration of removal of a license or credential from limited or probationary status or alternative program monitoring upon a notice of hearing filed by the board pursuant to KRS 13B.050;
For consideration of suspension or revocation of a license or credential for violating the terms of a decision, agreed order, or monitoring agreement; or
If each party agrees.

(2) Pursuant to KRS 13B.040, a board member shall not sit on a panel or participate in the adjudication of a matter at hearing in which the member has:

(a) Discussed the merits of the action with agency staff;

(b) Personal knowledge of the facts giving rise to the disciplinary action; or

(3) Notwithstanding subsection (2) of this administrative regulation, a board member may participate in the consideration and ratification of a recommended order that has been submitted to the full board pursuant to KRS 13B.110 and this administrative regulation.

(4) The hearing shall be transcribed by a court stenographer or video recorded.

Section 3. Response to Charges. The licensee or applicant shall file with the board a written answer to the specific allegations contained in the notice of charges within twenty (20) days of receipt of the charges. An allegation not properly answered shall be deemed admitted. Failure to file an answer may result in the issuance of a recommended order by the hearing officer pursuant to KRS 13B.080(6). After the entry of a recommended order, the board may for good cause permit the late filing of an answer.

Section 4. Rulings by a Hearing Officer.

(1) The hearing officer shall rule upon each objection or motion, including an objection to evidence.

(2) A decision of the hearing officer may be overridden by a unanimous vote of the board members of the hearing panel.

Section 5. Recommendation by the Hearing Panel.

(1) Upon the conclusion of the hearing, the panel shall retire into closed session for purpose of deliberations. Each board member of the panel shall be eligible to cast one (1) vote. In case of a tie vote, the tie shall be broken by the hearing officer.

(2) At the conclusion of the panel's deliberations, it shall propose an order based upon the evidence presented. The hearing officer shall draft a recommended order, as required by KRS 13B.110(1) that shall be:

(a) Consistent with the panel's deliberations; and

(b) Submitted to the full board.

(3) This section does not apply to an emergency hearing conducted pursuant to KRS 13B.125(3).

Section 6. Continuances; Proceedings in Absentia.

(1) The board shall not postpone a case that has been scheduled for a hearing absent good cause. A request by a licensee or applicant for a continuance shall be considered if communicated to the board reasonably in advance of the scheduled hearing date and based upon good cause.

(2) The decision of whether or not to grant a continuance shall be made by the hearing officer.

(3) The burden shall be upon the licensee or applicant to be present at a scheduled hearing.

(4) Failure to appear at a scheduled hearing for which a continuance has not been granted in advance shall be deemed a waiver of the right to appear and the hearing may be held as scheduled without the participation of the absent party, or the hearing officer may adjourn the proceedings and issue a recommended order granting or denying relief as appropriate.

Section 7. Hearing Costs.

(1) If the order of the board is adverse to a licensee or applicant or if the hearing is scheduled at the request of a licensee or applicant for relief from sanctions previously imposed by the board pursuant to the provisions of KRS Chapter 314, the board may impose the following costs:

(a) The cost of stenographic services;

(b) The cost of the hearing officer as determined by subsection (2) of this section; and

(2) The cost of the hearing officer shall be determined as established in paragraphs (a) through (c) of this subsection. The cost of a:

(a) Disciplinary hearing shall be $400 per day;

(b) Reinstatement hearing shall be $350; and

(3) Other costs may include:

(a) Expert witness costs, including travel, lodging and per diem at the rate applicable to Kentucky Executive Branch employees pursuant to 201 KAR 2:006;

(b) Travel for other witnesses, including lodging and per diem at the rate applicable to Kentucky Executive Branch employees pursuant to 201 KAR 2:006;

(d) The cost of a certified copy of laboratory testing records.

Section 8. Reconsideration of Recommended Orders Entered Pursuant to KRS 13B.080(6).

(1) A recommended order entered by the hearing officer pursuant to KRS 13B.080(6) may be:

(a) Accepted and adopted by the board as the agency's final order;

(b) Modified by the board; or

(2) Either party may file exceptions to the hearing officer's recommended order pursuant to KRS 13B.080(6) with the agency head in accordance with KRS 13B.110(4).

(3) The board may order that the recommended order be set aside if the exceptions filed by the party demonstrate good cause.

(4) If a recommended order entered pursuant to KRS 13B.080(6) is set aside, the provisions of 201 KAR 20:161 shall apply.

(5) The hearing officer may issue a recommended order pursuant to KRS 13B.080(6) without a motion from the parties after notice.

Section 9. Prescribing or Dispensing Controlled Substance Cases.

(1) An investigation pertaining to prescribing or dispensing of a controlled substance shall produce a charging decision by the board within 120 days of the receipt of the complaint unless the circumstances of a particular complaint make it impractical to timely produce the charging decision.

(2) The board may hold an investigation pertaining to prescribing or dispensing of a controlled substance in abeyance for a reasonable period of time in order to permit a law enforcement agency to perform or complete essential investigative tasks, following a request by the requesting law enforcement agency.

(3) If an investigation pertaining to prescribing or dispensing of a controlled substance does not produce a charging decision within 120 days of the receipt of the complaint, and if the investigative report plainly states the circumstances of that particular investigation or complaint that made timely production of a charging decision impractical, the inability to meet the 120-day deadline shall not constitute a defense to a finding of wrongdoing by a licensee, applicant, or person privileged to practice.

Section 10. Change in Licensure Status.

(1) Pursuant to the Nurse Licensure Compact, KRS 314.475, if a nurse whose primary state of residence is Kentucky and who holds a Kentucky license with multistate privileges incurs a disqualifying event, the license shall be converted to a single state license valid only in Kentucky.

(2) The disqualifying events that may cause this change in status shall be:

(a) Conviction or found guilty of or entered into an agreed disposition of a felony offense;

(b) Conviction or found guilty of or entered into an agreed disposition of a misdemeanor offense related to the practice of nursing;

(d) An encumbered nursing license or privilege to practice due to disciplinary action.

(3)

(a) The board shall inform the nurse in writing of its intent to change the status of the Kentucky license.

(b) The nurse may request an administrative hearing on this action. A request shall be made in writing to the board within twenty (20) days.

(c) Failure to request an administrative hearing within twenty (20) days shall constitute a waiver of the right to a hearing.

(4) The procedure established in this section shall not be in lieu of but may be in addition to any potential disciplinary action the board may seek based on the disqualifying event.

History

RELATES TO: KRS Chapter 13B, 314.011, 314.031, 314.071(4), 314.091, 314.161, 314.991
STATUTORY AUTHORITY: KRS 314.091(8), 314.131(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations to implement KRS Chapter 314. KRS 314.091(2) requires that an administrative hearing for the denial, limitation, probation, suspension, or revocation of the license of a registered or practical nurse be conducted in accordance with KRS Chapter 13B. KRS 314.091(8) authorizes the board, by administrative regulation, to provide for the recovery of costs of an administrative hearing. This administrative regulation establishes procedures for conducting an administrative hearing relating to disciplinary action.
History: 201 KAR 020:162. 12 Ky.R. 87; Am. 328; eff. 8-13-1985; 14 Ky.R. 579; 1069; eff. 11-6-1987; 17 Ky.R. 2760; eff. 4-11-1991; 19 Ky.R. 2669; eff. 8-6-1993; 22 Ky.R. 306; eff. 9-20-1995; 24 Ky.R. 1755; 2111; eff. 4-13-1998; 28 Ky.R. 679; eff. 10-17-2001; 35 Ky.R. 2791; eff. 8-12-2009; 37 Ky.R. 428; eff. 10-20-2010; 45 Ky.R. 1742, 2582; eff. 3-13-2019; 46 Ky.R. 2688; 47 Ky.R. 56; eff. 7-29-2020; 52 Ky.R. 212; eff. 11-12-2025.

201 KAR 20:163 Standards for approved evaluators {#sec-201-kar-20-163 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:163}

Section 1. Approved Evaluators for Chemical Dependency or Mental Health Evaluations.

(1) The board shall maintain a list of evaluators who are approved to perform chemical dependency or mental health evaluations ordered pursuant to KRS 314.085.

(2)

(a) To be placed on this list, an evaluator shall submit evidence to the board that the person is able to comply with the standards set out in this administrative regulation.

(b) The evaluator shall submit:

A curriculum vitae;
A copy of a current credential; and
The current address and telephone number of the evaluator's practice.

(3) The board shall issue a letter of approval to an evaluator who complies with subsection (2) of this section.

Section 2. Individual Evaluator Standards.

(1) An evaluator shall have documented training and experience in the specialty area of chemical dependency or mental health.

(2) An evaluator shall be licensed or certified as one of the following:

(a) Psychiatrist;

(b) Physician addictionologist;

(d) Advanced practice registered nurse;

(e) Certified alcohol and drug counselor;

(f) Certified chemical dependency evaluator;

(g) Social worker;

(h) Employee assistance program specialist; or

(i) Marriage and family therapist.

(3) An evaluator whose license or certification is not listed in subsection (2) of this section may request approval and be accepted if the evaluator can show evidence that his or her license or certification includes training in chemical dependency or mental health.

(4) An evaluator shall maintain resources for referral for treatment if the evaluator does not provide treatment services.

(5) An evaluator shall disclose fees for services prior to performing the evaluation.

(6) An approved evaluator shall update his or her evidence of compliance with these standards at least every two (2) years.

(7) An evaluator may voluntarily request removal from the list by submitting a written notice to the board.

Section 3. Evaluation Standards. An evaluation shall include the following components:

(1) Social history;

(2) Status of chemical dependency, if it is a chemical dependency evaluation;

(3) Psychological status;

(4) Results of any testing performed;

(5) Recommendations regarding the need for any further treatment or further evaluations;

(6) Assessment of the nurse's ability to function safely;

(7) Any parameters under which the nurse can practice nursing, if applicable;

(8) Recommendations for any work restrictions or monitoring reports; and

(9) Any other relevant information.

Section 4. Removal of Approval. The board may withdraw its letter of approval to an evaluator who:

(1) Fails to comply with Section 2(2) through (6) of this administrative regulation;

(2) Has disciplinary action taken against his or her license or credential;

(3) Has been convicted of a misdemeanor or felony;

(4) Fails to provide an evaluation in conformity with Section 3 of this administrative regulation; or

(5) Fails to provide for the confidentiality of patient information.

History

RELATES TO: KRS 314.085
STATUTORY AUTHORITY: KRS 314.131
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.085 authorizes the board to designate evaluators to perform chemical dependency or mental health evaluations. This administrative regulation establishes the standards that evaluators must meet to be approved by the board to conduct its required evaluations.
History: 33 Ky.R. 2830; eff. 5-4-2007; 36 Ky.R. 1302; 1905; eff. 3-5-2010; TAm eff. 7-15-2010; Crt eff. 5-10-2019; TAm eff. 4-2-2021; Crt eff. 4-10-2026.

201 KAR 20:215 Continuing competency requirements {#sec-201-kar-20-215 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:215}

Section 1. Definitions.

(1) "Contact hour" means fifty (50) minutes of an approved, organized learning experience.

(2) "Earning period" means November 1 through October 31 of a current licensure period.

(3) "Preceptor" means a nurse with demonstrated competence in a specific clinical area who serves as a role model and mentor to assist in the development and validation of the competencies of a nursing student or new employee.

Section 2.

(1) A licensee shall choose a method from Section 3 of this administrative regulation to validate his or her continued competency in nursing for each earning period.

(2) A licensee shall maintain the documentation of the method chosen.

(3) A licensee shall provide the documentation if directed by the board.

Section 3. Methods for continued competency validation as established in subsection (1) through (4) of this section shall be:

(1) Fourteen (14) contact hours of continuing education, which shall:

(a) Be from a provider approved by the board pursuant to 201 KAR 20:220;

(b) Be completed during the earning period; and

(2) Current national certification or recertification and the continuing education required by Section 5 of this administrative regulation. The certification shall be related to the nurse's practice role and shall:

(a) Have been initially attained during the earning period;

(b) If issued for a period of time as evidenced by an expiration date, have been in effect during the entire earning period; or

(3) The continuing education required by Section 5 of this administrative regulation and at least one (1) of the following during the earning period:

(a) Completion of a research project that is nursing-related:

As principal investigator, coinvestigator, or project director;
That is qualitative or quantitative in nature;
That utilizes a research methodology;
That increases knowledge, causes an improved outcome, or changes behavior; and
That is evidenced by an abstract of the project, which includes a summary of the findings;

(b) Publication of an article in a peer-reviewed health-related journal; or

That has a preceptorship that shall be for at least 120 hours;
Requires a one (1) to one (1) relationship between the preceptor and the student or employee;
Authorizes the preceptor to train more than one (1) student or employee and to combine the hours to total 120 hours; and
Includes that the preceptorship shall be evidenced by submission of the Preceptor Continuing Education Verification Form completed by the educational institution or preceptor's supervisor; or

(4)

(a) Seven (7) hours of continuing education from a provider approved by the board pursuant to 201 KAR 20:220 and earned during the licensure period, which shall include the continuing education required by Section 5 of this administrative regulation if applicable; and

(b) A nursing employment evaluation that is satisfactory for continued employment.

The nurse shall submit the Nursing Continuing Education Employment Evaluation Form, completed and signed by the nurse's supervisor or employer, which shall cover a period of at least six (6) months during the earning period; or
The board may accept from the employer a standard employee evaluation, which covers a period of at least six (6) months during the earning period.

(5) Contact hours of continuing education earned for the methods of continued competency validation as established in subsection (1) or (4) of this section may be earned by:

(a)

A nursing continuing education presentation that is:

a. Designed and developed by the presenter;

b. Presented to nurses or other health professionals;

c. Evidenced by a program brochure, course syllabi, or a letter from the offering provider identifying the licensee's participation as the presenter of the offering; and

d. Offered by a provider approved pursuant to 201 KAR 20:220.

The number of contact hours that may be earned shall be twice the number of contact hours offered to an attendee of the presentation; or

(b) Successful completion of a postlicensure academic course at a college, university, or postsecondary vocational institution if relevant to nursing practice as determined by this subsection.

Contact hours shall be calculated as follows:

a. One (1) semester or trimester hour of academic credit shall equal fifteen (15) contact hours; or

b. One (1) quarter hour of academic credit shall equal twelve (12) contact hours.

The following courses shall be relevant to nursing practice:

a. A nursing course, designated by a nursing course number, and beyond the prelicensure curriculum of the individual licensee; or

b. An academic course that is applicable to the nurse's role and beyond the prelicensure curriculum of the individual licensee.

A licensee may request course review for approval of applicable nursing content pursuant to Section 7 of this administrative regulation.
If it is an academic course in which grades are given, the licensee shall achieve a grade of "C" or better, or a pass on a pass-fail grading system.

Section 4.

(1) A licensee shall provide documentation of the method used to validate continued competency if the licensee is the subject of a disciplinary complaint.

(2) A licensee shall provide documentation of the method used to validate continued competency if requested by the board pursuant to a random audit of licensees.

Section 5.

(1)

(a) An Advanced Practice Registered Nurse (APRN) shall earn a minimum of five (5) contact hours in pharmacology, as required by KRS 314.073(9).

(b) An APRN who is registered with the DEA and has a PDMP account, as defined by 201 KAR 20:057, Section 1(7), shall earn a minimum of five (5) contact hours in pharmacology, including at least three (3) contact hours on either pain management or addiction disorders.

(c) To qualify as pharmacology pursuant to KRS 314.073, content shall include drug specific information, safe prescribing practices, safe medication administration, prescribing methodologies, new administrative regulations, or similar topics.

(d) Objectives for the contact hours related to pharmacology shall be identified. Casual mention of medications or medical treatments shall not qualify.

(2) After June 27, 2023, and before the APRN's next scheduled DEA registration, an APRN who has a DEA registration shall earn a minimum of eight (8) hours on the subject of treating and managing patients with opioid or other substance use disorders, including the appropriate clinical use of all drugs approved by the Food and Drug Administration for the treatment of a substance use disorder.

(3) The following APRNs shall be deemed to have satisfied the earning requirement in subsection (2) of this section:

(a)

Those who graduated from an advanced practice nursing school within five (5) years prior to June 27, 2023, and have successfully completed a comprehensive curriculum that included at least eight (8) hours of training on the subject of treating and managing patients with opioid or other substance use disorders, including the appropriate clinical use of all drugs approved by the Food and Drug Administration for the treatment of a substance use disorder; or

a. Those who have satisfied this training by earning a minimum of eight (8) hours of training on treatment and management of patients with opioid or other substance use disorders.

b. Past trainings on the treatment and management of patients with opioid or other substance use disorders may count towards an APRN meeting this requirement, including past DATA-Waiver trainings.

(b) In addition to continuing education providers approved by the board pursuant to 201 KAR 20:220, groups approved by the DEA or the Substance Abuse and Mental Health Services Administration (SAMHSA) may provide trainings that satisfy the earning requirement of subsection (2) of this section.

(4) Sexual assault nurse examiners shall earn the continuing education required by 201 KAR 20:411, Section 8.

(5) Nurses shall earn, the following one (1) time continuing education requirements, subject to the applicable timeframes established in subsection (8) of this section:

(a) A minimum of one and one-half (1.5) contact hours in pediatric abusive head trauma as required by KRS 314.073(6);

(b) A minimum of three (3) contact hours on domestic violence and elder abuse, neglect, and exploitation as required by KRS 194A.540(9)(d);

(c) A minimum of one (1) contact hour on Alzheimer's disease and other forms of dementia as required by KRS 314.073(7); and

(d) A minimum of two (2) contact hours on the subject of suicide prevention, which shall consist of one (1) contact hour on suicide prevention generally, and one (1) contact hour that addresses:

Chronic toxic stress and secondary traumatic stress potentially increasing the incidence of suicide amongst nurses;
A confidential and standardized pathway to care for nurses that addresses screening, assessing, safety planning, referrals, and follow-up for nurses at risk for suicide;
Systems of care, evidence-informed approaches, and best practices to reduce suicide rates; and
Ethical legal considerations of caring for patients and nurses who are suicidal.

(6) Nurses who have satisfied each of the continuing education requirements in subsection (5) of this section on or before July 15, 2024, shall not be required to complete them again.

(7) Registered nurses, licensed practical nurses, and advanced practice registered nurses who hold an active nursing license on July 15, 2024, shall satisfy the continuing competency requirement in subsection (5)(c) of this section on or before October 31, 2027.

(8) The following licensees shall satisfy the continuing competency requirement in subsection (5) of this section within three (3) years of licensure:

(a) Registered nurses and licensed practical nurses who graduated from a Kentucky program of nursing that did not include the curriculum additions in 201 KAR 20:320, Section 6, and obtain licensure by examination or reinstatement after July 15, 2024;

(b) Advanced practice registered nurses who hold a privilege to practice as a registered nurse and obtain initial licensure after July 15, 2024; and

(c) Registered nurses and licensed practical nurses who have graduated from an out-of-state program of nursing and obtain licensure through examination, endorsement, or reinstatement after July 15, 2024.

(9) Medicinal cannabis practitioners and medicinal cannabis practitioner applicants shall earn the continuing education required by 201 KAR 20:067, Section 6.

Section 6.

(1)

(a) A licensee shall maintain records to substantiate methods used to validate competency.

(b) All records shall be retained for at least five (5) years following the current licensure period.

(2)

(a) A licensee shall, upon request, furnish to the board or its staff, legible copies of the records required to be maintained by subsection (1) of this section, in electronic format to the continuing education tracking system utilized by the board, via the nurse portal at https://kbn.ky.gov.

(b) Copies shall be furnished within twenty (20) days of the date a written request is sent to the last known email address of the licensee or applicant.

(c) Failure to furnish records as required by this administrative regulation shall be cause for the issuance of a complaint pursuant to 201 KAR 20:161 for failure to comply with KRS 314.073(2).

(3)

(a) Except as provided by paragraph (b) of this subsection, if a licensee has failed to comply with the continuing competency requirements, the licensee shall be allowed to rectify the noncompliance if he or she:

Meets the continuing competency requirements within ten (10) business days of notification of noncompliance; and
Enters a consent decree with the board pursuant to 201 KAR 20:161, Section 2(5), within ten (10) days of notification by the board.

(b) The board shall issue a complaint pursuant to 201 KAR 20:161 if:

A licensee fails to furnish records as requested pursuant to subsection (2) of this section; or
There is evidence of fraud or deceit in procuring or attempting to procure a license to practice nursing.

(4) A licensee who attends continuing education activities, whether as a presenter, participant, or student, shall attend the entire offering to be eligible to receive the number of contact hours for which the activity has been approved.

(5) It shall be the responsibility of each licensee to select and participate in those continuing education activities that will meet the criteria for acceptable continuing education.

(6) A licensee shall not repeat the same continuing education offering within a licensure period. The board shall determine whether a continued education offering is the same offering based upon the certificate of attendance from the offering that includes items such as the activity number, date, topic, and presenter.

Section 7.

(1) A licensee may request an individual review of a nonapproved continuing education activity completed during the earning period if, within thirty (30) days after the expiration of the immediate past licensure period, the licensee has:

(a) Requested the review by submitting an Application for Individual Review; and

(b) Paid a fee of ten (10) dollars.

(2) The review shall be based on generally accepted standards of adult education and shall be applicable to the nurse's role.

(3) Approval of a nonapproved continuing education activity shall:

(a) Qualify it as having been obtained from an approved provider for the licensee requesting the review; and

(b) Be limited to the particular offering upon which the request for individual review is based.

(4) The board may offer continuing education hours for programs sponsored by the board. These continuing education hours shall be found to have been obtained from an approved provider. The board shall comply with all applicable provider standards.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Individual Review", 9/2023;

(b) "Nursing Continuing Education Employment Evaluation Form", 9/2023; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222-5172, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 194A.540, 218A.205(3)(i), 314.011(12), 314.042(11), 314.073, 314.991(1)-(3), 620.020(8)
STATUTORY AUTHORITY: KRS 218A.205(3)(i), 314.073, 314.131(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1), (2), and 314.073 require the Board of Nursing to promulgate administrative regulations to establish continuing competency requirements for nurses. This administrative regulation establishes the fees, procedures, and requirements for continuing competency for nurses.
History: 201 KAR 020:215. 6 Ky.R. 699; 7 Ky.R. 400; eff. 10-1-1980; 9 Ky.R. 596; eff. 12-1-1982; 11 Ky.R. 1630; eff. 6-4-1985; 14 Ky.R. 583; eff. 11-6-1987; 2193; eff. 8-5-1988; 18 Ky.R. 3212; 19 Ky.R. 18; eff. 7-4-1992; 2671; eff. 8-6-1993; 22 Ky.R. 1337; 1594; eff. 3-7-1996; 23 Ky.R. 3073; eff. 3-19-1997; 27 Ky.R. 824; 1448; eff. 12-21-2000; 28 Ky.R. 126; eff. 9-10-2001; 29 Ky.R. 502; 921; eff. 10-16-2002; 2123; 2450; eff. 4-11-2003; 30 Ky.R. 2100; 2289; eff. 5-24-2004; 31 Ky.R. 799; 1058; eff. 1-4-2005; 32 Ky.R. 718; eff. 1-6-2006; 2322; eff. 9-1-2006; TAm eff. 7-13-2010; 2905; eff. 8-17-2011; 39 Ky.R. 540; eff. 2-1-2013; 42 Ky.R. 492; 1142; eff. 11-6-2015; 43 Ky.R. 1015; eff. 3-3-2017; 45 Ky.R. 1743, 2583; eff. 3.-13-2019; 48 Ky.R. 533, 2029; eff. 1-13-2022; 50 Ky.R. 871, 1881; eff. 3-21-2024; 51 Ky.R. 374, 874; eff. 11-18-2024; 51 Ky.R. 1521; eff. 7-30-2025.

201 KAR 20:220 Nursing continuing education provider approval {#sec-201-kar-20-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:220}

Section 1. Definition. "Continuing education activity" means an offering given by a provider of continuing education who has been approved or accepted by the board and that relates to the practice of nursing or contributes to the competency of a nurse extending knowledge beyond that obtained in initial nursing preparation or pertinent to specific work requirements.

Section 2.

(1) A provider of continuing education applicant who wants approval by the board to offer a continuing education activity shall submit an:

(a) Application for Continuing Education Provider Approval; and

(b) Application fee as established in 201 KAR 20:240.

(2) If an application is approved, the board shall issue a provider number to the applicant.

(3) On or before September 30 of the year in which an approval period expires, an approved provider shall submit the:

(a) Application for Continuing Education Provider Renewal; and

(b) Fee as established in 201 KAR 20:240.

(4) Renewal shall be for two (2) years.

(5)

(a) A continuing education activity that is given by a continuing education provider that has received approval by one (1) of the following organizations shall be accepted by the board:

American Association of Nurse Practitioners;
American Association of Critical Care Nurses;
American Association of Nurse Anesthetists;
American College of Nurse Midwives;
American Nurses Credentialing Center;
Association of Women's Health, Obstetric and Neonatal Nurses;
Nurse Practitioners in Women's Health;
National Association of Pediatric Nurse Practitioners;
National Association for Practical Nurses Education and Service;
National Association of Licensed Practical Nurses;
National League for Nursing; or
State Boards of Nursing.

(b) Paragraph (a) of this subsection shall include a provider that offers a continuing education activity related to the pharmacology requirement in 201 KAR 20:215.

(6)

(a) An organization that approves nursing continuing education may request that it be added to this administrative regulation.

(b) An organization shall be included in this administrative regulation if its standards are comparable to the standards established by the provisions of this administrative regulation.

Section 3.

(1) The board may review a provider's continuing education activities or approval status at any time.

(2) Except as provided in subsection (3) of this section, if after a review of a provider it is determined that the provider does not comply with this administrative regulation, the board shall send the provider notice of its intent to deny or limit the provider's approval status.

(3) If after a review of a continuing education activity it is determined that the activity does not comply with this administrative regulation, the board shall send the provider notice of its intent to deny approval status for subsequent offerings of that specific continuing education activity.

(4)

(a) A request for a hearing before the board shall be filed within ten (10) days of receipt of the board's notice.

(b) If a provider fails to submit a request for a hearing within the time established in paragraph (a) of this subsection, the board shall implement the action proposed in its notice.

Section 4. Providers shall comply with the standards in this section.

(1)

(a) A registered nurse who meets the qualifications established in paragraph (b) of this subsection shall be administratively responsible for continuing education activities, including:

Planning;
Development;
Implementation; and
Evaluation.

(b) A nurse administrator shall:

Hold a current license or privilege to practice;
Have experience in adult education; and
Hold a baccalaureate or higher degree, in nursing.

(c) The provider may designate an alternate nurse administrator who shall meet the requirements established in paragraph (b) of this subsection.

(2) Organized learning activities shall be based upon a reasonable justification supporting the need for the continuing education that:

(a) Enhances the quality, safety, and effectiveness of care provided by nurses; and

(b) Contributes directly to the competence of a nurse.

(3) The content of nursing continuing education shall be designed to:

(a) Present current theoretical knowledge to enhance and expand nursing skills; and

(b) Promote competence in decision making.

(4) Outcomes for continuing education activities shall be:

(a) Related to nursing practice and interventions;

(b) Stated in clearly defined expected learner outcomes; and

(5) The continuing education activity shall reflect planning among the nurse administrator, faculty, and content experts.

(6)

(a) The content for each educational activity shall be documented in provider files and shall include the following:

The presentation schedule;
The name and credentials of the presenter and the topic to be covered;
Times for meals and breaks, if applicable;
Teaching methods, with corresponding time frames, for each content area; and
Learner outcomes.

(b)

The content shall be relevant to and consistent with the learner outcomes.
The learner outcomes shall provide statements of observable behaviors that present a clear description of the competencies to be achieved by the learner.

(7) Teaching methods shall be consistent with the content and learning outcomes and objectives, and shall reflect the use of adult learning principles. Activities of both the teacher and the learner shall be specified.

(8) Faculty for continuing education activities shall have:

(a) Documented expertise in the subject matter; and

(b) Experience in presenting to adult learners.

(9) The name, title and credentials identifying the educational and professional qualifications for each faculty member shall be retained in the provider offering files.

(10) Resources allocated for the continuing education activity shall be adequate in terms of education unit organization, with fiscal support for adequate staff, facilities, equipment, and supplies to ensure quality teaching and learning in a comfortable environment that is accessible to the target audience.

(11) Participants shall be provided with essential information for review prior to registration. This information shall include:

(a) Learner outcomes;

(b) Content overview;

(d) Presenter;

(e) Number of contact hours;

(f) Fee and refund policy;

(g) Target audience and any prerequisites; and

(h) Requirements for successful completion that shall be clearly specified and shall include a statement of policy regarding candidates who fail to successfully complete the continuing education activity.

(12) Published information about continuing education activities offered by providers approved by the board shall include the provider number.

(13)

(a) A provider shall notify the board in writing within thirty (30) days of any changes in its administration, such as nurse administrator, mailing address, or telephone number.

(b) Information relevant to the qualifications of the new nurse administrator as established in subsection (1)(b) of this section shall be sent to the board.

(c) If a qualified nurse is not available to serve in the capacity of the administrator, the provider shall not offer any continuing education activity until a qualified nurse administrator is appointed.

(14) A provider shall designate and publish the number of hours of any portion of an offering dedicated to the pharmacology requirement of 201 KAR 20:215.

(15) Records of continuing education activities shall be maintained for a period of five (5) years, including the following:

(a) Title, date, and format of the activity;

(b) Name of the person responsible for coordinating and implementing the activity;

(d) Method of verification of participant attendance;

(e) Participant roster including the participant's name, license number, and signature or similar electronic verification;

(f) Summary of participant evaluations;

(g) Number of continuing education contact hours awarded:

Contact hours shall be calculated by taking the total number of minutes that the participants will be engaged in the learning activities, excluding breaks, and divide by fifty (50); and
Partial hours shall be permissible;

(h) Master copy of certificate of completion awarded; and

(i) Identification of required instructional materials and references.

(16) Participants shall receive a certificate of completion that documents participation with the following information:

(a) Name of participant;

(b) Offering title, date, and the format of presentation;

(d) Name and signature of authorized provider representative; and

(e) Number of continuing education contact hours awarded.

(17) There shall be a clearly defined method for evaluating the continuing education activity, which shall include:

(a) An evaluation tool that includes participant appraisal of achievement of each outcome, teaching effectiveness of each presenter, relevance of content to expected outcomes, effectiveness of teaching methods, and appropriateness of the format of presentation; and

(b) A mechanism for periodic, systematic evaluation of the provider's total program of educational activities.

(18) There shall be a summary of the participants' evaluations for each continuing education activity with an action plan with time lines for resolution of identified deficiencies.

(19) The provider shall have current policies and procedures for the management of the providership that demonstrate compliance with the required standards.

(20) For an offering that includes clinical practice, the instructor-student ratio for the clinical experience shall not exceed one (1) to ten (10).

(21) The following constitute in-service education and shall not be considered as a continuing education activity for purposes of this administrative regulation:

(a) An activity that is part of an employing agency's staff development program designed to provide information related to the work setting;

(b) On the job training;

(d) Basic cardiopulmonary resuscitation; and

(e) Equipment demonstration.

Section 5.

(1) The following material is incorporated by reference:

(a) "Application for Continuing Education Provider Approval", 10/2023; and

(b) "Application for Continuing Education Provider Renewal", 10/2023.

History

RELATES TO: KRS 314.011(12), 314.073, 314.131(1), (2)
STATUTORY AUTHORITY: KRS 314.073(3), 314.131(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(2) and 314.073(3) require the Board of Nursing to promulgate administrative regulations establishing requirements for continuing competency and approval of providers of continuing education. This administrative regulation establishes requirements for providers of continuing education.
History: 6 Ky.R. 699; 7 Ky.R. 401; eff. 10-1-1980; 9 Ky.R. 597; eff. 12-1-1982; 11 Ky.R. 990; eff. 1-7-1985; 14 Ky.R. 584; eff. 11-6-1987; 18 Ky.R. 3213; 19 Ky.R. 20; eff. 7-4-1992; 23 Ky.R. 3075; 3558; eff. 3-19-1997; 27 Ky.R. 826; 1250; eff. 11-17-2000; 28 Ky.R. 128; eff. 9-10-2001; 29 Ky.R. 2945; eff. 8-13-03; 32 Ky.R. 293; eff. 10-19-2005; 34 Ky.R. 1785; eff. 3-19-2008; TAm eff. 7-15-2010; 39 Ky.R. 1756; 2011; eff. 5-3-2013; 41 Ky.R. 1415; 1785; eff. 2-26-2015; 43 Ky.R. 1018; 1375; eff. 3-3-2017; 45 Ky.R. 1746; eff. 3-13-2019; 48 Ky.R. 1879, 2721; eff. 7-20-2022; 50 Ky.R. 874, 1484; eff.1-18-2024.

201 KAR 20:225 Reinstatement of license {#sec-201-kar-20-225 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:225}

Section 1. Reinstatement of Lapsed or Retired License.

(1) A license shall be lapsed if it has expired because of the licensee's failure to:

(a) Submit a completed and timely application for renewal;

(b) Submit data required to enable the board to complete the processing of an application;

(d) Meet all requirements for renewal of a license, in accordance with KRS 314.071.

(2) A lapsed or retired license may be reinstated by:

(a) Submitting a completed application form required by 201 KAR 20:370, Section 1(1)(a) or (c);

(b) Paying the current application fee required by 201 KAR 20:240, Section 1(2)(g) or (l);

(c) Submitting a criminal record check completed within six (6) months of the date of the application by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI) using the FBI Applicant Fingerprint Card, and including payment of any required fee of the KSP and the FBI;

(d) Submitting a certified or attested copy of the court record of any misdemeanor or felony conviction as required by 201 KAR 20:370, Section 1(3);

(e) Submitting a letter of explanation that addresses each conviction, if applicable;

(f) Submitting a certified copy of any disciplinary action taken on a nursing or other professional or business license in another jurisdiction with a letter of explanation or a report if there is any disciplinary action pending on a nursing or other professional or business license in another jurisdiction; and

(g) Meeting all other requirements of this section.

(3)

(a) If an individual applies for reinstatement of a lapsed license to active status, the applicant shall complete fourteen (14) contact hours of continuing education for each year since the date of last active licensure, if the date of last active licensure is within five (5) years of the application for reinstatement, but more than one (1) year from the date of last active licensure.

Fourteen (14) hours of continuing education shall have been earned within twelve (12) months of the date of the application.
Continuing education earned more than five (5) years preceding the date of application shall not be counted toward meeting this requirement.

(b) If an applicant has not been engaged in nursing practice during the five (5) years preceding the date of the application, the applicant shall complete at least 120 contact hours of continuing education earned within one (1) year of the date of the application.

(c) An individual may use the continuing competency methods set out in 201 KAR 20:215, Section 3, for reinstatement if that individual allowed the license to lapse and applies for reinstatement of a lapsed license within one (1) year from the date of lapse.

(d) Continuing competency used for reinstatement pursuant to paragraph (c) of this subsection shall not be used for renewal of the license.

(4)

(a) If the applicant has been currently licensed and actively engaged in nursing practice in another jurisdiction for at least 500 hours during the preceding five (5) years, the requirements of subsection (3) of this section shall not apply.

(b) The applicant shall submit evidence to verify active practice.

(5) In addition to the requirements of this administrative regulation, an applicant whose license has lapsed for one (1) year or more shall submit evidence of completion of the jurisprudence examination required by KRS 314.041(14) for registered nurses and KRS 314.051(14) for licensed practical nurses as approved by the board.

Section 2. Reinstatement of License Subject to Disciplinary Action.

(1) If a license has been revoked, an individual may apply for reinstatement by:

(a) Completing the appropriate application required by 201 KAR 20:370, Section 1(1)(a) or (c);

(b) Paying the current application fee required by 201 KAR 20:240, Section 1(2)(g) or (l);

(d) Retaking the licensure examination and achieving a passing score.

(2) A hearing shall be held to determine if the issuance of a license would no longer be a threat to public safety and health.

(3)

(a) If a license has been suspended or voluntarily surrendered, an individual may apply for reinstatement by:

Completing an application required by 201 KAR 20:370, Section 1(1)(a) or (c);
Paying the fee required by 201 KAR 20:240, Section 1(2)(g) or (l); and
Notifying the board, in writing, that the requirements of the decision or agreed order have been met.

(b) If the decision or agreed order requires that a hearing be held, the individual shall notify the board, in writing, to request that a hearing be scheduled.

(4) An individual whose license has been suspended or voluntarily surrendered shall be required to comply with the continuing education requirements of KRS 314.073 for the period during which the license was suspended or surrendered.

(5)

(a) If a license has been probated and the individual has allowed the license to expire prior to the end of the probationary period, and the individual later applies for reinstatement, the license shall be reinstated subject to the remaining probationary period.

(b) The individual shall comply with all requirements for reinstatement, in accordance with KRS 314.071.

(6)

(a) A person may seek reinstatement of a license pursuant to subsection (3) of this section, if an order of immediate temporary suspension has been issued pursuant to:

KRS 314.085(1) because of a person's failure to obtain an evaluation and the person subsequently obtains the evaluation; or
KRS 314.075 because of a person's submission of a bad check and the person subsequently makes the check good.

(b) A request for reinstatement of a license following the issuance of an order of immediate temporary suspension as listed in paragraph (a) of this subsection shall be denied, if in the opinion of the board, continuance of the temporary suspension is necessary in order to protect the public.

Section 3. Miscellaneous Requirements.

(1)

(a) A copy of an official name change document shall be submitted by the applicant if making application, if applicable.

(b) Verification of the name change shall be made by submitting a copy of a:

Court order;
Marriage certificate;
Divorce decree; or
Social Security card.

(2) An individual whose license lapsed, was suspended, or voluntarily surrendered prior to July 15, 1996 shall earn three (3) hours of continuing education in domestic violence within three (3) years of reinstatement of the license as required by KRS 194A.540.

(3) An individual who holds a nursing license that was revoked by disciplinary order of the board prior to December 31, 1987 shall meet all requirements of Section 2 of this administrative regulation except Section 2(1)(d) of this administrative regulation.

(4) An individual whose license lapsed, was suspended, or voluntarily surrendered prior to July 15, 2010 shall earn one and one-half (1.5) hours of continuing education in pediatric abusive head trauma as required by KRS 314.073(6) within three (3) years of reinstatement of the license.

History

RELATES TO: KRS 194A.540, 314.041(14), 314.042(6), 314.051(14), 314.071, 314.073, 314.075, 314.085(1), 314.091, 314.103, 314.109
STATUTORY AUTHORITY: KRS 314.103, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations to implement the provisions of KRS 314.011 to 314.991. KRS 314.103 authorizes the board to require a criminal background check investigation of an applicant or nurse. KRS 314.041(14), 314.042(6), and 314.051(14) allow a person whose license has lapsed due to failure to renew to be able to reinstate the license. KRS 314.091 authorizes the board to discipline a licensee for a violation of KRS Chapter 314 or 201 KAR Chapter 20. This administrative regulation establishes procedures for reinstatement of a license that has lapsed or has been subject to disciplinary action.
History: 6 Ky.R. 700; Am. 7 Ky.R. 402; eff. 10-1-1980; 9 Ky.R. 598; eff. 12-1-1982; 11 Ky.R. 1631; eff. 6-4-1985; 14 Ky.R. 585; 1071; eff. 11-6-1987; 1583; eff. 3-10-1988; 19 Ky.R. 1642; eff. 2-17-1993; 27 Ky.R. 828; 1251; eff. 11-17-2000; 28 Ky.R. 680; 1115; eff. 10-17-2001; 29 Ky.R. 504; 922; eff. 10-16-2002; 30 Ky.R. 383; 2547; eff. 10-15-2003; 31 Ky.R. 339; eff. 8-24-2004; 339; 800; 1059; eff. 1-4-2005; 32 Ky.R. 295; eff. 10-19-2005; 33 Ky.R. 2354; eff. 5-4-2007; 34 Ky.R. 2343; 2528; eff. 6-18-2008; 35 Ky.R. 2340; 2666; eff. 6-11-2009; 37 Ky.R. 429; 10-20-2010; 2907; eff. 8-17-2011; 42 Ky.R. 494; 1144; eff. 11-6-2015; 43 Ky.R. 2191; eff. 8-16-2017; 44 Ky.R. 2244, 2477; eff. 6-20-2018; 50 Ky.R. 1363, 184; eff. 3-21-2024.

201 KAR 20:230 Renewal of licenses {#sec-201-kar-20-230 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:230}

Section 1. Eligibility for Renewal of Licenses. To be eligible for renewal of licenses, applicants shall:

(1) Hold a valid and current license issued by the board;

(2) Submit a completed application form as required by 201 KAR 20:370 to the board;

(3) Submit the current fee required by 201 KAR 20:240;

(4) Have met requirements of 201 KAR 20:215, if applicable;

(5) Submit certified copies of court records of any misdemeanor or felony convictions with a letter of explanation;

(6) Submit certified copies of any disciplinary actions taken in other jurisdictions with a letter of explanation or report any disciplinary action pending on nursing or other professional or business licenses in other jurisdictions; and

(7) Have paid all monies due to the board.

Section 2. The licensure period for renewal of licenses shall be as established in 201 KAR 20:085.

Section 3.

(1) The application shall be submitted online to the board prior to midnight on the last day of the licensure period.

(2) All information needed to determine that an applicant meets the requirements for renewal of licensure shall be submitted online to the board no later than midnight eastern time on the last day of the licensure period..

(3) Failure to comply with these requirements shall result in the license lapsing. A person whose license has lapsed shall comply with 201 KAR 20:225 to reinstate the license.

History

RELATES TO: KRS 314.041, 314.051, 314.071, 314.073
STATUTORY AUTHORITY: KRS 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the board to promulgate administrative regulations to implement the provisions of KRS Chapter 314. This administrative regulation establishes requirements and procedures for the renewal of nursing licenses.
History: 9 Ky.R. 289; 400; eff. 9-8-1982; 11 Ky.R. 1632; eff. 6-4-1985; 14 Ky.R. 587; eff. 11-6-1987; 19 Ky.R.1643; 2-17-1993; 23 Ky.R. 3076; 3560; 3-19-1997; 28 Ky.R. 130; 558; 9-10-2001; 31 Ky.R. 802; 1060; eff. 1-4-2005; 32 Ky.R. eff. 10-19-2005; 36 Ky.R. 1304 eff. 3-5-2010; 37 Ky.R. 952; eff. 10-20-2010; 39 Ky.R. 257; eff. 10-17-2012; Crt eff. 5-10-2019; 46 Ky.R. 2690; 47 Ky.R. 57; eff. 7-29-2020; 51 Ky.R. 377; eff. 11-18-2024.

201 KAR 20:240 Fees for applications and services {#sec-201-kar-20-240 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:240}

Section 1. Fees for Licensure Applications.

(1) The board shall collect a fee for:

(a) An application for licensure; and

(b) Licensure renewal or reinstatement.

(2) The fee for an application shall be:

(a) Licensure by endorsement as a registered nurse - $165;

(b) Licensure by endorsement as a licensed practical nurse - $165;

(d) Licensure by examination as a licensed practical nurse - $125;

(e) Renewal of license - fifty-five (55) dollars;

(f) Retired status - twenty-five (25) dollars;

(g) Reinstatement of license - $135;

(h) Full verification of licensure, credential or registration history - fifty (50) dollars;

(i) Licensure as an advanced practice registered nurse - $165;

(j) Renewal of licensure as an advanced practice registered nurse - fifty-five (55) dollars;

(k) Reinstatement of licensure as an advanced practice registered nurse - $135;

(l) Name change - twenty-five (25) dollars;

(m) Application to establish a registered nurse or licensed practical nurse prelicensure program of nursing pursuant to 201 KAR 20:280 - $2,000;

(n) Information submitted to establish an advanced practice registered nurse program pursuant to 201 KAR 20:062 - $2,000; or

(o) Information submitted to establish an additional track pursuant to 201 KAR 20:062 - $500.

(3) In addition to the renewal application fees under this section, the board shall assess and collect the fees established in KRS 314.027(2) and 314.171(4).

(4) An application or information submitted under this section shall not be evaluated by the board unless the current fee is submitted.

Section 2. Fees for Applications for Continuing Education Approvals. The fee for an application for approval of a provider of continuing education or for a renewal or reinstatement of the approval shall be:

(1) Initial provider approval - $400;

(2) Reinstatement of provider approval - $400;

(3) Renewal of approval - $100; or

(4) Individual review of continuing education offerings - ten (10) dollars.

Section 3. Fees for Services.

(1) The fee for a service shall be:

(a) Copy of a transcript - twenty-five (25) dollars;

(b) Nursing certificate - thirty (30) dollars; or

(c) Review a request from an advanced practice nurse to be exempt from the Collaborative Agreement for the Advanced Practice Registered Nurse's Prescriptive Authority for Controlled Substances - fifty (50) dollars.

(2) An applicant for licensure who takes or retakes the licensure examination shall pay:

(a) The current examination fee required by the national council of state boards of nursing; and

(b) Application for licensure fee pursuant to Section 1 of this administrative regulation.

(3) A graduate of a foreign school of nursing shall be responsible for:

(a) Costs incurred to submit credentials translated into English;

(b) Immigration documents; and

(4) A program of nursing that requires a site visit pursuant to 201 KAR 20:360, Section 5, shall pay the cost of the site visit to the board.

Section 4. An application shall lapse and the fee shall be forfeited if the application is not completed as follows:

(1) For an application for licensure by endorsement, within one (1) year from the date the application form is filed with the board office;

(2) For an application for licensure by examination, within one (1) year from the date the application form is filed with the board office;

(3) For an application for reinstatement of license, within one (1) year from the date the application form is filed with the board office; or

(4) For all other applications, except for renewal of license applications, within one (1) year from the date the application form is filed with the board office.

Section 5. An applicant who meets all requirements for approval, licensure, or credential shall be issued the appropriate approval, license, or credential without additional fee.

Section 6. Fees for Sexual Assault Nurse Examiners.

(1) The application fee shall be $120.

(2) The credential renewal fee shall be fifty (50) dollars.

(3) The credential reinstatement fee shall be $120.

Section 7. A payment for an application fee that is in an incorrect amount shall be returned and the application shall not be posted until the correct fee is received.

Section 8. Bad Transaction Fee. Any transaction, including paper or electronic, submitted to the board for payment of a fee which is returned for nonpayment shall be assessed a bad transaction fee of thirty-five (35) dollars.

History

RELATES TO: KRS 61.874(3), 314.027(2), 314.041(11), (13)(c), 314.042(7), (10), (17)(b)4., 314.051(2), (13)(c), 314.071(1), (2), (4), 314.073(8), 314.075(1), 314.101(4), 314.142(1)(b), 314.161, 314.171(4)
STATUTORY AUTHORITY: KRS 314.041(11), (13)(c), 314.042(7), (10), (17)(b)4., 314.051(2), (13)(c), 314.071(1), (2), (4), 314.073(8), 314.131(1), 314.142(1)(b), 314.161
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131 authorizes the board to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 314. KRS 314.142(1)(b) requires the board to establish an application fee for a registered nurse who applies to the board to be credentialed as a "sexual assault nurse examiner". KRS 314.161 authorizes the board to establish fees necessary to implement KRS Chapter 314. KRS 314.041(11), (13)(c), 314.042(7), (10), (17)(b)4., 314.051(2), (13)(c), 314.071(1), (2), and 314.073(8) require the board to establish fees for licensure, examination, renewal, reinstatement, and continuing education. This administrative regulation establishes those fees.
History: 201 KAR 020:240. 33 Ky.R. 1623; eff. 3-1-2007; 36 Ky.R. 527, 780; eff. 10-21-2009; 2071-A; eff. 6-16-2010; 37 Ky.R. 432; 10-20-2010; 2909; eff. 8-17-2011; 40 Ky.R. 1333; 1713; eff. 2-19-2014; 41 Ky.R. 1417; eff. 2-26-2015; 42 Ky.R. 2626, 2887, eff. 6-15-2016; 45 Ky.R. 1748, 2585; eff. 3-13-2019; 48 Ky.R. 2849; 49 Ky.R.326; eff. 8-25-2022; 49 Ky.R. 2351, eff. 9-27-2023; 51 Ky.R. 1803; eff. 7-30-2025.

201 KAR 20:260 Organization and administration standards for prelicensure registered nurse or practical nurse programs of nursing {#sec-201-kar-20-260 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:260}

Section 1. Definitions.

(1) "Campus" means a division of a college or university that has its own grounds, buildings, and students, but is administratively joined to the rest of the college or university.

(2) "Clerical assistance" means the provision of administrative, secretarial, or clerical help by qualified individuals that assists the program of nursing.

(3) "Clinical instructor" means a nurse who is employed by a program of nursing solely to provide students with traditional clinical or simulated experiences.

(4) "Nurse faculty" means a nurse who is employed by a program of nursing, either full-time, part-time, or adjunct, to provide didactic instruction, and may also provide clinical instruction or simulated experiences.

(5) "Nursing track" means a path within a program of nursing that leads to licensure as a nurse.

(6) "Preceptor" means a nurse with demonstrated competence in a specific clinical area who serves as a role model and mentor to assist in the development and validation of the competencies of a student.

(7) "Program of nursing" means the educational unit that prepares a person for licensure as a registered or licensed practical nurse.

Section 2. Organization or Administration Standards for Prelicensure Registered Nurse and Practical Nurse Programs. To be eligible for approval by the board, a program shall have:

(1) A governing institution.

(a) The governing institution that establishes and conducts the program of nursing shall hold accreditation as a postsecondary institution, college, or university by an accrediting body recognized by the U.S. Department of Education.

(b) The governing institution shall assume full legal responsibility for the overall conduct of the program of nursing. The program of nursing shall have comparable status with the other programs in the governing institution and the relationship shall be clearly delineated.

Designate a program administrator for the prelicensure program of nursing who is qualified pursuant to 201 KAR 20:310 and is responsible for fulfilling the duties specified in subsection (3) of this section on a twelve (12) month basis;
Assure that at least fifty (50) percent of the program administrator's time shall be dedicated to complete the duties specified in this administrative regulation at each program of nursing. A governing institution that is unable to comply with this standard may request an exemption from the board in writing.

a. The request shall state the reasons for noncompliance and the efforts the institution has taken and will take to comply with the standard.

b. If the exemption is granted, it shall be for twelve (12) months from the date of board approval. During this time, the governing institution shall not open a new program of nursing;

Provide evidence that the fiscal, human, physical, clinical, and technical learning resources shall be adequate to support program mission, processes, security, and outcomes;
Provide student support programs, services, and activities consistent with the mission of the governing institution that promote student learning and enhance the development of the student;
Make financial resources available to the program of nursing consistent with equivalent programs at the governing institution;
Employ nurse faculty pursuant to 201 KAR 20:310 in sufficient number and expertise to accomplish program outcomes and quality improvement;
Provide written policies for faculty related to qualifications for the position, rights and responsibilities of the position, criteria for evaluation of performance, workload, and retention;
Involve the nurse faculty in determining academic policies and practices for the program of nursing; and
Provide for the security, confidentiality, and integrity of faculty employment and student records.

(d) The governing institution shall provide an organizational chart that describes the organization of the program of nursing and its relationship to the governing institution;

(2) Administrative policies.

(a) There shall be written administrative policies for the program of nursing that shall be:

In accord with those of the governing institution; and
Available to the board for review.

(b) The board shall be notified in writing of a change, vacancy, or pending vacancy, in the position of the program administrator within thirty (30) days of the program of nursing's awareness of the change, vacancy, or pending vacancy.

The head of the governing institution shall submit to the board in writing the name of the registered nurse who has been designated to assume the administrative duties for the program, the date the person will assume the duties of program administrator, and a copy of his or her curriculum vitae.

a. If there is to be a lapse between the date of the change or vacancy and the date the newly-appointed program administrator assumes duties, the head of the governing institution shall submit a plan of transition to ensure the continuity of the program.

b. Progress reports shall be submitted if requested by the board.

a. The length of the appointment of an interim program administrator shall not exceed six (6) months.

b. Additional six (6) month periods may be granted upon request to the board based on a documented inability to fill the position.

(c) A written plan for the orientation of the nurse faculty to the governing institution and to the program shall be implemented.

(d) There shall be a written contract between the governing institution and each agency or institution that provides a learning experience for a student. A contract shall not be required for an observational experience.

The contract shall clearly identify the responsibilities and privileges of both parties.
The contract shall bear the signature of the administrative authorities of each organization.
The contract shall vest in the nurse faculty control of the student learning experiences subject to policies of the contractual parties.
The contract shall be current and may include an annual automatic renewal clause.
The contract shall contain a termination clause by either party;

(3) A program or an interim program administrator who shall have authority and responsibility in the following areas:

(a) Development and maintenance of collaborative relationships with the administration of the institution, other divisions or departments within the institution, related facilities, and the community;

(b) Participation in the preparation and management of the program of nursing budget;

(d) Submission of the qualifications of all nurse faculty and clinical instructors as set forth in 201 KAR 20:310, Section 4;

(e) To provide leadership within the nurse faculty for the development, implementation, and evaluation of the program of nursing and program outcomes;

(f) To facilitate the implementation of written program policies for the following:

Student admission;
Student readmission and advance standing;
Student progression, which shall include:

a. The level of achievement a student shall maintain in order to remain in the program or to progress from one (1) level to another; and

b. Requirements for satisfactory completion of each course in the nursing curriculum.

Requirements for completion of the program;
Delineation of responsibility for student safety in health related incidents both on campus and at any clinical activity required by the program of nursing;
Availability of student guidance and counseling services;
The process for the filing of grievances and appeals by students;
Periodic evaluation by the nurse faculty of each nursing student's progress in each course and in the program;
Student conduct that incorporates the standards of safe nursing care; and
Publication and access to current academic calendars and class schedules;

(g) To facilitate the continuing academic and professional development for the nurse faculty;

(h)

To initiate and coordinate the development of contracts with clinical facilities, the number and variety of which shall be adequate to meet curricular outcomes;
To develop written criteria for the selection and evaluation of clinical facilities and ensure that the criteria shall be utilized by the program of nursing; and
To assure that clinical facilities show evidence of approval by the appropriate accreditation, evaluation, or licensure bodies, if applicable;

(i) The establishment of student-nurse faculty ratio in the clinical practice experience.

The maximum ratio of nurse faculty to students in the clinical area of patients-clients shall be defensible in light of safety, learning objectives, student level, and patient acuity.
The student-nurse faculty ratio shall not exceed ten (10) to one (1) in the clinical practice experience, including observational or other supervised learning experiences.
This ratio shall not apply to on campus skill lab experiences;

(j) The submission of the Certified List of Kentucky Program of Nursing Graduates, as incorporated by reference in 201 KAR 20:070, upon student completion of all requirements for a degree, diploma, or certificate, regardless of the state in which the graduate intends to seek licensure;

(k) The development and maintenance of an environment conducive to the teaching and learning process;

(l) To facilitate the development of long-range goals and objectives for the nursing program;

(m) To ensure that equipment, furnishings, and supplies be current and replaced in a timely manner;

(n) To ensure that the nurse faculty has sufficient time to accomplish those activities related to the teaching-learning process and program outcomes;

(o) To coordinate an orientation to the roles and responsibilities of full-time, part-time, adjunct nurse faculty, and clinical instructors to the program of nursing and, as appropriate, to clinical facilities so that the mission, goals, and expected outcomes of the program shall be achieved;

(p) To facilitate regular communication with the full and part time nurse faculty and clinical instructors in the planning, implementation, and evaluation of the program of nursing;

(q) To ensure that recruitment materials provide accurate and complete information to prospective students about the program including the:

Admission criteria;
Program description, including course sequence, prerequisites, and corequisites;
Length of the program;
Current cost of the program, including tuition and all associated fees and expenses; and
Transferability of credits to other public and private institutions in Kentucky;

(r) To conduct or participate in the written evaluation of each nurse faculty member, clinical instructor, and program of nursing support staff according to published criteria, regardless of contractual or tenured status;

(s) To ensure the adherence to the written criteria for the selection and evaluation of clinical facilities utilized by the program of nursing;

(t) To maintain current knowledge of requirements pertaining to the program of nursing and licensure as established in 201 KAR Chapter 20;

(u) To attend the next available board orientation for program administrators but not later than within six (6) months of appointment;

(v) To develop a structure to allow nurse faculty to assist in the governance of the program;

(w) To ensure that the curriculum is developed and implemented pursuant to 201 KAR 20:320; and

(x) To ensure that the program of nursing posts a link provided by the board to the information published by the board pursuant to 201 KAR 20:360, Section 5(4) on its Web site and refers all individuals seeking information about the program to this link.

(4) A system of official records and reports essential to the operation of the program of nursing maintained according to institutional policy. Provisions shall be made for the security and protection of records against loss and unauthorized distribution or use. The system shall include records of:

(a) Currently enrolled students to include admission materials, courses taken, grades received, scores for standardized tests, and clinical performance records;

(b) Minutes of faculty and committee meetings, which shall be maintained a minimum of five (5) years, irrespective of institutional policy;

Validation of current licensure or privilege to practice as a Registered Nurse in Kentucky;
Evidence of fulfilling the faculty orientation requirements established in 201 KAR 20:310, Section 3(5); and
Performance evaluation for faculty employed more than one (1) year;

(d) Systematic plan of evaluation;

(e) Graduates of the program of nursing; and

(f) Administrative records and reports from accrediting agencies; and

(5) Official publications of the governing institution including:

(a) A description of the governing institution and program of nursing;

(b) Policies on admission, progression, dismissal, graduation, and student grievance procedures; and

(6) Clerical assistance and support staff.

(a) There shall be clerical assistance and support staff sufficient to meet the needs of the nursing program for the administrator, faculty, and students.

(b) Each campus shall have at least one (1) dedicated clerical staff.

(c) If the program of nursing does not have at least one (1) dedicated clerical staff, the program administrator shall provide written justification to the board. The board shall evaluate the justification to determine whether the program may operate effectively without dedicated staff sufficient to meet the needs of the nursing program. If the board rejects the justification, the program of nursing shall comply with the board's determination on clerical staffing.

(7) Nurse faculty, full-time, and part-time, with the authority and responsibility to:

(a) Plan, implement, evaluate, and update the program;

(b) Assist in the design, implementation, evaluation, and updating of the curriculum using a written plan;

(c) Participate in the development, implementation, evaluation, and updating of policies for student admission, progression, and graduation in keeping with the policies of the governing institution;

(d) Participate in academic advisement and guidance of students;

(e) Provide theoretical instruction and clinical learning experiences;

(f) Evaluate student achievement of curricular outcomes related to nursing knowledge and practice;

(g) Develop and implement student evaluation methods and tools for each course that measure the progression of the student's cognitive, affective, and psychomotor achievement of course and clinical outcomes based on published rubrics and sound rationale;

(h) Participate in academic and professional level activities that maintain the faculty member's competency and professional expertise in the area of teaching responsibility;

(i) Communicate clinical outcomes to the student, clinical instructor, preceptor, and staff at the clinical site;

(j) Assume responsibility for utilizing the criteria in the selection of clinical sites and in the evaluation of clinical experiences on a regular basis;

(k) Evaluate the student's experience, achievement, and progress in relation to course and clinical outcomes, with input from the clinical instructor and preceptor, if applicable; and

(l) Delegate to a nurse employed by a clinical agency the supervision of a student performing a procedure; and

(8) Clinical instructors with the authority and responsibility to:

(a) Design, at the direction of the nurse faculty member, the student's clinical experience to achieve the stated outcomes of the nursing course in which the student is enrolled;

(b) Clarify with the nurse faculty member:

The role of the preceptor, if applicable;
The course responsibilities;
The course or clinical outcomes;
A course evaluation tool; and
Situations in which collaboration and consultation shall be needed;

(c) Participate in the evaluation of the student's performance by providing information to the nurse faculty member and the student regarding the student's achievement of established outcomes; and

(d) Delegate to a nurse employed by a clinical agency the supervision of a student performing a procedure.

Section 3. Number of Students Enrolled.

(1) All programs of nursing shall have on record with the board the number of new students that the program is able to enroll in one (1) academic year.

(2) There shall be no limit on the number of students who may attend a program of nursing if the program of nursing meets:

(a) The requirements of KRS 314.111(5); and

(b) The benchmarks set out in 201 KAR 20:360, Section 5(2)(f).

(3)

(a) A program of nursing that meets the requirements set out in subsection (2) of this section may increase its enrollment without limitation.

(b) A program of nursing shall report any increase in enrollment to the board.

(4)

(a) The board may impose a limit on the number of students attending a program of nursing that does not meet the requirements of subsection (2) of this section.

(b) The board may deny an increase in enrollment for a program of nursing that does not meet the requirements of subsection (2) of this section.

Section 4. Multiple Campuses.

(1)

(a) A governing institution may have programs of nursing located on different campuses.

(b) Each campus shall be considered a separate program of nursing.

(2)

(a) The governing institution shall designate a main campus headed by a program administrator.

(b) The program administrator shall have final responsibility and authority for the non-main campuses, but shall designate an assistant program administrator to assist in the governance of each non-main location. The assistant program administrator shall meet the qualification for a nurse faculty as set out in 201 KAR 20:310. The program administrator may designate the amount of release time for the assistant program administrator for administrative duties, but it shall not be less than twenty-five (25) percent.

(3) For purposes of calculating benchmarks set out in 201 KAR 20:360, Section 5(2)(f), each campus shall individually report its data annually to the board. The board shall evaluate the benchmarks for each campus individually.

(4) A governing institution that has extended its main campus to a new campus during the period 201 KAR 20:260E was in effect, from January 11, 2022 to October 8, 2022, shall take the necessary steps to comply with 201 KAR 20:280. The process shall begin within thirty (30) days of the effective date of this administrative regulation.

Section 5. Suspension of Enrollment.

(1) A governing institution that decides to suspend enrollment in the program of nursing shall notify the board in writing within thirty (30) days following the decision. No longer enrolling in one (1) of several nursing tracks within a program of nursing shall not constitute suspension of enrollment for purposes of this administrative regulation.

(2) The notification shall identify the reasons leading to the decision and how long it is anticipated that the suspension will be in effect.

(3) The governing institution shall report to the board annually on the status of the suspension.

(4)

(a) If the decision to reinstate enrollment is made within three (3) years of the decision to suspend enrollment, the governing institution shall notify the board in writing of the decision within thirty (30) days.

(b) The notification shall state the date classes will begin. It shall also list the faculty and clinical sites that will be utilized.

(5) If the decision to reinstate enrollment is made three (3) years or more from the decision to suspend enrollment, the governing institution shall comply with the procedures outlined in 201 KAR 20:280.

Section 6. Change in Accreditation.

(1) A governing institution that seeks to change the U.S. Department of Education recognized accrediting body from which it receives accreditation shall notify the board when it has filed an application for accreditation.

(2) A governing institution with an application in process before the accrediting body shall be considered in compliance with Section 2(1)(a) of this administrative regulation.

(3)

(a) A governing institution whose application has been denied by its accrediting body shall not be considered to be in compliance with Section 2(1)(a) of this administrative regulation.

(b) The board shall begin the process established in 201 KAR 20:360, Section 7 for withdrawal of approval.

History

RELATES TO: KRS 314.041(1), 314.111(1), (5), 314.131
STATUTORY AUTHORITY: KRS 314.111(1), 314.131(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.111(1) and 314.131(2) require the board to approve schools of nursing and courses preparing persons for licensure and to monitor standards for nurse competency under KRS Chapter 314. KRS 314.131(1) authorizes the board to promulgate administrative regulations to implement KRS Chapter 314. This administrative regulation establishes the organization and administration standards for prelicensure registered nurse or practical nurse programs.
History: 11 Ky.R. 1696; eff. 6-4-1985; 19 Ky.R. 2673; 20 Ky.R. 306; eff. 8-6-1993; 25 Ky.R. 597; 1033; eff. 11-18-1998; 27 Ky.R. 831; 11-17-2000; 35 Ky.R. 2793; 36 Ky.R. 322; eff. 8-12-2009; 38 Ky.R. 1186; 1437; eff. 2-15-2012; 40 Ky.R. 1335; 1714; eff. 2-19-2014; 42 Ky.R. 2415, 2717; eff. 6-3-2016; 45 Ky.R. 1750, 2586; eff. 3-13-2019; 49 Ky.R, 413, 1053; eff. 11-15-2022.

201 KAR 20:280 Standards for developmental status, initial status, and approval of prelicensure registered nurse and practical nurse programs {#sec-201-kar-20-280 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:280}

Section 1. Definition. "Program of nursing" means the educational unit that prepares a person for licensure as a registered or licensed practical nurse.

Section 2. Establishment of a Program of Nursing.

(1) The governing institution may receive consultation from the board prior to establishing a program of nursing.

(2) The governing institution that desires to establish and conduct the program of nursing shall be accredited as established in 201 KAR 20:260, Section 2.

(3) The governing institution shall consider each campus as a separate program of nursing.

Section 3. Letter of Intent.

(1) The governing institution shall submit to the board a letter of intent to establish a prelicensure program of nursing and the fee required by 201 KAR 20:240.

(2) The letter of intent shall be completed under the direction or consultation of a registered nurse who meets the qualifications of a program administrator as established in 201 KAR 20:310.

(3) The letter of intent shall include:

(a) Approval from the governing body of the institution proposing the program of nursing or other empowered approval bodies as applicable;

(b) The results of a feasibility study that includes the following information related to the need for the program of nursing:

Nursing workforce supply and demand data from the past year for the area within a fifty (50) mile radius and projected supply and demand; and
A description of the applicant pool that is being targeted and how this population will be reached;

(c) Evidence that an introductory letter has been sent to all program of nursing administrators within a fifty (50) mile radius;

(d) Documentation from cooperating healthcare agencies within a fifty (50) mile radius that they will provide support for the creation of the program of nursing. This documentation shall include evidence of the agencies' intention to contribute to the achievement of the clinical objectives of the program;

(e) General information about the governing institution including the mission, ownership, method of financing, accreditation, enrollment, area served, and institutional faculty qualifications and resources;

(f) A timeline for the hiring of a full time program administrator, admission of students, and projected graduation of the first class;

(g) Evidence of a sound financial base and demonstrated financial stability available for planning, implementing, and maintaining the proposed program of nursing;

(h) A copy of the curriculum vitae of the registered nurse involved in the planning; and

(i) Description and rationale for the proposed type of program of nursing, including the establishment of an enrollment baseline as required by 201 KAR 20:260, Section 3(1).

(4)

(a) If concerns are raised about the need for the program or about the ability of the program to obtain appropriate clinical sites, a hearing shall be held before the board's education committee to act upon the letter of intent.

(b) At the conclusion of the hearing, the committee shall recommend to the board whether or not to approve the letter of intent.

(c) If the letter of intent is approved by the board, the governing institution shall be notified in writing that it may move to the proposal phase. The governing institution shall appoint a qualified program administrator and provide appropriate resources, consultants, and faculty to develop the proposed program plan. The proposal shall be submitted within one (1) year of the date of the approval of the letter of intent or the letter of intent shall expire.

Section 4. Proposal Phase.

(1) A completed program proposal shall be submitted to the board by the governing institution for approval.

(2) The program shall not be announced, advertised, or students admitted to the program of nursing until the proposal has been approved and developmental status has been granted by the board.

(3) The program proposal shall include:

(a) Philosophy, mission, and learning outcomes of the governing institution;

(b) An organizational chart of the governing institution and written plan, which describes the organization of the program of nursing and its relationship to the institution;

(d) Curriculum design including proposed courses, description, sequence and credit hours delineating those credits assigned to theory and clinical;

(e) Student recruitment plan and the enrollment baseline as set out in 201 KAR 20:260, Section 3(1);

(f) A five (5) year plan for recruiting and retaining qualified nurse faculty;

(g) A proposed job description for the program administrator reflecting authority and responsibility;

(h) A description of faculty offices, classrooms, clinical skills laboratory, library facilities, conference rooms, and learning resources;

(i) A description of support services for students, to include provision of health services or evidence of an emergency plan for care, academic advisement, student services, mechanism for obtaining learning resources, and financial aid;

(j) Availability and willingness of accredited agencies to provide clinical experiences across the curriculum. This information shall include the:

A list of clinical agencies and hours available for clinical experience;
Number of students each agency can accept;
Clinical experience that will be available from each agency;
Other nursing programs that utilize this agency; and
Plan to avoid displacement of students from existing programs;

(k) Policies and procedures for student admission to the program of nursing and progression, including the plan to retain students so as to maintain a low attrition rate;

(l) Availability of clerical assistance and support staff as set out in 201 KAR 20:260, Section 2(6);

(m) A general plan for an on-going, research based planning and evaluation process that incorporates a systematic review of the program that results in continuing improvement; and

(n) A description of financial resources to support the program including a budget for the first three (3) years with projected revenues and expenditures and the amount of resources going to institutions or organizations for contractual or support services.

(4) The program of nursing may meet with the board staff to clarify, verify, and amplify materials included in the program proposal.

(5) The governing institution shall be notified in writing of action taken by the board on the proposal.

(a) If the board determines that all requirements have been met, the program shall be granted developmental status.

(b) The board, in collaboration with the program, shall determine an opening date.

Section 5. Developmental Status.

(1) Students may be admitted after developmental status is granted.

(2) Employment of program administrator and faculty.

(a) The program administrator shall be the first faculty member employed, and shall have assumed full time responsibilities for the program prior to opening.

(b) The faculty as established in 201 KAR 20:310 shall be employed in sufficient numbers to prepare for the development of the curriculum component of the program.

(3) Any deviation from the initial curriculum plan approved within the proposal shall be approved by the board before the first class begins course requirements.

(4) Written contracts for use of clinical facilities shall be executed prior to admission to the first nursing course.

(5) The program of nursing shall submit semi-annual progress and evaluation reports or other reports as requested by the board to demonstrate implementation of the approved proposal until the first class graduates.

(6) Site visits shall be conducted by the board as necessary.

(7) Developmental status may be withdrawn if:

(a) A proposed program does not comply with 201 KAR 20:260 through 360;

(b) A class is not enrolled within eighteen (18) months of the date the board granted developmental status; or

(8) The governing institution shall be notified in writing of the intent to withdraw developmental status. The governing institution may request reconsideration by the board. The request shall be in writing and sent no more than thirty (30) days from the date of the notification.

Section 6. Initial Status and Program Approval.

(1) The status of the program shall move automatically from developmental status to initial status upon admission of the first class.

(2) It shall be the responsibility of the program of nursing to notify the board of the admission of the first class.

(3) The program shall notify the board in writing thirty (30) days prior to the graduation of the first class.

(4) Eligibility for program approval occurs after the graduation of the first class. Within sixty (60) days after graduation of the first class, the faculty shall submit a written report that:

(a) Evaluates the implementation of the program of nursing compared to the approved proposal; and

(b) Addresses compliance with the standards set by 201 KAR 20:260 through 360.

(5) The decision to grant or deny program approval shall be based on review of the report submitted by the program of nursing and a site visit report by a representative of the board.

(6) If program approval is denied, the applicant may request a hearing pursuant to KRS Chapter 13B.

Section 7. Initial Status and National Nursing Accrediting Body.

(1) A program of nursing shall obtain and maintain accreditation by a national nursing accrediting body that includes:

(a) The Accreditation Commission for Education in Nursing (ACEN);

(b) The Commission for Nursing Education Accreditation (CNEA);

(d) Any other national nursing accrediting body recognized by the United States Department of Education.

(2) The program of nursing that has been approved for initial status by the board shall submit evidence to the board that it has applied for accreditation. Evidence shall be submitted within ninety (90) days of achieving initial status.

(3) The program of nursing shall submit a copy of all correspondence to and from the national nursing accrediting body to the board within thirty (30) days of submission or receipt of the correspondence.

(4) The program of nursing shall obtain candidacy status from a national nursing accrediting body within three (3) years of achieving initial status. The program of nursing shall obtain full accreditation from a national nursing accrediting body within four (4) years of achieving initial status.

(5) A program of nursing that fails to obtain or maintain accreditation from a national nursing accrediting body may have its approval withdrawn by the board pursuant to 201 KAR 20:360, Section 7.

History

RELATES TO: KRS 314.011(5), (9), 314.111(1), (2), (3), 314.131(2)
STATUTORY AUTHORITY: KRS 314.111, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.111 requires the board to review schools, approve qualified schools, and, if appropriate, withdraw approval for schools of nursing. KRS 314.131(1) authorizes the board to promulgate administrative regulations necessary to implement KRS Chapter 314.This administrative regulation establishes the standards for the development and approval of programs that prepare graduates for admission to the licensure examination and to facilitate endorsement of licensure status to other states.
History: 11 Ky.R. 1699; eff. 6-4-1985; 29 Ky.R. 1300; 1761; eff. 1-15-2003; 32 Ky.R. 722; eff. 3-9-2006; 34 Ky.R. 338; 709; eff. 10-17-2007; 40 Ky.R. 1340; 1717; eff. 2-19-2014; 42 Ky.R. 2419, 2720; eff. 6-3-2016; 45 Ky.R. 1754, 2589; eff. 3-13-2019; 49 Ky.R. 1841, 2723; eff. 7-20-2022.

201 KAR 20:310 Faculty for prelicensure registered nurse and practical nurse programs {#sec-201-kar-20-310 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:310}

Section 1. Definitions.

(1) "Clinical instructor" means a registered nurse who is employed by a program of nursing to provide students with traditional clinical or simulated experiences.

(2) "Nurse faculty" means a registered nurse who is employed by a program of nursing, either full-time, part-time, or adjunct, to provide didactic instruction, and may also provide clinical instruction or simulated experiences.

(3) Nursing experience" means employment in a position that requires the individual to hold an active nursing license, such as nursing clinical practice, nursing administration, nursing education, or nursing research.

(4) "Preceptor" means a nurse with demonstrated competence in a specific clinical area who serves as a role model and mentor to assist in the development and validation of the competencies of a student.

(5) "Skills laboratory instructor" means a non-faculty instructor primarily assigned to a clinical skills or simulation laboratory who manages the daily operations of the skills laboratory or assists nursing faculty to implement student learning activities for the development of psychomotor nursing skills.

(6) "Unencumbered" means a license without current disciplinary conditions or restrictions. Enrollment in an alternative to discipline program is not an encumbrance.

Section 2. Faculty for Prelicensure Registered Nurse and Practical Nurse Programs.

(1)

(a) The faculty shall include a program administrator and shall include at least one (1) other nurse faculty.

(b) The faculty shall be adequate in number to implement the curriculum as determined by program outcomes, course objectives, the level of the students, the number of students and classes admitted annually, and the educational technology utilized.

(c) The program administrator and all nurse faculty and clinical instructors shall be appointed by and be responsible to the governing institution of the program of nursing.

(d) A program shall develop and implement a plan of organization and administration that clearly establishes the lines of authority, accountability, and responsibility for each program location.

(2) Program administrator qualifications. The program administrator for a registered nurse or a practical nurse program shall have:

(a) A minimum of a master's or higher degree in nursing from an accredited college or university. In lieu of a master's degree, the program administrator shall have completed that portion of a doctoral degree that would be equivalent to a master's in nursing degree while enrolled in an accredited college or university with a timeline in place for degree attainment. The program administrator shall provide documentation that shows active and steady progression towards the doctoral degree;

(b) A minimum of five (5) years of nursing experience within the immediate past seven (7) years;

(c) A minimum of two (2) years of full time teaching experience at or above the academic level of the program of nursing;

(d) An unencumbered current license, privilege, or temporary work permit to practice as a registered nurse in the Commonwealth of Kentucky;

(e) A current knowledge of nursing practice at the level of the program; and

(f) Demonstrated experience or preparation in education that includes teaching adults, adult learning theory teaching methods, curriculum development, and curriculum evaluation. A program administrator without previous program administrator experience shall have a mentor assigned by the governing institution and an educational development plan implemented. The mentor shall have documented experience in program administration.

(3) A program administrator who is currently employed at a practical nurse program and who does not meet the requirements of subsection 2(a) of this Section may continue to be employed at the program of nursing where the program administrator is presently, but shall earn the master's degree or higher in nursing on or before July 1, 2021.

(4) Didactic faculty qualifications.

(a) Didactic faculty in a registered nurse program shall meet the qualifications set out in KRS 314.111(6)(b), (c), or (d).

(b) Nurse faculty in a practical nurse program shall have a minimum of an associate degree with a major in nursing from an accredited college or university.

(c) The nurse faculty shall hold a temporary work permit or a current unencumbered license or privilege to practice as a registered nurse in the Commonwealth of Kentucky.

(d) The nurse faculty shall document a minimum of two (2) years full time or equivalent experience as a registered nurse within the immediate past five (5) years and shall have and maintain expertise in the clinical or functional area of responsibility.

(e) The nurse faculty shall document preparation in educational activities in the area of teaching and learning principles for adult education, including curriculum development and implementation. The preparation shall be acquired through planned faculty in-service learning activities, continuing education offerings, or academic courses.

(f) Nurse faculty hired without prior teaching experience shall have a mentor assigned and an educational development plan implemented.

(g)

Non-nurse faculty members who teach nursing courses required within the curriculum shall have appropriate academic and experiential qualifications for the program areas in which they participate.
Non-nurse faculty shall be required to collaborate with a nurse faculty member in order to meet the nursing course outcomes.

(h) Nurse faculty who teach via distance or on-line shall hold an unencumbered active nursing license to practice as a registered nurse in the nurse faculty's primary state of residence.

(5) Skills laboratory and clinical instructor qualifications.

(a) A clinical instructor shall function under the guidance of the nurse faculty responsible for a given course.

(b) A clinical instructor for either a registered nurse or practical nurse program shall hold a current unencumbered license, privilege, or temporary work permit to practice as a registered nurse in the state of the student's clinical site.

(c) A clinical instructor shall have a minimum of two (2) years full time or equivalent experience as a registered nurse within the immediate past five (5) years and evidence of clinical competence appropriate to teaching responsibilities.

(d) For a registered nurse program, the clinical instructor shall meet the requirements of KRS 314.111(6)(a).

(e) For a practical nurse program, the clinical instructor shall be a registered nurse.

(f) A skills laboratory instructor shall have the same qualifications as a clinical instructor.

Section 3. Preceptors.

(1) A preceptor may be used to enhance clinical learning experiences. If a preceptor is used, it shall be done after a student has received clinical and didactic instruction from the program faculty in all basic areas for the course or specific learning experience.

(2) A preceptor shall hold a current unencumbered license, privilege, or temporary work permit to practice as a registered nurse in the state of the student's clinical site. In a practical nursing program, a preceptor may hold a current unencumbered license, privilege, or temporary work permit to practice as a licensed practical nurse in the state of the student's clinical site.

(3) A preceptor shall have evidence of clinical competencies related to the area of assigned clinical teaching responsibilities.

(4) A preceptor shall not be used to replace clinical instructors. The ratio of student to preceptor shall not exceed two (2) to one (1). Clinical instructors or nurse faculty retain responsibility for student learning and confer with the preceptor and student for the purpose of monitoring and evaluating learning experiences.

(5) There shall be documentation of orientation to the course, program outcomes, student learning objectives, evaluation methods to be utilized by the faculty, and documented role expectations of faculty, preceptor, and student.

Section 4. Reporting of Registered Nurse Program and Practical Nurse Program Faculty Qualifications and Appointments.

(1) Evaluation of faculty records. The program administrator shall submit to the board the qualifications of nurse faculty and clinical instructors within thirty (30) days of appointment.

(a) Official academic transcripts or copies verified by the nurse administrator or designee shall be available to the board upon request.

(b) A complete and official record of qualifications and workload for each faculty member shall be on file and available to the board upon request.

(d) The program administrator shall report a change in faculty composition within thirty (30) days of appointment or vacancy.

(2) The board shall review annually the qualifications of the faculty employed in the program of nursing.

History

RELATES TO: KRS 314.111, 314.475
STATUTORY AUTHORITY: KRS 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations necessary to enable it to carry into effect the provisions of KRS Chapter 314. This administrative regulation establishes standards for faculty of programs of nursing that prepare graduates for licensure as registered nurses or practical nurses.
History: 11 Ky.R. 1704; 12 Ky.R. 17; eff. 7-9-1985; 14 Ky.R. 591; eff. 11-6-1987; 16 Ky.R. 1400; eff. 3-8-1990; 17 Ky.R. 280; eff. 9-14-1990; 19 Ky.R. 1645; eff. 2-17-1993; 29 Ky.R. 2125; 2452; eff. 4-11-2003; 33 Ky.R. 865; 1290; eff. 11-15-2006; 34 Ky.R. 344; 711; eff. 10-17-2007; 37 Ky.R. 2911; eff. 8-17-2011; TAm. eff. 7-23-2012; 40 Ky.R. 1344; 1720; eff. 2-19-2014; 42 Ky.R. 2422, 2722; eff. 6-3-2016; 45 Ky.R. 1757, 2591; eff. 3-13-2019; 49 Ky.R. 417; eff. 11-15-2022.

201 KAR 20:320 Standards for curriculum of prelicensure registered nurse and practical nurse programs {#sec-201-kar-20-320 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:320}

Section 1. Definitions.

(1) "Debriefing" means an activity that follows a simulation experience, is led by a nurse faculty as established in 201 KAR 20:310, Section 2, encourages participant's reflective thinking, and provides feedback regarding the participant's performance.

(2) "Disability" is defined by KRS 344.010(4).

(3) "Distance learning" means didactic instruction offered by any means where the student and faculty are in separate physical locations.

(4) "External examination" means a standardized or norm-referenced examination that is designed to compare and rank test takers in relation to one another and is not produced by the program of nursing.

(5) "Practical nursing program" means a program of nursing organized and administered by a vocational, technical, or adult education system or an independent school at a postsecondary level that awards the graduate a diploma in practical nursing upon meeting requirements of the program.

(6) "Program of nursing" means the educational unit that prepares a person for licensure as a registered or licensed practical nurse.

(7) "Registered nursing program" means a program of nursing organized and administered by an institution of higher learning that awards a degree in nursing upon meeting requirements of the program.

(8) "Remediation" means the process by which a student improves or corrects a knowledge deficit through external examinations, other assignments, or activities.

(9) "Simulation" means an activity or a technique that replicates actual or potential situations in clinical practice that allows the participant to develop or enhance critical thinking.

Section 2. General.

(1) An applicant for licensure shall complete a prelicensure program of nursing that meets the requirements of this administrative regulation.

(2) Length.

(a) A registered nursing program shall be a minimum of two (2) academic years, which may include prior articulated academic credits.

(b) A practical nursing program shall be a minimum of one (1) academic year.

(3) Philosophy, mission, and outcomes.

(a) The philosophy, mission, and outcomes of the program of nursing shall be clearly defined in writing by the nursing faculty and be consistent with those of the governing institution.

(b) The program outcomes shall describe the expected competencies of the graduate.

(c) The program shall conduct an evaluation to validate that identified program outcomes have been achieved and provide evidence of improvement based on an analysis of those results.

(4) Approval.

(a) A curriculum plan shall be approved by the board in accordance with this administrative regulation.

(b) The curriculum plan shall enable the student to develop the nursing knowledge, skills, and competencies for the expected entry level and scope of practice.

(c) Theory and clinical experiences shall provide the student with opportunities to acquire and demonstrate the knowledge, skills, and competencies necessary for safe practice.

(5) Curriculum plan.

(a) The development, implementation, evaluation, and revision of the curriculum shall be the responsibility of the nursing faculty including the program administrator with input from students.

(b) The curriculum of the program of nursing shall assure the development of evidence based practice for the level and scope of nursing practice. This shall include the skills to identify and apply best practices in nursing care by providing client-centered, culturally competent care and respecting client differences, values, preferences, and expressed needs.

(c) A registered nursing program may determine that a portion of the curriculum fulfills the scope of practice for licensed practical nursing and allow students to exit the program and be made eligible for the NCLEX-PN examination. The registered nursing program shall submit its plan to the board for approval.

(6) Organization of the curriculum.

(a) There shall be a written plan, including supporting rationale, which describes the organization and development of the curriculum.

(b) The curriculum plan shall reflect the philosophy, mission, and outcomes of the program.

(d) A course syllabus shall be developed for each nursing course to include outcomes, planned instruction, learning activities, and method of evaluation.

Each course shall be implemented in accordance with the established course syllabus.
A copy of each course syllabus shall be on file in the program of nursing office and shall be available to the board upon request.

(e) The curriculum plan shall be logical and sequential, and shall demonstrate an increase in difficulty and complexity as the student progresses through the program.

(f) A course may be offered as a distance learning course. A distance learning course shall meet the same standards as established in 201 KAR 20:260 through 20:360 for any other course.

(7) Curriculum components.

(a) The curriculum of a registered nursing program or a practical nursing program shall prepare the graduate for licensure and full scope of practice as defined by current standards for nursing practice and expected competencies of graduates at the appropriate educational level.

(b) The curriculum shall include:

Theory and selected clinical practice experiences designed to enable students to provide nursing care to individuals throughout the life span; and
Information regarding Kentucky nursing laws, including scope of practice, licensure requirements, and the role of the board of nursing.

(c) Clinical practice settings shall be appropriate for the type of nursing program and the program outcomes and enable the student to observe and practice safe nursing care of persons at each stage of the life span. Experiences shall include opportunities to learn and provide care to diverse ethnic and cultural populations.

(d) Clinical practice experience shall be supervised by board approved nursing faculty in accordance with 201 KAR 20:310.

(e) The curriculum shall have written measurable program outcomes that reflect the role of the graduate.

(f) Students shall have sufficient opportunities in simulated or clinical settings to develop psychomotor skills essential for safe, effective practice.

(8) Curriculum change.

(a) A program of nursing that is not accredited by a national nursing accrediting body shall submit a written plan for major curriculum revisions to the board a minimum of four (4) months prior to the planned implementation.

A request for curriculum revision shall include the present plan and the proposed change with rationale and expected outcomes.
The board shall be available to assist if curriculum revisions are being considered.
Major curriculum revisions shall include:

a. A change in the philosophy, mission, or outcomes that results in a reorganization or reconceptualization of the entire curriculum; or

b. The addition of tracks or alternative programs of study that provide educational mobility.

(b) A program of nursing that implements a curriculum change shall provide an evaluation of the outcomes of those changes through the first graduating class following full implementation of the curriculum change. The program of nursing shall also submit the evaluation with its annual report.

(9) Integrated practicum.

(a) The curriculum shall include an integrated practicum. The integrated practicum shall consist of a minimum of 120 clock hours of concentrated clinical experience of direct patient care in a health care facility or health care organization.

(b) The integrated practicum shall be completed within a period not to exceed seven (7) consecutive weeks while the governing institution is in session and within seven (7) months of graduation. The program of nursing may permit a student to complete the integrated practicum during seven (7) nonconsecutive weeks due to documented medical emergency or disability. If the institution is not in session, the program administrator shall monitor the remainder of the student's practicum with an assigned preceptor.

Section 3. Simulation Standards.

(1)

(a) A program of nursing that uses simulation shall adhere to the standards set in this section.

(b) A program of nursing shall not use simulation for more than fifty (50) percent of its total clinical hours required for graduation.

(2)

(a) The program of nursing shall provide resources sufficient to support the simulation activities, including training of the faculty, and programmatic outcomes.

(b) Simulation activities shall be managed by a nurse who is academically and experientially qualified in the use of simulation, both in its pedagogical and technical aspects. The managing nurse shall demonstrate his or her qualifications by:

Attendance at simulation conferences;
Completion of educational activities related to simulation; or
Holding a credential issued by the Society for Simulation in Healthcare or a simulation preparation program recognized by the International Nursing Association for Clinical Simulation.

(d) The program of nursing shall have an orientation plan for faculty concerning simulation.

(e) The program of nursing shall have a written procedure on the method of prebriefing and debriefing each simulated activity.

(3) The program of nursing shall have appropriate facilities for conducting simulation. This shall include educational and technological resources and equipment to meet the intended objectives of the simulation.

(4) Faculty, both didactic and clinical, that utilize simulation shall:

(a) Have training in the use of simulation; and

(b) Engage in on-going professional development in the use of simulation.

(5) The simulation activities shall be linked to the program of nursing's course objectives and the programmatic outcomes.

(6) Beginning July 1, 2019, a program of nursing shall submit evidence of compliance with these standards in the annual report required by 201 KAR 20:360, Section 3(1).

Section 4. Use of External Examinations.

(1) External examinations may be used to assist in the remediation of a student or as a part of the final course grade.

(2) A program of nursing shall not use an external examination as the sole basis to determine a student's progression or graduation.

(3) A curriculum change that includes the implementation of an external examination shall include consideration of multiple evaluation criteria, and shall not be based solely on external examination test results.

(4) A program of nursing that utilizes external examinations as a component of student remediation shall ensure that completion of remediation occurs within the same semester or quarter.

(5) The academic progression policy of the program of nursing and course syllabi shall clearly outline the role of an external examination, including the frequency of and schedule for the testing, and the weight to be applied to results when calculating the final course grade. A course syllabus that references an external examination shall include information needed to calculate the impact of test results in any given external examination on the final course grade. If a course syllabus requires a specific average score for examinations as a condition for passing the course, an external examination shall not be weighted more than the lowest weighted individual examination included within the course grade average.

(6) A program of nursing shall not require students who have completed all requirements for graduation to earn a specific score or benchmark on an external examination as a condition for graduation.

Section 5.

(1) A program of nursing shall provide the students on-campus physical facilities pursuant to 201 KAR 20:350, Section 2, to practice clinical skills where the student may be observed in-person by a member of nurse faculty or a skills laboratory instructor, as defined in 201 KAR 20:310, Section 1.

(2) Prior to the evaluation of clinical skills, students shall be provided access to physical facilities on campus to practice clinical skills, where the student is observed in-person by a member of nurse faculty or skills laboratory instructor who may provide feedback.

(3) Students shall be evaluated in the clinical skills laboratory on the program's campus or in a clinical setting. The clinical skills laboratory may be video recorded for evaluation using equipment provided by the program of nursing. The students' skills shall be evaluated by a member of nurse faculty or a skills laboratory instructor.

Section 6. Curriculum Additions.

(1) Each program of nursing shall include information in its curriculum that meets the requirements of KRS 194A.540 related to domestic violence and elder abuse, neglect, and exploitation.

(2) Each program of nursing shall include information aboutPediatric abusive head trauma as it is defined in KRS 620.020(8).

(3) Each program of nursing shall include suicide prevention and wellness information, including the following topics:

(a) Chronic toxic stress and secondary traumatic stress potentially increasing the incidence of suicide amongst nurses;

(b) A confidential and standardized pathway to care for nurses that addresses screening, assessing, safety planning, referrals, and follow-up for nurses at risk for suicide;

(d) Ethical legal considerations of caring for patients and nurses who are suicidal.

History

RELATES TO: KRS 194A.540(11), 314.011(5), 314.021, 314.041(1)(a), 314.111(1), 314.131(1), (2), 344.010(4), 620.020(8)
STATUTORY AUTHORITY: KRS 314.041(1)(a), 314.051(1)(a), 314.111(1), 314.131(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.041(1)(a) and 314.051(1)(a) require that an applicant for licensure as a registered or licensed practical nurse complete the basic nursing curriculum in an approved school of nursing. KRS 314.111(1) requires that schools of nursing regardless of delivery models shall meet minimum standards and be approved by the Board of Nursing. KRS 314.131(1) and (2) authorizes the board to promulgate administrative regulations necessary to approve programs of nursing. This administrative regulation establishes the curriculum requirements for prelicensure registered nurse and practical nursing programs.
History: 11 Ky.R. 1705; eff. 6-4-1985; 14 Ky.R. 593; eff. 11-6-1987; 30 Ky.R. 77; 578; eff. 8-20-2003; 34 Ky.R. 347; 713; eff. 10-17-2007; 40 Ky.R. 1347; 1722; eff. 2-19-2014; 42 Ky.R. 2425, 2583, 2723; eff. 6-3-2016; 45 Ky.R. 1759, 2593; eff. 3-13-2019; 46 Ky.R. 2989, 2691; 47 Ky.R. 769; eff. 2-4-2021; 48 Ky.R. 537, 1773, 2031; eff. 1-13-2022; 50 Ky.R.2092; 51 Ky.R. 325, 497; eff. 9-25-2024.

201 KAR 20:340 Students in prelicensure registered nurse and practical nurse programs {#sec-201-kar-20-340 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:340}

Section 1. Students in Programs of Nursing.

(1) Admission requirements and practices shall be stated and published in the governing institution's publications and shall include an assessment of achievement potential through the use of previous academic records and, if applicable, the use of preadmission examination scores consistent with curriculum demands and scholastic expectations.

(2) Program information communicated by the program of nursing shall be accurate, complete, consistent, and publicly available.

(3) Participation shall be made available for students in the development, implementation, governance, and evaluation of the program.

Section 2. Student Policies.

(1) Student policies of the program of nursing shall be congruent with those of the governing institution. Any difference shall be justified by the program of nursing.

(2) Program of nursing student policies shall be accurate, clear, and consistently applied.

(3) Upon admission to the program of nursing, each student shall be advised in electronic or written format of policies pertaining to:

(a) Admission, transfer or readmission, advanced or transfer placement, withdrawal, progression, graduation, suspension, or dismissal;

(b) Evaluation methods to include the grading system;

(d) Availability of counseling resources;

(e) Health requirements and other standards as required for the protection of student health;

(f) Grievance procedures;

(g) Program of study or curriculum plan;

(h) Financial aid information;

(i) Student responsibilities;

(j) Student opportunities to participate in program development, implementation, governance, and evaluation;

(k) Information on meeting eligibility for licensure; and

(l) A plan for emergency care on campus or at any clinical activity required by the program of nursing.

History

RELATES TO: KRS 314.111
STATUTORY AUTHORITY: KRS 314.041(1), 314.051(1), 314.111, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.111 authorizes the board to regulate nursing education programs. This administrative regulation establishes the standards to be met regarding students in those programs.
History: 201 KAR 020:340. 11 Ky.R. 1707; eff. 6-4-1985; 34 Ky.R. 349; 714; eff. 10-17-2007; 38 Ky.R. 1189; 1439; eff. 2-15-2012; 42 Ky.R. 2427, 2586; eff. 6-3-2016; 45 Ky.R. 1762; eff. 3-13-2019; Crt eff. 1-8-2026.

201 KAR 20:350 Educational facilities and resources for prelicensure registered nurse and practical nurse programs {#sec-201-kar-20-350 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:350}

Section 1. The facilities and resources shall be provided by the governing institution to meet the teaching and learning requirements of students and nurse faculty of the program of nursing.

Section 2. Physical Facilities.

(1) The facilities shall be designed to meet the outcomes of the program of nursing and to foster administrative and instructional activities.

(2) Space allocated for the program shall be based on the number of students and teaching and learning methods.

(3) The physical facilities shall include:

(a) Classrooms, clinical skills laboratory, and conference rooms essential to fulfill program outcomes and adequate in size for the number of students;

(b) Adequately equipped office space to fulfill the essential functions for administrative personnel, faculty, and clerical staff, including the maintenance of confidentiality of student information;

(d) A private office for the program administrator; and

(e) Space available for use in private counseling with students.

(4) The program of nursing shall report to the board any major changes in the physical facilities, including new buildings.

Section 3. Library and Learning Resources.

(1) Instructional material shall be readily available for use in teaching and learning.

(2) The program, through ownership or formal arrangements, shall provide student and nurse faculty with access to an adequate library collection consistent with the program offered. The library collection shall be current and include sufficient titles, references, periodicals, and other material to achieve the outcomes of the curriculum.

(3) The program shall ensure that students and nurse faculty have access to instruction on the use of the library resources.

(4) The use of technology shall enhance student learning and shall be appropriate for meeting the outcomes of the program. Students shall have access to and instruction in the use of the technology.

(5) There shall be sufficient technical support services available to meet the needs of the nurse faculty and the students.

(6) The collection of library resources for the program of nursing shall be allocated on the same basis as the collections for other departments in the governing institution.

(7) All students shall have comparable access to library and learning resources regardless of the student's location.

(8) A system of acquisition and deletion shall exist that ensures currency and appropriateness of library resources.

History

RELATES TO: KRS 314.111(1), 314.131(1)
STATUTORY AUTHORITY: KRS 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.111 authorizes the board to regulate nursing education programs. KRS 314.131(1) authorizes the board to promulgate administrative regulations necessary to implement KRS Chapter 314. This administrative regulation establishes the standards for programs of nursing to assure the provision of adequate facilities and resources for conduct of the program of nursing.
History: 201 KAR 020:350. 11 Ky.R. 1708; eff. 6-4-1985; 34 Ky.R. 350; 715; eff. 10-17-2007; 42 Ky.R. 2429, 2725; eff. 6-3-2016; 45 Ky.R. 1763; eff. 3-13-2019; Crt eff. 1-8-2026.

201 KAR 20:360 Continuing approval and periodic evaluation of prelicensure registered nursing and licensed practical nursing programs {#sec-201-kar-20-360 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:360}

Section 1. Program of Nursing Accredited by a National Nursing Accrediting Body.

(1)

(a)

A prelicensure registered nursing or licensed practical nursing program that is accredited by a national nursing accrediting body recognized by the United States Department of Education shall be deemed to be in compliance with the standards of 201 KAR 20:260 through 20:360.
A national nursing accrediting body shall include:

a. The Accreditation Commission for Education in Nursing (ACEN);

b. The Commission for Nursing Education Accreditation (CNEA);

c. The Commission on Collegiate Nursing Education (CCNE); or

d. Any other national nursing accrediting body recognized by the United States Department of Education.

The accredited program shall comply with Sections 3 through 10 of this administrative regulation.

(b) The board shall retain jurisdiction over accredited programs and may conduct site visits or other investigations into any allegation that may constitute a violation of 201 KAR 20:260 through 20:360. The board may also conduct site visits in accordance with Section 5 of this administrative regulation or when a national nursing accreditation board visits the program.

(2) A prelicensure program of nursing that is accredited by a national nursing accrediting body recognized by the United States Department of Education shall submit all correspondence and reports to and from the accrediting body to the board within thirty (30) days of submission or receipt.

Section 2. Programs of Nursing Not Accredited by a National Nursing Accrediting Body.

(1) A program of nursing that is not accredited by a national nursing accrediting body on the effective date of this administrative regulation shall:

(a) Obtain candidacy status with a national nursing accrediting body within three (3) years; and

(b) Obtain full accreditation within four (4) years of the effective date of this administrative regulation.

(2) A program of nursing that is not accredited by a national nursing accrediting body on the effective date of this administrative regulation shall submit a copy of all correspondence and reports to and from the national nursing accrediting body within thirty (30) days of submission or receipt.

(3) A program of nursing that does not obtain or maintain accreditation from a national nursing accrediting body may have its approval withdrawn by the board pursuant to section 7 of this administrative regulation.

Section 3. Reports and Evaluation.

(1) A program of nursing shall submit the Annual Report of the Program of Nursing to the board regarding its compliance with 201 KAR 20:260 through 20:360. It shall also submit the benchmarks set out in Section 5(2)(f) of this administrative regulation.

(2) To verify continued compliance with 201 KAR 20:260 through 20:360, the program of nursing shall submit progress reports or periodic supplemental reports, completed questionnaires, surveys, and other related documents as requested by the board.

(3) Pursuant to 201 KAR 20:260, Section 2(7)(a), the faculty shall engage in an evidence based planning and evaluation process that incorporates a systematic review of the program of nursing that results in continuing improvement. This process shall result in an evaluation report that is submitted to the board.

(4) Data collection for the evaluation report shall be on-going and shall reflect aggregate analysis and trending.

(5) The evaluation report shall include specific responsibilities for data collection methods, individuals or groups responsible, frequency of data collection, indicators of achievement, findings, and outcomes for evaluating the following aspects of the program:

(a) Organization and administration of the program of nursing;

(b) Curriculum;

(d) Teaching and learning methods including distance education;

(e) Faculty evaluation;

(f) Student achievement of program outcomes;

(g) Graduation rates;

(h) Licensure examination pass rates;

(i) Employment rates of graduates; and

(j) Clinical resources, including laboratory and simulation.

(6) If a program of nursing utilizes distance education for didactic instruction, it shall evaluate and assess the educational effectiveness of its distance education program to ensure that the distance education program is substantially comparable to a campus based program.

(7) The evaluation report shall provide evidence that the outcomes of the evaluation process are used to improve the quality and strength of the program.

Section 4. Benchmarks. The board shall utilize the following benchmarks to evaluate a program of nursing. Except for the pass rate, the benchmarks shall be calculated annually from July 1 to June 30. The board shall calculate the pass rate for a program of nursing on an annual basis from January 1 to December 31 for all first time takers of the NCLEX.

(1) The pass rate for first time takers of the NCLEX who tested within twelve (12) months of the program completion date as reported on the Certified List of Kentucky Program of Nursing Graduates or the Certified List of Out-of-state Program of Nursing Graduates incorporated by reference in 201 KAR 20:070;

(2) The faculty turnover rate. A faculty member whose employment ends on or before June 30 of any year shall be counted in that year's calculation;

(3) The program administrator turnover rate;

(4) The graduation rate;

(5) The faculty grievance rate; and

(6) The student grievance rate.

Section 5. Site Visits.

(1) The board may conduct site visits at any time.

(2) The following situations may be cause for a site visit to determine if the standards of 201 KAR 20:260 through 20:360 are being met:

(a) Denial, withdrawal, or change of status by a national nursing accrediting agency;

(b) Providing false or misleading information to students or the public concerning the program;

(c) A written complaint received from faculty, students, or the general public relating to a violation of 201 KAR 20:260 through 20:360;

(d) A change in physical facilities;

(e) Information received by the board that may indicate a violation of 201 KAR 20:260 through 20:360;

(f) A change in any of the benchmarks listed in Section 4 of this administrative regulation as follows:

A pass rate as calculated by Section 4 of this administrative regulation that:

a. Is less than an average of eighty (80) percent for three (3) consecutive years; or

b. Varies above and below eighty (80) percent from year to year over the previous five (5) years;

A faculty turnover rate greater than thirty (30) percent for two (2) consecutive years;
A program administrator turnover rate of more than three (3) individuals in five (5) years;
A graduation rate of less than sixty (60) percent of the original admitted cohort of newly-enrolled students within the standard length of the program of nursing. The graduation rate shall be calculated by comparing the number of students who started in each graduating cohort within the reporting period to those who graduated on time from the cohort. The graduation rate calculation may exclude students who have left the program of nursing due to documented extenuating circumstances, such as hospitalization, long-term illness, family obligations, relocation, financial barriers, or decisions to change majors or transfer to another institution;
Twenty-five (25) percent or more of the total number of nursing faculty who file grievances or appeals that are substantiated; or
Substantiated student grievances and appeals of more than ten (10) percent of the student population enrolled in the nursing program each year; or

(g) Failure to submit reports as required by 201 KAR 20:260 through 20:360.

(3) A program of nursing that fails to meet one (1) or more benchmarks for a year shall submit a report that examines the factors that contributed to the failure to meet and shall provide a description of the corrective measures to be implemented.

(4)

(a) The board shall annually compile information on how the programs of nursing met the benchmarks. This information shall be published on the board's Web site.

(b) A program of nursing shall post a link to the information compiled pursuant to paragraph (a) of this subsection on the program of nursing's Web site. The link shall be easy to locate on the program's home page.

Section 6. Action Following Site Visit.

(1)

(a) Following a site visit and prior to board consideration, a draft of the site visit report shall be made available to the program administrator for review and correction of factual data.

(b) The program administrator shall be available during the discussion of the report at the board committee to provide clarification.

(c) If the site visit results in a finding of non-compliance with 201 KAR 20:260 through 20:360 by the program of nursing, a letter shall be sent to the program administrator regarding any requirements to be met.

(d) The board shall notify the program of nursing of the time frame within which it shall meet the requirements. The board shall verify that the requirements have been met.

(2)

(a) If the program of nursing is unable to meet the requirements in the time set by the board, it may request additional time. The board, in its discretion, may grant or deny this request based on the rationale for the request.

(b) If the board denies the request for additional time, it shall begin the process established in Section 7 of this administrative regulation.

Section 7. Withdrawal of Approval.

(1) If, in the opinion of the board, the standards established by 201 KAR 20:260 through 20:360 are not being met, the board shall send notice to the program administrator of the affected program of nursing of its intent to withdraw approval. The notice shall be sent return receipt requested.

(2) When making this determination, the board shall consider the following factors:

(a) The number and severity of the deficiencies;

(b) The length of time in which the deficiencies have existed; and

(3) Within thirty (30) days of receipt of the notice, the program administrator of the affected program may request an administrative hearing pursuant to KRS Chapter 13B. If an administrative hearing is not requested, program approval shall be withdrawn and the program shall be closed. A closed program shall comply with subsection (5) of this section.

(4)

(a) If a program of nursing requests an administrative hearing, that hearing shall be held within sixty (60) days of the request.

(b) The hearing shall be held before a hearing officer or before the full board.

(5)

(a) A program of nursing whose approval has been withdrawn by the board shall be removed from the official approved status listing upon the effective date of the decision. Students currently enrolled in the last semester or quarter of the program may complete the program. If the student graduates, he or she may apply for licensure and make take the licensure examination. Any other student shall not be allowed to apply for licensure or take the licensure examination, unless the student graduates from another approved program of nursing.

(b) The program of nursing that has been closed shall assist a currently enrolled student to transfer to an approved program of nursing.

Section 8. Voluntary Closure of a Program.

(1) A governing institution seeking to close a program of nursing shall submit written notification to the board at least six (6) months prior to the planned closing date.

(2) A governing institution may choose one (1) of the following procedures for closing a program of nursing as established in paragraph (a) or (b) of this subsection.

(a) The governing institution shall continue the program of nursing until the last class enrolled has graduated.

The program shall continue to meet the standards until all students enrolled in nursing courses have graduated or transferred.
The official closing of the program shall be the date on the degree, certificate, or diploma of the last graduate.
The governing institution shall notify the board in writing of the official closing date.

(b) The governing institution shall close the program following the transfer of students to other approved programs.

The program shall continue to meet the standards until all students have transferred.
The names of students who have transferred to approved programs and the date of the last student transfer shall be submitted to the board by the governing institution.
The date of the last student transfer shall be the official closing date of the program.

(3) Custody of records.

(a) The governing institution that continues to operate shall retain responsibility for the records of the students and graduates. The board shall be advised of the arrangement made to safeguard the records.

(b) The governing institution that ceases to exist shall transfer the academic transcript of each student and graduate to a third party vendor approved by the Council for Postsecondary Education for safekeeping.

Section 9. Change in Ownership or Organization of the Governing Institution.

(1) The governing institution shall notify the board in writing of any intent to transfer administrative authority or ownership. The new administrative authority or owner shall inform the board of its plans for immediate and future operation.

(2) The board shall conduct a site visit to ensure adherence by the program of nursing to 201 KAR 20:260 through 20:360.

(3) Following this site visit, approval of the program of nursing shall continue under the new ownership or administrative authority if the approval standards continue to be met.

Section 10. Incorporation by Reference.

(1) "Annual Report of the Program of Nursing", 3/2024, Kentucky Board of Nursing, is incorporated by reference.

History

RELATES TO: KRS 314.111
STATUTORY AUTHORITY: KRS 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations to implement KRS Chapter 314. KRS 314.111 requires nursing programs to be approved by the board. This administrative regulation establishes evaluative standards to assure that the programs of nursing provide the necessary instruction and services to prepare graduates for licensure eligibility as registered nurses or as practical nurses.
History: 11 Ky.R. 1709; eff. 6-4-1985; 14 Ky.R. 595; eff. 11-6-1987; 35 Ky.R. 2346; 36 Ky.R. 26; eff. 7-31-2009; 40 Ky.R. 2346; 41 Ky.R. 24; eff. 8-1-2014; 42 Ky.R. 2430, 2587, 2726; eff. 6-3-2016; 45 Ky.R. 1764, 2594; eff. 3-13-2019; 49 Ky.R. 1855, 2724; eff. 7-20-2022; 49 Ky.R. 1812, 2280; eff. 7-24-2023; TAm eff. 11-21-2023; 50 Ky.R. 2095; eff. 7-30-2024.

201 KAR 20:362 Fines for schools of nursing {#sec-201-kar-20-362 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:362}

Section 1. Definitions.

(1) "Compliance issue" means a failure to comply with a requirement of 201 KAR 20:260 through 20:360.

(2) "Deficiency" means a failure to meet a standard set by 201 KAR 20:260 through 20:360.

Section 2.

(1) A school of nursing is in violation of KRS 314.111(4) when it:

(a) Receives notice of a deficiency or a compliance issue;

(b) Is given the expectation of the board for correction;

(d) Fails to make the correction by that date.

(2) A school of nursing shall comply with all deadlines set by 201 KAR 20:260 through 20:360. Failure to do so shall constitute a compliance issue.

Section 3.

(1) The fine for a violation of KRS 314.111(4) shall be $500 per day or a portion thereof.

(2) The board shall send notice of the amount due to the school of nursing.

(3) The school shall either:

(a) Remit the amount due within thirty (30) days; or

(b) Request an administrative hearing in accordance with KRS Chapter 13B to contest the fine.

(4) Failure to take either step shall subject the school of nursing to:

(a) A collection action in the court of competent jurisdiction; or

(b) An administrative hearing in accordance with KRS Chapter 13B to determine whether the school of nursing shall be closed.

History

RELATES TO: KRS 314.111(4)
STATUTORY AUTHORITY: KRS 314.111(4), 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131 authorizes the board to promulgate administrative regulations to implement KRS Chapter 314. KRS 314.111(4) authorizes the Board to fine a school of nursing that fails to comply with the requirements of the administrative regulations governing programs of nursing. This administrative regulation implements KRS 314.111(4).
History: 201 KAR 020:362. 45 Ky.R. 1854, 2597; eff. 3-13-2019; Crt eff. 1-8-2026.

201 KAR 20:370 Applications for licensure {#sec-201-kar-20-370 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:370}

Section 1. To be eligible for licensure by examination, endorsement, renewal, reinstatement, retired licensure status, or for advanced practice registered nurse licensure, renewal, or reinstatement, an applicant shall:

(1) Submit the completed application to the board office, for:

(a) RN or LPN licensure by examination, endorsement, or reinstatement, Application for Licensure;

(b) RN or LPN Renewal, Annual Licensure Renewal Application: RN or LPN;

(c) Licensure or reinstatement as an Advanced Practice Registered Nurse, Application for Licensure as an Advanced Practice Registered Nurse;

(d) Renewal as an RN and an APRN, Annual Licensure Renewal Application: RN and APRN;

(e) Retired licensure status, Application to Retire a License;

(f) APRN renewal with an RN Compact license, Annual Licensure Renewal Application: APRN with RN Compact License (not Kentucky); or

(g) APRN renewal with a Kentucky RN License, Annual Licensure Renewal Application, APRN with Kentucky RN License;

(2) Submit the current application fee, as required by 201 KAR 20:240;

(3) Submit a certified or attested copy of the court record of each misdemeanor or felony conviction in this or any other jurisdiction and a letter of explanation that addresses each conviction, except for traffic-related misdemeanors (other than DUI) or misdemeanors older than five (5) years;

(4) Submit a certified copy of a disciplinary action taken in another jurisdiction with a letter of explanation or report a disciplinary action pending on a nurse licensure application or license in another jurisdiction;

(5) Have paid all monies due to the board;

(6) Submit a copy of an official name change document (court order, marriage certificate, divorce decree, Social Security card), if applicable;

(7) Submit additional information as required by the board in 201 KAR Chapter 20;

(8) Meet the additional requirements for:

(a) Licensure by examination established by 201 KAR 20:070;

(b) Licensure by endorsement established by 201 KAR 20:110;

(d) Licensure by renewal established by 201 KAR 20:230;

(e) Retired nurse or inactive licensure status established by 201 KAR 20:095; or

(f) Advanced practice registered nurse licensure, renewal, or reinstatement established by 201 KAR 20:056;

(9) If not a citizen of the United States, maintain proof of legal permanent or temporary residency under the laws and regulations of the United States; and

(10) Notify the board upon establishment of a new mailing address.

Section 2. An application shall lapse and the fee shall be forfeited if the application is not completed:

(1) For an application for licensure by endorsement, within one (1) year from the date the application form is submitted with the board office;

(2) For an application for licensure by examination, within one (1) year from the date the application form is submitted with the board office or the date the applicant fails the examination, whichever comes first; or

(3) For all other applications except renewal of license applications, within one (1) year from the date the application form is submitted with the board office.

Section 3. A multistate licensee who changes primary state of residence to Kentucky shall apply for a multistate license in Kentucky within sixty (60) days.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure", 10/2022, Kentucky Board of Nursing;

(b) "Annual Licensure Renewal Application: RN or LPN", 02/2022, Kentucky Board of Nursing;

(d) "Annual Licensure Renewal Application: RN and APRN", 02/2022, Kentucky Board of Nursing;

(e) "Application to Retire a License", 11/2023, Kentucky Board of Nursing;

(f) "Annual Licensure Renewal Application: APRN with RN Compact License (not Kentucky)", 02/2022, Kentucky Board of Nursing; and

(g) "Annual Licensure Renewal Application, APRN with Kentucky RN License", 02/2022, Kentucky Board of Nursing.

History

RELATES TO: KRS 314.041, 314.042, 314.051, 314.071, 314.091, 314.103, 314.475
STATUTORY AUTHORITY: KRS 314.041, 314.042, 314.051, 314.071, 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.041, 314.042, 314.051, and 314.071 require the board to review an application for licensure and a licensee for conformity with KRS Chapter 314. This administrative regulation establishes requirements and procedures for licensure.
History: 13 Ky.R. 1963; eff. 6-9-1987; 14 Ky.R. 596; eff. 11-6-1987; 19 Ky.R. 2674; eff. 8-6-1993; 20 Ky.R. 2047; eff. 3-14-1994; 3221; eff. 8-4-1994; 23 Ky.R. 3077; 3560; eff. 3-19-1997; 24 Ky.R. 1757; 24 Ky.R. 1757; 2112; eff. 4-13-1998; 25 Ky.R. 598; 1034; eff. 11-18-1998; 1945; eff. 4-21-1999; 26 Ky.R. 1693; 1943; eff. 5-10-2000; 28 Ky.R. 682; eff. 10-17-2001; 29 Ky.R. 1302; eff. 1-15-2003; 30 Ky.R. 384; eff. 10-15-2003; 31 Ky.R. 804; 1062; eff. 1-4-2005; 32 Ky.R. 298; eff. 10-19-2005; 32 Ky.R. 2069; eff. 7-24-2006; 33 Ky.R. 4207; eff. 8-16-2007; 36 Ky.R. 528; 781; eff. 10-21-2009; 1980; eff. 5-7-2010; 37 Ky.R. 434; 10-20-2010; 38 Ky.R. 299; 10-19-2011; 39 Ky.R. 258; eff. 10-17-2012; 40 Ky.R. 2605; 41 Ky.R. 26; eff. 8-1-2014; 42 Ky.R. 497; eff. 11-6-2015; 42 Ky.R. 497, 2510; eff. 6-3-2016; 44 Ky.R. 2246, 2478; eff. 6-20-2018; 45 KY.R. 3469, 46 Ky.R. 420; eff. 8-19-2019; 46 Ky.R. 2691; 47 Ky.R. 58; eff. 7-29-2020; 47 Ky.R. 1823, 2581; eff. 6-16-2021; 48 Ky.R. 2618, 49 Ky.R. 20; eff. 8-25-2022; 49 Ky.R. 1346, 1762; eff. 3-9-2023; 50 Ky.R. 1753; eff. 6-18-2024.

201 KAR 20:390 Nursing Incentive Scholarship Fund {#sec-201-kar-20-390 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:390}

Section 1. Definitions.

(1) "Academic year" meansa twelve (12) month period beginning with a fall session.

(2) "Board" is defined by KRS 314.011(1).

(3) "Graduate nursing education" means the pursuit of a master's degree, post-master's certificate, or doctoral degree.

(4) "Initial year award" means the first Nursing Incentive Scholarship Fund award received by an individual.

(5) "Kentucky resident" is defined by 13 KAR 2:045, Section 1(10).

(6) "Program of nursing" means a prelicensure, BSN completion, or graduate program of nursing.

(7) "Subsequent year award" means any Nursing Incentive Scholarship Fund award other than an initial year award.

Section 2. Application.

(1) To be eligible for a nursing incentive scholarship, an applicant shall:

(a) Be a Kentucky resident;

(b) Have been accepted for admission to a program of nursing; and

(c)

Have attained a sufficient point ranking pursuant to Section 3 of this administrative regulation for initial year award eligibility; or
Have met the requirements in Section 4 of this administrative regulation for subsequent year award eligibility.

(2) An applicant shall submit:

(a) A completed Nursing Incentive Scholarship Fund Application on or before May 1;

(b) For initial year award applicants, a copy of the Free Application for Federal Student Aid (FAFSA) Submission Summary for the current year, listing the applicant's Student Aid Index calculation, if requesting preference for financial need;

(d) For initial year award applicants, an official transcript from the last academic institution in which the applicant was enrolled for verification of GPA or copy of a GED; and

(e) For subsequent year award applicants, a document issued by the program of nursing verifying enrollment.

Section 3. Criteria for an Initial Year Award. The board shall consider the following criteria in evaluating an application for an initial year award and shall allocate points as follows:

(1) Preference categories as established in KRS 314.025(2):

(a) Licensed practical nurses, fifteen (15) points;

(b) Registered nurses pursuing a bachelor's degree or graduate nursing education, fifteen (15) points;

(d) Financially needy Kentucky residents, up to thirty-five (35) points. Financial need shall be determined by the Student Aid Index (SAI) calculation listed on the applicant's Free Application for Federal Student Aid (FAFSA) Submission Summary for the current year, and points shall be awarded based on need-based aid eligibility as follows:

SAI of negative $1,500 to $3,500, thirty-five (35) points;
SAI of $3,501 to $8,500, thirty (30) points; and
SAI of $8,501 to $18,500, twenty-five (25) points;

(2) Potential for academic success, as follows: high school, vocational school, college, or university grade point average for whichever institution the applicant most recently attended:

(a) Three and five-tenths (3.5) to four (4.0), twenty-five (25) points;

(b) Three (3) to three and four-tenths (3.4), twenty (20) points; and

(3) Potential for academic success when GED is earned in place of a high school diploma:

(a) A GED score of 601 to 800, twenty-five (25) points;

(b) A GED score of 501 to 600, twenty (20) points; and

Section 4. Criteria for a Subsequent Year Award.

(1) Except as established in subsection (2) of this section, a past recipient of a Nursing Incentive Scholarship Fund award shall be eligible to receive a subsequent year award if the recipient:

(a) Is enrolled in a program of nursing;

(b) Is not in default as to a prior Nursing Incentive Scholarship award; and

(2) If combined awards to past recipients are projected to exceed the current fund balance, past recipient eligibility shall be based on level of education of the program of nursing in which the applicant is enrolled, first being a prelicensure LPN program of nursing, second being a prelicensure non-BSN RN program of nursing, third being a BSN program of nursing, and fourth being a graduate degree program of nursing.

Section 5. Amount of Award.

(1) The board shall be notified by the board's fiscal officer as to the current fund balance prior to making an award.

(2)

(a) The board shall first make awards to those recipients who:

Received an award previously; and
Remain eligible to receive an award pursuant to Sections2 and 4 of this administrative regulation in the current year.

(b) If funds remain available after the awards are made pursuant to paragraph (a) of this subsection, the board shall make an award to other eligible applicants.

Section 6. Procedure for Disbursement of Awards.

(1) Prior to disbursement of funds, each year that funds are disbursed, the recipient shall sign a Nursing Incentive Scholarship Fund Contract and Promissory Note.

(2) Disbursement of funds shall be made directly to the recipient's bank account via automated clearing house electronic funds transfer.

(3) Disbursement shall be made annually.

Section 7. Repayment and Deferral.

(1) A recipient shall immediately become liable to the board to pay the sum of all scholarships received and the accrued interest on the scholarships if the recipient fails to complete the:

(a) Nursing program in which he or she is enrolled within the time established by the program of nursing; or

(b) Required employment as established in the contract.

(2) Written notification of demand for repayment shall be sent by the board to the scholarship recipient's last known address and shall be effective upon mailing.

(a) The board may agree to accept repayment in installments in accordance with a schedule established by the board.

(b) Payments shall first be applied to interest and then to principal on the earliest unpaid contracts.

(3) Repayment may be deferred in the case of disability, major illness, or accident that prevents a recipient from completing a program of nursing or being employed as a nurse in Kentucky.

(4) A student who ceases to be enrolled in a program of nursing prior to graduation may defer repayment for one (1) academic year.

(a) If the student fails to resume enrollment after one (1) academic year, monetary, repayment shall be due.

(b) If the student resumes enrollment within one (1) academic year, he or she may apply for a continuation award pursuant to Section 4 of this administrative regulation.

(5)

(a) If a deferment is requested, the recipient shall submit the request to the board on a Nursing Incentive Scholarship Fund Request for Deferral form.

(b) If the request for deferment is submitted pursuant to subsection (3) of this section, the Nursing Incentive Scholarship Fund Request for Deferral form shall be accompanied by a statement by a physician, advanced practice registered nurse, or physician's assistant.

(6) If a recipient fails to pass the licensure examination within two (2) years of graduation, the sum of all nursing incentive scholarships received by the recipient, and the accrued interest, shall become due and payable.

(7) If a court of competent jurisdiction determines that the recipient has defaulted and the funds are due and owing to the board, then the provisions of 201 KAR 20:370, Section 1(5), shall apply.

(8) An individual who has defaulted on a scholarship shall not be eligible to receive another scholarship until the defaulted scholarship has been repaid.

(9) The board may utilize the services of a third party for collection of sums owed pursuant to a Nursing Incentive Scholarship Fund Contract and Nursing Incentive Scholarship Fund Promissory Note, including reasonable attorney fees.

(10) After the board refers a debt to a third party for collection, a recipient shall not be eligible for deferment or to otherwise cure the recipient's breach, other than through payment of all sums owed to the board.

(11) Employment and repayment requirements specified in the contract and promissory note are not tolled or deferred as a consequence of a continuation of nursing education in a different degree program than was specified in the recipient's Nursing Incentive Scholarship Fund application; however, employment and repayment requirements are not activated if a recipient transfers to the same degree program at a different school.

Section 8. Verification.

(1) Verification of employment as a nurse in Kentucky pursuant to the contract shall be submitted to the board when the recipient's employment commitment begins and when it is completed. A termination of employment prior to completion shall be reported to the board within thirty (30) days by the recipient.

(2) A recipient shall notify the board immediately of a change of name, address, school, or enrollment status in school.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Nursing Incentive Scholarship Fund Application", 06/24;

(b) "Nursing Incentive Scholarship Fund Request for Deferral", 06/24;

(d) "Nursing Incentive Scholarship Fund Promissory Note", 06/24.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8:30 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 314.011, 314.025, 314.026, 314.027
STATUTORY AUTHORITY: KRS 314.026(1), 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.025 through 314.027 authorize the Kentucky Nursing Incentive Scholarship Fund for Kentucky residents. KRS 314.026(1) requires the Board of Nursing to promulgate administrative regulations to implement and administer the scholarship fund. This administrative regulation implements the Kentucky Nursing Incentive Scholarship Fund Program and establishes the requirements relating to the program.
History: 17 Ky.R. 2082; Am. 2428; eff. 2-7-1991; 18 Ky.R. 2874; eff. 5-1-1992; 20 Ky.R. 387; eff. 10-13-1993; 21 Ky.R. 484; 1028; eff. 9-21-1994; 23 Ky.R. 2534; 3006; eff. 2-19-1997; 24 Ky.R. 1116; 1502; eff. 1-12-1998; 26 Ky.R. 1411; 1680; eff. 2-16-2000; 27 Ky.R. 2554; eff. 5-14-2001; 1680; 2015; eff. 3-14-2002; 29 Ky.R. 1304; eff. 1-15-2003; 30 Ky.R. 389; eff. 10-15-2003; 32 Ky.R. 299; eff. 10-19-2005; 33 Ky.R. 2356; eff. 5-4-2007; 40 Ky.R. 1349; 1723; eff. 2-19-2014; 42 Ky.R. 499; 1145; eff. 11-6-2015; 47 Ky.R. 772, 1373; eff. 2-4-2021; TAm eff. 7-12-2022; 49 Ky.R. 1815, 2282; eff. 7-24-2023; TAm eff. 11-21-2023; 51 Ky.R. 379, 876; eff. 11-18-2024.

201 KAR 20:400 Delegation of nursing tasks {#sec-201-kar-20-400 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:400}

Section 1. Definitions.

(1) "Board" is defined by KRS 314.011(1).

(2) "Client" means a patient, resident, or consumer of nursing care.

(3) "Competence" means performing an act in a safe, effective manner.

(4) "Delegatee" means a person to whom a task is delegated.

(5) "Delegation" is defined by KRS 314.011(2).

(6) "Delegator" means the nurse delegating a task to another person.

(7) "Direct supervision" means the continuous, direct, onsite supervision by a registered nurse;

(8) "Nurse" is defined by KRS 314.011(3).

(9) "Nurse Extern" means an employee in a healthcare facility who is also actively enrolled as a student in a board-approved prelicensure program of nursing.

(10) "Nursing assistance" is defined by KRS 314.011(13).

(11) "Nursing task" means an act included in the definition of registered nursing practice, advanced practice registered nursing, or licensed practical nursing practice pursuant to KRS 314.011(6), (8), or (10).

(12) "Paramedic" is defined by KRS 311A.010.

(13) "Supervision" means the provision of guidance by a qualified nurse for the accomplishment of a nursing task with periodic observation and evaluation of the performance of the task including validation that the nursing task has been performed according to established standards of practice.

(14) "Unlicensed person" means an individual, other than a nurse, the client, or the client's family, legal guardian, or delegatee, who functions in an assistant or subordinate role to the nurse.

Section 2. Nurse's Responsibility in Delegation.

(1) A registered nurse or a licensed practical nurse may delegate a task to an unlicensed person in accordance with this section and Sections 3, 4, and 5 of this administrative regulation.

(2) A registered nurse may delegate a task to a paramedic employed in a hospital emergency department in accordance with KRS 311A.170 and Sections 3 and 4 of this administrative regulation.

(3) Prior to delegating a nursing task, the nurse shall determine the nursing care needs of the client. The nurse shall retain responsibility and accountability for the nursing care of the client, including nursing assessment, planning, evaluation, and assuring documentation.

(4) The nurse, prior to delegation to an unlicensed person, shall have either instructed the unlicensed person in the delegated task or determined that the unlicensed person is competent to perform the nursing task.

(5) A nursing task shall be delegated directly or indirectly. An indirect delegation shall not alter the responsibility of the nurse for appropriately assigning and supervising an unlicensed person.

(6) A nurse who delegates a nursing task in violation of this administrative regulation or participates in the utilization of an unlicensed person in violation of this administrative regulation shall be considered acting in a manner inconsistent with the practice of nursing.

Section 3. Criteria for Delegation. The delegation of a nursing task shall meet the following criteria:

(1) The delegated nursing task shall be a task that a reasonable and prudent nurse would find is within the scope of sound nursing judgment and practice to delegate;

(2) The delegated nursing task shall be a task that, in the opinion of the delegating nurse, may be competently and safely performed by the delegatee without compromising the client's welfare;

(3) The nursing task shall not require the delegatee to exercise independent nursing judgment or intervention; and

(4) The delegator shall be responsible for assuring that the delegated task is performed in a competent manner by the delegatee.

Section 4. Supervision.

(1) The nurse shall provide supervision of a delegated nursing task.

(2) The degree of supervision required shall be determined by the delegator after an evaluation of appropriate factors involved including the following:

(a) The stability and acuity of the client's condition;

(b) The training and competency of the delegatee;

(d) The proximity and availability of the delegator to the delegatee when the nursing task is performed.

Section 5. Nurse Extern.

(1) The nurse extern may perform nursing tasks as delegated under the direct supervision of a registered nurse in accordance with this section. Those tasks may include the administration of medication or other tasks that have been taught in the nurse extern's nursing education program. The nurse extern shall be individually educationally prepared and clinically competent to perform the task. At a minimum, this competency shall be verified by an official letter from the nursing program documenting that the nurse extern has successfully completed the task as a student in the program of nursing. The employer shall independently verify and document the competency of the nurse extern to successfully perform the acts that the nurse extern will perform.

(2) A licensed practical nurse may participate with the registered nurse in providing supervision of a nurse extern enrolled in a practical nurse program of nursing.

(3) The nurse extern may provide nursing assistance that is routinely a part of any nursing assistant's job description.

(4) For a nurse extern enrolled in a practical nurse program of nursing, the administration of medications shall be limited by 201 KAR 20:490.

(5) A nurse extern shall not substitute for licensed nursing staff.

(6) A nurse extern shall not be required to independently assume the role, function, or responsibility of licensed personnel.

History

RELATES TO: KRS 311A.170, 314.011, 314.021(2), 314.091(1)
STATUTORY AUTHORITY: KRS 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the board to promulgate administrative regulations necessary to implement KRS Chapter 314. KRS 314.091(1)(d) prohibits a person from negligently or willfully acting in a manner inconsistent with the practice of nursing. This administrative regulation establishes requirements that govern the delegation of a nursing task in a safe, effective manner so as to safeguard the health and welfare of the citizens of the Commonwealth.
History: 19 Ky.R. 1242; eff. 1-27-1993; 25 Ky.R. 2189; 2546; eff. 5-19-1999; 29 Ky.R. 2947; eff. 8-13-2003; TAm eff. 7-15-2010; 44 Ky.R. 1382, 1816; eff. 2-15-2018; Cert eff. 1-3-2025.

201 KAR 20:410 Expungement of records {#sec-201-kar-20-410 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:410}

Section 1. Definitions.

(1) "Encumbrance" means a revocation or suspension of, or any limitation on, the full and unrestricted practice imposed by the board on any licensee or credential holder.

(2) "Expungement" means that all affected physical records are destroyed and affected electronic records removed from the board's computer systems so that the matter does not appear on a license validation search via the board website or any other search of board records.

(3) "Complex reprimand" means disciplinary action that resulted in an encumbrance.

(4) "Consent decree" means an agreement pursuant to 201 KAR 20:161, Section 2(5).

(5) "Plain reprimand" means a disciplinary action applicable to a licensee or credential holder that is not a complex reprimand.

Section 2.

(1) The board shall not report cases that have been expunged to another state agency, board of nursing, or organization.

(2) The board shall reply to any inquiry regarding the expunged records that no record exists on the matter and that the proceedings to which the records refer shall be found never to have occurred.

(3) The individual whose records have been expunged may state that the proceedings to which the records referred to never occurred.

Section 3. Upon a written request from an individual against whom disciplinary action or a consent decree has been taken, the board shall expunge the disciplinary actions and consent decrees indicated in subsections (1) through (3) of this section, subject to the exceptions set forth in Sections 4 through 6 of this administrative regulation:

(1) Consent decrees that are at least three (3) years old if all the terms of the consent decree have been met;

(2) Agreed orders and decisions that are at least five (5) years old and that resulted in a plain reprimand, if all the terms of the agreed order or decision have been met; and

(3) Agreed orders and decisions that are at least ten (10) years old that resulted in a complex reprimand, if all the terms of the agreed order or decision have been met.

Section 4. The calculation of the time under Section 3 of this administrative regulation shall be tolled until the individual who is subject to a consent decree or disciplinary action has satisfied all terms in the consent decree or disciplinary action, and the length of time of the existence of the consent decree or disciplinary action shall be measured from the date all terms were satisfied by the individual.

Section 5. Expungement of a consent decree or disciplinary action shall not occur if there is an open and active Board of Nursing investigation or disciplinary proceeding pending against the affected individual pursuant to 201 KAR 20:161 or 201 KAR 20:162.

Section 6. Expungement of a disciplinary action shall be unavailable if the affected individual has had subsequent disciplinary action that is also ineligible for expungement. Consideration regarding an individual's eligibility for expungement shall always begin with an assessment of the age and relevant tolling as to the most recent consent decree or disciplinary action.

Section 7. Without a request pursuant to Section 3 of this administrative regulation, the board may initiate expungement of records subject to the criteria set forth in this administrative regulation.

History

RELATES TO: KRS 314.131
STATUTORY AUTHORITY: KRS 314.131(1), (10)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) and (10) authorize the Board of Nursing to promulgate administrative regulations to establish which disciplinary records may be expunged. This administrative regulation establishes which records may be expunged and the procedure for expungement.
History: 201 KAR 020:410. 22 Ky.R. 418; eff. 9-20-1995; 29 Ky.R. 1306; eff. 1-15-2003; 35 Ky.R. 317; 781; eff. 10-15-2008; TAm eff. 7-15-2010; 38 Ky.R. 1190; 1440; eff. 2-15-2012; Crt eff. 5-10-2019; 46 Ky.R. 2693; 47 Ky.R. 59; eff. 7-29-2020; 52 Ky.R. 214, 709; eff. 11-12-2025.

201 KAR 20:411 Sexual Assault Nurse Examiner Program standards and credential requirements {#sec-201-kar-20-411 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:411}

Section 1. Definitions.

(1) "Adolescent" means a child who has reached the onset of physiologically normal puberty.

(2) "Pediatric" means a child who has not reached the age of eighteen (18).

(3) "SANE-A/A course" means a formal, organized course of instruction that is designed to prepare a registered nurse to perform forensic evaluation of an adult or adolescent sexual assault victim and to promote and preserve the victim's biological, psychological, and social health.

(4) "SANE course" means the SANE-A/A course and the SANE-P/A course.

(5) "SANE-P/A course" means a formal, organized course of instruction that is designed to prepare a registered nurse to perform forensic evaluation of a pediatric or adolescent sexual assault victim and to promote and preserve the victim's biological, psychological, and social health.

Section 2. SANE Course Approval Application.

(1) On the form Application for Initial or Continued SANE Course Approval, the applicant for approval of a SANE-A/A course or a SANE-P/A course shall submit evidence to the board of completion of the requirements for course approval that consists of the following documentation:

(a) Position description and qualifications of the nurse administrator of the SANE course;

(b) Qualifications and description of the faculty;

(d) Course completion requirements;

(e) Tentative course presentation dates;

(f) Records maintenance policy; and

(g) Copy of certificate of course completion form.

(2) Nurse administrator of SANE course. A registered nurse, with current, active Kentucky licensure or a multistate licensure privilege pursuant to KRS 314.475, a baccalaureate or higher degree in nursing, and experience in adult and nursing education shall be administratively responsible for assessment, planning, development, implementation, and evaluation of the SANE course.

(3) Faculty qualifications. Faculty qualifications shall be consistent with the instructor qualifications set out in Sexual Assault Nurse Examiner (SANE) Education Guidelines. The name, title, and credentials identifying the educational and professional qualifications for each instructor shall be provided as part of the application.

(4) Course syllabus. The syllabus shall include:

(a) Course prerequisites, requirements, and fees;

(b) Course outcomes, which shall provide statements of observable competencies, which if taken as a whole, present a clear description of the entry level behaviors to be achieved by the learner;

(c) Unit objectives for an individual, which shall be stated in operational or behavioral terms with supportive content identified;

(d) Content as specified in subsection (6) of this section, which shall be described in detailed outline format with corresponding lesson plans and time frame, and which shall be related to, and consistent with, the unit objectives, and support achievement of expected course outcomes;

(e) Teaching methods with the activities of both instructor and learner specified in relation to the content outline, and which shall be congruent with stated course objectives and content, and reflect the application of adult learning principles;

(f) Evaluation methods, which shall be clearly defined for evaluating the learner's achievement of course outcomes, and which shall include a process for annual course evaluation by students, providers, faculty, and administration; and

(g) Instructional or reference materials required, which shall be identified.

(5) Completion requirements. Requirements for successful completion of the SANE course shall be clearly specified and shall include demonstration of clinical competency. A statement of policy regarding a candidate who fails to successfully complete the course shall be included.

(6) The SANE-A/A course and the SANE-P/A course content shall be consistent with Sexual Assault Nurse Examiner (SANE) Education Guidelines.

(a) In addition to that content, the SANE-A/A course and the SANE-P/A course shall include:

Observing live or previously recorded criminal trials and meeting with the Commonwealth Attorney or a representative from the Commonwealth Attorney's office in order to gain an understanding of the trial process including testifying;
Meeting with the local rape crisis center and a rape crisis center victim advocate in order to gain an understanding of the services provided to victims by rape crisis centers and the role of an advocate;
Meeting with local law enforcement officers or investigators responsible for investigating reports of rape or sexual assault in order to gain an understanding of the investigative process; and
Application of the Kentucky statewide medical protocol relating to the forensic and medical examination of an individual reporting sexual assault pursuant to KRS 216B.400(2) and (4); and
The Kentucky Crime Victim Bill of Rights, KRS 421.500 through 421.575.

(b) In addition to the requirements of paragraph (a) of this subsection, the SANE-P/A course shall include:

Principles of child development;
Techniques for acute evaluations;
An overview of Kentucky Child Advocacy Centers; and
An overview of KRS 431.600 through 431.660 which shall include information about multidisciplinary teams and their functions, model protocols approved by the Kentucky Multidisciplinary Commission on Child Sexual Abuse, and the role of peer review in child sexual abuse cases.

Section 3. Contact Hour Credit for Continuing Education.

(1) The SANE course shall be approved for contact hour credit which may be applied to licensure requirements.

(2) Approval period. Board approval for a SANE course shall be granted for a four (4) year period.

(3) Records shall be maintained for a period of five (5) years, including the following:

(a) Provider name, date, and site of the course; and

(b) Participant roster, containing at a minimum the name, Social Security number, and license number for each participant.

(4) A participant shall receive a certificate of completion that documents the following:

(a) Name of participant;

(b) Title of course, date, and location;

(d) Name and signature of authorized provider representative.

Section 4. Continued Board Approval of a SANE Course.

(1) An application for continued approval of a SANE course shall be submitted on the Application for Initial or Continued SANE Course Approval at least three (3) months prior to the end of the current approval period.

(2) A SANE course syllabus shall be submitted with the Application for Initial or Continued SANE Course Approval.

(3) Continued approval shall be based on the past approval period performance and compliance with the board standards described in this administrative regulation.

Section 5. The board may deny, revoke, or suspend the approval status of a SANE course for violation of this administrative regulation.

Section 6. Appeal. If a SANE course administrator is dissatisfied with a board decision concerning approval and wishes a review of the decision, the procedure established in this section shall be followed.

(1) A written request for the review shall be filed with the board within thirty (30) days after the date of notification of the board action which the SANE course administrator contests.

(2) The board, or its designee, shall conduct a review in which the SANE course administrator may appear in person and with counsel to present reasons why the board's decision should be set aside or modified.

Section 7. Requirements for Sexual Assault Nurse Examiner (SANE) Credential.

(1) The applicant for the SANE-A/A or SANE-P/A credential shall:

(a) Hold a current, active registered nurse license in Kentucky or a multistate licensure privilege pursuant to KRS 314.475;

(b) Have completed a board approved SANE educational course or a comparable course, which the board or its designee shall:

Evaluate to determine its course comparability; and
Advise an applicant if the course is not comparable and specify what additional components shall be completed to allow the applicant to be credentialed.

(d) Pay the fee established in 201 KAR 20:240;

(e) Provide a criminal record check by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI);

(f) Use the FBI Applicant Fingerprint Card;

(g) Pay any required fee to the KSP and the FBI;

(h) Complete the criminal record check within six (6) months of the date of the application;

(i) Provide a certified or attested copy of the court record of any misdemeanor or felony conviction as required by 201 KAR 20:370, Section 1(3); and

(j) Provide a letter of explanation that addresses each conviction, if applicable.

(2) Upon completion of the application process, the board shall issue the appropriate SANE credential for a period ending October 31.

(3) An applicant shall not be credentialed until a report is received from the FBI pursuant to the request submitted under subsection (1)(e) of this section and any conviction is addressed by the board.

Section 8. Renewal.

(1) To renew the SANE-P/A or the SANE-A/A credential for the next period, each sexual assault nurse examiner shall complete at least five (5) contact hours of continuing education related to the role of the sexual assault nurse examiner or forensic nursing within each continuing education earning period. A provider of a board approved SANE course may offer continuing education related to the role of the sexual assault nurse examiner.

(2) Upon completion of the required continuing education, completion of the Annual Credential Renewal Application: SANE Credential with RN in Kentucky or Annual Credential Renewal Application: SANE with RN Compact License (Not Kentucky), as applicable, and payment of the fee established in 201 KAR 20:240, the appropriate SANE credential shall be renewed at the same time the registered nurse license is renewed.

(3) The five (5) contact hours may count toward the required contact hours of continuing education for renewal of the registered nurse license.

(4) Failure to meet the five (5) contact hour continuing education requirement shall cause the SANE credential to lapse.

Section 9. Reinstatement.

(1) If the SANE credential has lapsed for a period of less than four (4) consecutive registered nurse licensure periods, and the individual wants the credential reinstated, the individual shall apply to reinstate the credential by:

(a) Submitting the Application for Credential as a Sexual Assault Nurse Examiner;

(b) Paying the fee established in 201 KAR 20:240;

(c) Submitting evidence of earning the continuing education requirement referenced in Section 8(1) of this administrative regulation for the number of registered nurse licensure periods since the SANE credential lapsed;

(d) Providing a criminal record check by the KSP and FBI;

(e) Using the FBI Applicant Fingerprint Card;

(f) Paying any required fee to the KSP and the FBI;

(g) Completing the criminal record check within six (6) months of the date of the application;

(h) Providing a certified or attested copy of the court record of any misdemeanor or felony conviction as required by 201 KAR 20:370, Section 1(3); and

(i) Providing a letter of explanation that addresses each conviction, if applicable.

(2) An applicant shall not be credentialed until a report is received from the FBI pursuant to the request submitted under subsection (1)(d) of this section and any conviction is addressed by the board.

(3) If the SANE credential has lapsed for more than four (4) consecutive licensure periods, the nurse shall complete a SANE course prior to reinstatement.

Section 10. The board shall obtain input from the Sexual Assault Response Team Advisory Committee concerning any proposed amendment to this administrative regulation as follows:

(1) The board shall send a draft copy of any proposed amendment to the co-chairs of the Sexual Assault Response Team Advisory Committee prior to approval by the board;

(2) The board shall request that comments on the proposed amendment be forwarded to the board's designated staff person within ninety (90) days; and

(3) At the conclusion of that time period or upon receipt of comments, whichever is sooner, the board, at its next regularly scheduled meeting, shall consider the comments.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Initial or Continued SANE Course Approval", 10/2018;

(b) "Application for Credential as a Sexual Assault Nurse Examiner", 10/2022;

(d) "Annual Credential Renewal Application: SANE with RN Compact License (Not Kentucky)", 02/2021; and

(e) "Sexual Assault Nurse Examiner (SANE) Education Guidelines", 2018, International Association of Forensic Nurses.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222-5172, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx

(3) The material in subsection 1(e) of this section may be obtained at https://cdn.ymaws.com/www.forensicnurses.org/resource/resmgr/education/2018_sane_edguidelines.pdf.

History

RELATES TO: KRS 216B.400(2), (4), (5), 314.011(14), 314.103, 314.142, 314.475, 403.707, 421.500-421.575, 431.600-431.660
STATUTORY AUTHORITY: KRS 314.131(1), 314.142(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.142(1) requires the board to promulgate administrative regulations to create a Sexual Assault Nurse Examiner Program. This administrative regulation establishes the requirements relating to a sexual assault nurse examiner course and the credentials of a sexual assault nurse examiner.
History: 24 Ky.R. 425; 859; eff. 10-13-1997; 26 Ky.R. 1443; 1682; eff. 2-16-2000; 29 Ky.R. 2948; eff. 8-13-2003; 30 Ky.R. 1958; eff. 4-12-2004; 31 Ky.R. 806; eff. 1-4-2005; 32 Ky.R. 301; eff. 10-19-2005; 32 Ky.R. 1921; eff. 7-24-2006; 33 Ky.R. 867; eff. 11-15-2006; 33 Ky.R. 4209; eff. 8-16-2007; 36 Ky.R. 530; 782; eff. 10-21-2009; 1982; eff. 5-7-2010; 37 Ky.R. 436; 10-20-2010; 2913; eff. 8-17-2011; 39 Ky.R. 259; eff. 10-17-12; 40 Ky.R. 2607; 41 Ky.R. 27; eff. 8-1-2014; 42 Ky.R. 2434, 2570; eff. 5-6-2016; 43 Ky.R. 433; eff. 11-16-2016; 44 Ky.R. 2247, 2479; eff. 6-20-2018; 45 Ky.R. 1767, 2597; eff. 3-13-2019; 46 Ky.R. 2992; 47 Ky.R. 527; eff. 9-23-2020; 47 Ky.R. 1824, 2582; eff. 6-16-2021; 49 Ky.R.1642, 2082; eff. 6-21-2023; TAm eff. 11-21-2023.

201 KAR 20:450 Alternative program {#sec-201-kar-20-450 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:450}

Section 1. Definitions.

(1) "Approved treatment provider" means an alcohol or drug treatment provider that meets the standards as established in Section 7 of this administrative regulation.

(2) "Board" means the Board of Nursing.

(3) "Program" means the Kentucky Alternative Recovery Effort for Nurses which is the alternative program operated by the board for nurses.

(4) "Substance use disorder" means the combined DSM-IV categories of substance abuse and substance dependence.

Section 2. Admission and Denial to the Program.

(1) In order to gain admission to the program, an individual shall:

(a) Be an advanced practice registered nurse, a registered nurse, or a licensed practical nurse licensed in the Commonwealth of Kentucky, a holder of a multistate licensure privilege pursuant to KRS 314.470, or an applicant for a credential issued by the board;

(b) Request in writing participation in the program;

(d) Agree in writing to the terms established in the program agreement;

(e) Obtain a current substance use disorder assessment, which may include a complete physical and psychosocial evaluation performed by a licensed or certified medical, mental health or psychological specialist in the field of drug, alcohol, or other substance use disorder;

(f) Provide any evaluation and treatment information, disclosure authorizations, and releases of liability as may be requested by the program staff;

(g) Agree to abide by the program staff's finding regarding employment as a nurse pending admission; and

(h) Have attended or be enrolled in an approved treatment provider program.

(2) Admission to the program shall be denied if the applicant:

(a) Does not meet the eligibility requirements for admission as established in subsection (1) of this section; or

(b) Is not eligible for licensure in Kentucky or if the board does not grant authorization to practice under KRS 314.470 Article V(f) or 201 KAR 20:500, Section 3(2).

(3) Admission to the program may be denied if the applicant:

(a) Diverted scheduled substances for other than self-administration;

(b) Will not substantially benefit from participation in the program;

(c) Has a criminal conviction related to the sale or distribution of scheduled substances or legend prescription drugs; or

(d) Has been terminated from alternative program participation in Kentucky or any other state.

(4) In the case of an applicant for a credential issued by the board, admission to the program shall be conditioned upon obtaining licensure in Kentucky. Failure to obtain licensure shall result in denial of admission to the program.

Section 3. Requirements for Participation in the Program.

(1) A participant shall:

(a) Enter into a program agreement; and

(b) Comply with all of the terms and conditions of the program agreement for the time period specified in the agreement.

(2) The program agreement may include any of the following:

(a) A requirement that the participant undergo and successfully complete substance use disorder treatment by an approved treatment provider;

(b) A requirement that the participant agree not to practice in any capacity in a patient care setting or area which requires licensure until approved to do so by the program;

(c) A requirement that the participant undergo and successfully complete the continuing care program recommended by the approved treatment provider and designated in the program agreement. The continuing care program may include individual or group counseling or psychotherapy;

(d) A requirement that the participant remain free of alcohol, mood-altering substances including herbal preparations, over-the-counter medications containing alcohol or mood-altering substances, and any other medication except for substances prescribed by a practitioner authorized by law to prescribe for a specific medical condition;

(e) A requirement that the participant inform all treating health care practitioners of the participant's substance use disorder and recovery status prior to receiving a prescription for any medication, mood-altering substance, or herbal preparation;

(f) A requirement, if a participant shall take any substance prescribed or recommended by a practitioner, that the participant provide the program written documentation from the practitioner that the use of the substance does not impair the participant's ability to practice nursing in a safe and effective manner and will not interfere with the participant's recovery program provided the substance is used in accordance with the prescription or recommendation;

(g) A requirement that if the participant is prescribed, recommended, or dispensed any medication by a practitioner, the participant shall cause the practitioner to report the medication to the program. The report shall include the diagnosis, the name of the medication, the quantity prescribed, any refills or any other information about the medication requested by the program staff, and shall be submitted to the program within the time specified in the program agreement. Consultation with a physician addictionologist may be required by the program and the participant shall agree to abide by any finding made by the physician addictionologist;

(h) A requirement that the participant cause all treatment providers and counselors to provide any reports as may be required by the program at the intervals specified in the program agreement;

(i) A requirement that the participant submit to random alcohol and drug testing when requested by the program, and that the participant comply with all requirements of the program concerning random alcohol and drug testing;

(j) A requirement that the participant attend twelve (12) step group meetings, or other group meetings as specified by the program agreement, and that the participant verify attendance at these meetings by signature of a group or meeting representative and submit the signatures to the program;

(k) A requirement that the participant comply with the employment and nursing practice restrictions specified by the program agreement;

(l) A requirement that the participant sign a waiver which may allow the program to communicate with the participant's treatment providers, counselors, employers, work site monitors, law enforcement officials, and support group facilitators, if applicable;

(m) A requirement that the participant be responsible for paying the costs of the physical and psychosocial assessment, substance use disorder treatment, and random alcohol and drug testing, or any other costs incurred in complying with the program agreement;

(n) A requirement that the participant submit a written personal report to the program at the intervals specified by the program agreement;

(o) A requirement that the participant meet in person with a program representative at the intervals specified by the program agreement;

(p) A requirement that the participant shall not work as a nurse in another Nurse Licensure Compact state without the permission of this state and the other state; and

(q) A requirement that the participant comply with all other terms and conditions specified in the program agreement which the program staff finds are necessary to ensure that the participant is able to practice nursing in accordance with acceptable and prevailing standards of safe nursing care.

Section 4. Successful Completion of the Program.

(1) A participant successfully completes the program when the participant fully complies with all of the terms of the program agreement for the period as specified in the agreement.

(2) When a participant successfully completes the program, the program shall notify the participant of the successful completion in writing. Once the participant receives this written notification of successful completion of the program, the participant shall no longer be required to comply with the program agreement.

(3) A participant who successfully completes the program shall not be reported to the National Council of State Boards of Nursing's disciplinary data bank.

Section 5. Causes for Termination from the Program. A participant may be terminated from the program for the following causes:

(1) Noncompliance with any aspect of the program agreement; or

(2) Being unable to practice according to acceptable and prevailing standards of safe nursing care.

Section 6. Resignation From the Program.

(1) A participant may resign from the program.

(2) Upon resignation, the participant shall sign an agreed order in conformity to 201 KAR 20:161, Section 2(4) voluntarily surrendering the nursing license.

Section 7. Standards for Approved Treatment Providers. In order to be an approved treatment provider, the treatment provider shall:

(1) Be:

(a) Accredited by the Joint Commission for the Accreditation of Healthcare Organizations or be state-certified and shall have operated as a substance use disorder treatment program for a minimum of one (1) year; or

(b) A licensed or certified specialist in the field of substance use disorder treatment as outlined in 201 KAR 20:163, Section 2(2);

(2) Provide inpatient or outpatient care;

(3) Be based on a twelve (12) step program of Alcoholics Anonymous, Narcotics Anonymous, or an equivalent support group;

(4) Provide development of an individualized treatment and aftercare program to meet the specific needs of the participant and make recommendations regarding an ongoing rehabilitation plan;

(5) Be based on an evaluation that meets the standards of 201 KAR 20:163, Section 3;

(6) Provide clearly-stated costs and fees for services, and offer fee schedules and flexibility in payment plans to accommodate participants who are underinsured or experiencing financial difficulties;

(7) Demonstrate willingness to provide information to the alternative program regarding the status of the participant after applicable consents to release information are obtained;

(8) Work closely with the alternative program staff to assure proper implementation and administration of policies and procedures related to the program;

(9) Maintain timely and accurate communication with program staff, including assessments, diagnosis, prognosis, discharge summary, and follow-up recommendations as well as reports on significant events which occur in treatment that are related to impairment and the ability to practice safely; and

(10) Provide written reports of progress at intervals as requested by program staff.

Section 8. An individual who is admitted to the program but does not hold a Kentucky nursing license shall pay a participation fee of fifty (50) dollars per year.

Section 9.

(1) A participant in the alternative program who moves to another jurisdiction may transfer to the new jurisdiction's alternative program.

(2) If the participant is accepted into the new jurisdiction's alternative program, the participant may relinquish his or her Kentucky license pursuant to 201 KAR 20:510.

(3) The provisions of Section 6 of this administrative regulation shall not apply in this situation.

(4) If the participant relinquishes his or her Kentucky license, the alternative program in Kentucky shall cease monitoring the participant.

History

RELATES TO: KRS 314.085, 314.091, 314.171, 314.470,
STATUTORY AUTHORITY: KRS 314.131(1), (2), 314.171(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.171 authorizes the board to establish an alternative to discipline program to promote early identification, intervention, treatment, and rehabilitation of nurses who may be impaired by reason of illness, alcohol or drug abuse, or as a result of any physical or mental condition. This administrative regulation provides procedures for the implementation of an alternative program.
History: 27 Ky.R. 879; Am. 1252; eff. 11-17-2000; 28 Ky.R. 130; eff. 9-10-2001; 29 Ky.R. 2948; eff. 8-13-03; 33 Ky.R. 869; eff. 11-15-06; 34 Ky.R. 355; 715; eff. 10-17-2007; TAm eff. 7-15-2010; 38 Ky.R. 1994; 39 Ky.R. 203; eff. 8-15-2012; 40 Ky.R. 2609; 41 Ky.R. 29; eff. 8-1-2014; Cert. eff. 7-15-2021.

201 KAR 20:472 Initial approval for dialysis technician training programs {#sec-201-kar-20-472 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:472}

Section 1.

(1) A training program that prepares an individual to become a credentialed dialysis technician shall be approved by the board of nursing.

(2)

(a) A dialysis technician training program that seeks to be approved by the board shall file an Application for Dialysis Technician Training Program and pay a fee of $2,000; and

(b) The dialysis technician training program shall include with its application a copy of the approval of certification for the dialysis technician training program's governing organization to operate a renal dialysis center from the Centers for Medicare and Medicaid Services (CMS).

Section 2.

(1) A training program that prepares an individual to become a dialysis technician which is located in this state shall meet the standards established by this administrative regulation.

(2) A training program that is located out of state shall not be subject to the approval process specified in this administrative regulation. However, an applicant who has completed an out of state training program may apply for a dialysis technician credential pursuant to 201 KAR 20:476, Section 1(2).

Section 3. Renal Dialysis Organization.

(1)

(a) An organization which is licensed to operate a renal dialysis center pursuant to 902 KAR 20:018 shall assume full legal responsibility for the overall conduct of the dialysis technician training program.

(b) The organization shall appoint a program administrator who shall be administratively responsible for the oversight of the dialysis technician training program on a twelve (12) month basis.

(c) The organization shall submit to the board in writing the name of the registered nurse who has been designated to assume the administrative duties for the program, the date the person will assume the duties of program administrator, and a copy of his or her curriculum vitae.

(d) The board shall be notified in writing of a change, vacancy, or pending vacancy, in the position of the program administrator within thirty (30) days of the dialysis technician training program's awareness of the change, vacancy, or pending vacancy.

(2) The organization shall develop and implement a plan of organization and administration that clearly establishes the lines of authority, accountability, and responsibility for each dialysis technician training program location.

(3) A system of official records and reports essential to the operation of the dialysis technician training program shall be maintained according to institutional policy. Provisions shall be made for the security and protection of records against loss and unauthorized distribution or use. The system of records shall include:

(a) A policy that all records shall be maintained for at least five (5) years;

(b) Provider name, dates of program offerings, and sites of the training program;

(d) Trainee roster that includes name, date of birth, social security number, and program completion date;

(e) Faculty records including:

Validation of current licensures or credentials; and
Performance evaluation for faculty employed more than one (1) year.

(f) Systematic plan of evaluation;

(g) Graduates of the dialysis technician training program; and

(h) Administrative records and reports from accrediting agencies.

Section 4. Program Administrator and Assistant Program Administrator.

(1) The program administrator shall have the following qualifications:

(a)

A minimum of a master's degree from an accredited college or university;
A program administrator who currently does not hold a master's degree from an accredited college or university shall obtain the degree within five (5) years of the effective date of this administrative regulation. The program administrator shall provide documentation that shows active and steady progression towards the degree; and
The board may waive the master's degree requirements in this paragraph upon a showing that the proposed program administrator is otherwise qualified, such as possessing a minimum of eight (8) years of experience in dialysis patient care and administration;

(b) A minimum of the equivalent of one (1) year of full time teaching experience;

(c) At least two (2) years of experience in the care of a patient with end stage renal disease or who receives dialysis care;

(d) Demonstrated experience or preparation in education that includes teaching adults, adult learning theory teaching methods, curriculum development, and curriculum evaluation. A program administrator without previous program administrator experience shall have a mentor assigned by the renal dialysis center and an educational development plan implemented. The assigned mentor shall have documented experience in program administration;

(e) An active and unencumbered Kentucky registered nurse license, temporary work permit, or multistate privilege; and

(f) Current knowledge of requirements pertaining to the dialysis technician training program and credential as established in 201 KAR 20:472, 474, 476, and 478.

(2) A dialysis technician training program may have an assistant program administrator at each location. An assistant program administrator shall have the following qualifications:

(a)

A minimum of a baccalaureate degree in nursing;
An assistant program administrator who currently does not hold a baccalaureate degree in nursing from an accredited college or university shall obtain the degree within five (5) years of the effective date of this administrative regulation. The assistant program administrator shall provide documentation that shows active and steady progression towards the degree; and
The board may waive the baccalaureate degree requirements in this paragraph upon a showing that the proposed assistant program administrator is otherwise qualified, such as possessing a minimum of five (5) years of experience in dialysis patient care and administration;

(b) A minimum of the equivalent of one (1) year of full time teaching experience;

(c) At least two (2) years of experience in the care of a patient with end stage renal disease or who receives dialysis care;

(e) An active and unencumbered Kentucky registered nurse license, temporary work permit, or multistate privilege; and

(f) Current knowledge of requirements pertaining to the dialysis technician training program and credential as established in 201 KAR 20:472, 474, 476, and 478.

Section 5. Faculty.

(1) The faculty shall be adequate in number to implement the curriculum as determined by program outcomes, course objectives, the level of the student, and the educational technology utilized.

(2) The faculty shall be approved by the program administrator and shall include didactic and clinical faculty.

(3) The name, title, and credential identifying the education and professional qualifications of each didactic and clinical faculty shall be provided to the board within thirty (30) days of hire. With each change in faculty, whether a new hire or a termination or retirement, an updated list of current faculty shall be provided to the board.

(4) Didactic faculty.

(a) Didactic faculty shall consist of multidisciplinary members with expertise in the subject matter.

(b) Didactic faculty shall possess:

A minimum of a baccalaureate degree from an accredited college or university; or
An associate degree from an accredited school of nursing.

a. A current state license as a registered nurse; or

b. A privilege to practice in the state; and

A minimum of one (1) year of experience with dialysis patient care.

(d) Didactic faculty shall document a minimum of two (2) years full time or equivalent experience in their profession or discipline.

(e) Didactic faculty shall document preparation in educational activities in the area of teaching and learning principles for adult education, including curriculum development and implementation. The preparation shall be acquired through planned faculty in-service learning activities, continuing education offerings, or academic courses.

(f) Didactic faculty hired without prior teaching experience shall have a mentor assigned and an educational development plan implemented.

(5) Clinical faculty and preceptors.

(a) Clinical faculty or a preceptor shall hold a current, unencumbered Kentucky nursing license, temporary work permit, or multistate privilege or a current, unencumbered Kentucky dialysis technician credential.

(b) Clinical faculty or a preceptor shall have evidence of clinical competencies in end stage renal disease and dialysis care.

(c) A preceptor who is a dialysis technician shall hold certification by one (1) of the following dialysis technician certification organizations:

The Board of Nephrology Examiners Nursing Technology (BONENT); or
The Nephrology Nursing Certification Commission (NNCC) .

(6) There shall be documentation that the clinical faculty have been oriented to the course, program outcomes, student learning objectives, evaluation methods used by the faculty, and documented role expectations.

Section 6. Standards for Training.

(1) Philosophy, mission, and outcomes.

(a) The philosophy, mission, and outcomes of the training program shall be clearly defined in writing by the faculty and shall be consistent with those of the Renal Dialysis Center.

(b) The program outcomes shall be consistent with those required by the Centers for Medicare and Medicaid Services and the dialysis technician certification organizations listed in Section 5(5)(c) of this administrative regulation.

(c) The program shall conduct an evaluation to validate that identified program outcomes have been achieved and provide evidence of improvement based on an analysis of those results.

(d) The training program shall include a minimum of 200 hours of didactic course work and 200 hours of direct patient contact. The didactic course work and direct patient contact shall be at least ten (10) weeks. The training program shall maintain a log of clinical hours for each student. It may also include an internship of at least 160 hours. The internship shall begin after two (2) unsuccessful attempts to pass the final examination. The internship shall be completed prior to a third final examination attempt. The internship shall be under the supervision of a registered nurse and shall include a preceptor.

(2) The curricula of the program shall minimally include the following topics:

(a) The legal and ethical aspects of practice including:

The history of dialysis;
The state and federal regulations governing dialysis including 201 KAR 20:478, 902 KAR 20:018, 907 KAR 1:400, and 42 C.F.R. 494.140;
The resources available for pursuing personal and career development;
The principles and legal aspects of documentation, communication, and patient rights;
The roles of the dialysis technician and other multidisciplinary team members;
The principles related to patient safety; and
The role of the board of nursing.

(b) Anatomy and physiology applicable to renal function including:

Renal anatomy;
Organs of the urinary system and components of the nephron; and
Functions of the normal kidney.

Causes and complications of acute renal failure; and
Causes and complications of chronic renal failure.

(d) The psychosocial and physical needs of the end stage renal disease (ESRD) patient and family including:

The impact on family and social systems;
Coping mechanisms utilized;
Rehabilitative needs;
Community resources available;
All aspects of renal diet and fluid restrictions; and
Educational needs of patients receiving dialysis including the role of the technician and resources available.

(e) The principles of pharmacology as related to ESRD including:

Commonly used medications and their side effects;
The principles of medication administration;
The indications, dosage, action, and adverse effects of heparin, local anesthetics, and normal saline; and
The accurate administration of heparin, local anesthetics, and normal saline.

(f) Aseptic techniques and established infection control practices including:

Dialysis precautions as issued by the United States Centers for Disease Control; and
Proper hand washing technique.

(g) Principles of dialysis and dialysis treatment including:

Definitions and terminology;
Principles of osmosis, diffusion, ultrafiltration, and fluid dynamic;
The structure and function of various types of circulatory access sites and devices;
The indications, advantages, disadvantages, and complications of internal arteriovenous (A/V) fistulas and A/V grafts, and central venous access devices;
The various types of dialyzers;
The benefits, risks, and precautions associated with dialyzer reuse;
The purpose and concept of water treatment;
Knowledge and ability to manage and operate dialysis equipment;
Knowledge and ability to appropriately monitor and collect data throughout the course of treatment;
The etiology, signs and symptoms, prevention, intervention and treatment, and options for the most common complications;
The knowledge and ability to safely initiate and discontinue treatment; and
Routine laboratory tests, values, and collection techniques.

(h) Other treatment modalities for ESRD including:

Renal transplantation; and
Home dialysis options.

(3) Implementation of the curriculum.

(a) There shall be a written plan, including supporting rationale, which describes the organization and development of the curriculum.

(b) The curriculum plan shall reflect the philosophy, mission, and outcomes of the program and shall prepare the student to meet the qualifications for certification as established by the dialysis technician certification organizations listed in Section 5(5)(c) of this administrative regulation.

(c) The dialysis technician training program shall have written measurable program outcomes that reflect the role of the dialysis technician graduate upon completion of the program.

(d) The dialysis technician training program shall be logical and sequential, and shall demonstrate an increase in difficulty and complexity as the student progresses through the program.

(e) A course syllabus shall be developed to include outcomes, planned instruction, learning activities, and method of evaluation.

(f) The teaching methods and activities of both instructor and learner shall be specified. The activities shall be congruent with stated objectives, and content shall reflect adult learning principles.

(g) A copy of the course syllabus shall be on file in the dialysis technician training program office and shall be available to the board upon request.

(h) Any proposed substantive changes to the dialysis technician training program syllabus shall be submitted to the board in writing at least two (2) months prior to implementation and shall not be implemented without approval from the board. A substantive change is any change in the philosophy, mission, or outcomes that results in a reorganization or reconceptualization of the entire curriculum.

(i) Training may be offered through distance learning technologies. Training offered through the use of distance learning technologies shall be comparable to the training offered in a campus based program.

(4) The curriculum shall require that the student hold a current Basic Life Support (BLS) certificate.

Section 7. Students in Dialysis Technician Training Programs.

(1) Preadmission requirements shall be stated in all publications utilized by the dialysis technician training program including recruitment materials.

(a) Program information communicated by the program shall be accurate, complete, consistent, and publicly available.

(b) Participation shall be made available for students in the development, implementation, and evaluation of the program.

(2) Written dialysis technician training program student policies shall be accurate, clear, and consistently applied.

(3) Upon admission to the training program, each student shall be advised in electronic or written format of policies pertaining to:

(a) Prerequisites for admission, readmission, or dismissal;

(b) Evaluation methods that include the grading system;

(d) Health requirements and other standards as required by the renal dialysis center;

(e) Student responsibilities;

(f) A plan for emergency care while in the clinical setting; and

(g) Program completion requirements.

(4) A student enrolled in a training program is exempt from the credentialing requirement while enrolled. The student shall use the title dialysis technician (DT) trainee.

Section 8. Program Completion Requirements.

(1) Requirements for successful completion of the dialysis technician training program shall be clearly specified.

(2) The requirements shall provide evidence of clinical competency through the use of evaluation methods and tools that measure the progression of the student's cognitive, affective, and psychomotor achievement of clinical outcomes based on published rubrics and sound rationale.

(3) Students shall have sufficient opportunities in simulated or clinical settings to develop psychomotor skills essential for safe, effective practice.

(4) A final examination shall be administered only during the final forty (40) hours of the first 400 hours of the training program.

(a) The final examination shall be mapped to program outcomes and blueprinted to the examination content of one (1) of the dialysis technician certification organizations as listed in Section 5(5)(c) of this administrative regulation.

(b) Following successful completion of the final examination, the student may begin the internship.

(5) The individual who successfully completes the training program, including the internship, shall receive a certificate of completion that documents the following:

(a) Name of individual;

(b) Title of training program, date of completion, and location;

(d) The program code number issued by the board; and

(e) Name and signature of the program administrator or the assistant program administrator.

(6) The program shall submit the List of Dialysis Technician Training Program Graduates within three (3) working days of the program completion date.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Dialysis Technician Training Program", 4/2021; and

(b) "List of Dialysis Technician Training Program Graduates", 4/2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222-5172, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 314.035, 314.131(1), 314.137
STATUTORY AUTHORITY: KRS 314.131(1), 314.137
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8(2)(a).
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.137 requires the board to promulgate administrative regulations to regulate dialysis technicians and includes establishing required standards for training programs. This administrative regulation establishes the requirements for dialysis technician training programs.
History: 201 KAR 020:472. 48 Ky.R. 220, 1605, 2397; eff. 3-10-2022; 49 Ky.R. 1645, 2084; eff. 6-21-2023; TAm eff. 11-21-2023; 52 Ky.R. 1754; eff. 8-18-2026.

201 KAR 20:474 Continuing approval and periodic evaluation of dialysis technician training programs {#sec-201-kar-20-474 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:474}

Section 1. Renal Dialysis Center Survey and Certification.

(1) The board shall retain jurisdiction over dialysis technician training programs and may conduct site visits or other investigations into any allegation that may constitute a violation of 201 KAR 20:472 or this administrative regulation. The board may conduct a site visit at any time during normal business hours, and may also conduct site visits when the Centers for Medicaid and Medicare Services (CMS) conducts a survey or site visit of the renal dialysis center utilized by the dialysis technician training program.

(2) A dialysis technician training program shall notify the board regarding a CMS site visit within ninety (90) days of the close of the site visit.

(3) If CMS found deficiencies of the training program during the site visit, within ninety (90) days of the close of the site visit the training program shall provide to the board:

(a) All correspondence and reports from CMS related to the deficiencies;

(b) The training program's subsequent plan of correction of the deficiencies; and

Section 2. Dialysis Technician Training Program Evaluation.

(1) To verify continued compliance with 201 KAR 20:472, the program shall submit progress reports or periodic supplemental reports, completed questionnaires, surveys, and other related documents as requested by the board.

(2) A dialysis technician training program shall perform a systematic review of the training program that results in continuing improvement. This process shall result in an evaluation report that is submitted to the board on an annual basis.

(3) Data collection for the evaluation report shall be on-going and shall reflect aggregate analysis and trending.

(4) The evaluation report shall include specific responsibilities for data collection methods, individuals or groups responsible, frequency of data collection, indicators of achievement, findings, and outcomes for evaluating the following aspects of the dialysis technician training program:

(a) Organization and administration of the dialysis technician training program;

(b) Curriculum;

(d) Faculty evaluation;

(e) Student achievement of program outcomes;

(f) Student completion rates;

(g) Student certification achievement rates; and

(h) Clinical resources.

(5) If a dialysis technician training program utilizes distance education for didactic instruction, it shall evaluate and assess the educational effectiveness of its distance education program to ensure that the distance education is substantially comparable to face to face education.

(6) The evaluation report shall provide evidence that the outcomes of the evaluation process are used to improve the quality and strength of the dialysis technician training program.

Section 3. Voluntary Closure of a Dialysis Technician Training Program.

(1) A dialysis technician training program that intends to close shall submit written notification to the board at least six (6) months prior to the planned closing date.

(2) The dialysis technician training program may choose one (1) of the following procedures for closing:

(a) The dialysis technician training program shall continue to operate until the last class enrolled has completed training;

The program shall continue to meet the standards until all students enrolled have completed the program;
The official closing of the program shall be the date on the certificate of the last graduate; and
The dialysis technician training program shall notify the board in writing of the official closing date; or

(b) The dialysis technician training program shall close the program following the transfer of students to other approved dialysis technician training programs;

The program shall continue to meet the standards until all students have transferred;
The names of students who have transferred to approved programs and the date of the last student transfer shall be submitted to the board by the renal dialysis center; and
The date of the last student transfer shall be the official closing date of the program.

(3) Custody of records.

(a) The dialysis technician training program that continues to operate shall retain responsibility for the records of the students and graduates. The board shall be advised of the arrangement made to safeguard the records.

(b) The dialysis technician training program that ceases to exist shall transfer training logs and certificates of completion of each student and graduate to a third party vendor approved by the Council for Postsecondary Education for safekeeping.

Section 4. Continued Approval of a Dialysis Technician Training Program.

(1) To receive continued approval, a dialysis technician training program shall:

(a) File a completed Application for Dialysis Technician Training Program, as incorporated by reference in 201 KAR 20:472;

(b) Submit an annual program evaluation summary report as required by Section 2(2) of this administrative regulation;

(c) Submit a list of current faculty including the name, title, and credential identifying the educational and professional qualifications of each instructor; and

(d) Pay a fee of $1,000.

(2)

(a) The material required to be submitted by subsection (1) of this section shall be submitted at least ninety (90) days prior to the end of the current approval period.

(b) If any of the material required to be submitted pursuant to subsection (1) of this section is submitted less than ninety (90) days, but more than thirty (30) days prior to the end of the current approval period, an additional fee of $300 shall be charged. Nonpayment of this fee shall result in denial of the application for continued approval.

(c) If material required to be submitted pursuant to subsection (1) of this section is submitted less than thirty (30) days prior to the end of the current approval period, the material shall not be accepted. The program shall lapse at the end of the current approval period and the renewal fee shall be forfeited.

(3) Continued approval shall be based on compliance with the standards established in 201 KAR 20:472 and this administrative regulation.

(4) Continued approval shall be granted for a two (2) year period.

(5) If a program fails to seek renewal of its approval status thirty (30) days prior to the end of the current approval period, the approval shall lapse at the end of the current approval period.

Section 5. Reinstatement of Dialysis Technician Training Programs.

(1) A program with lapsed approval shall cease all training activity until provided with written notice of the reinstatement of approval.

(2) A dialysis training program that has closed or that has a lapsed or withdrawn approval status may seek to reinstate approval as follows:

(a) File a completed Application for Dialysis Technician Training Program, as incorporated by reference in 201 KAR 20:472;

(b) If applicable, file evidence of compliance with the requirements of any order issued by the board in accordance with Section 8 of this administrative regulation; and

Section 6. Site Visits.

(1) A representative of the board may conduct a site visit at any time during normal business hours.

(2) The following situations may be cause for a site visit to determine if the standards of 201 KAR 20:472 and this administrative regulation are being met:

(a) Change of status by CMS or an accrediting body recognized by CMS;

(b) Providing false or misleading information to students or the public concerning the dialysis technician training program;

(c) A written complaint received from faculty, students, or the general public relating to a violation of 201 KAR 20:472 or this administrative regulation;

(d) A change in physical facilities;

(e) Information received by the board that may indicate a violation of 201 KAR 20:472 or this administrative regulation; and

(f) Failure to submit reports as required by 201 KAR 20:472 or this administrative regulation.

Section 7. Action Following Site Visit.

(1)

(a) Following a site visit and prior to board consideration, a draft of the site visit report shall be made available to the program administrator for review and correction of factual data.

(b) The program administrator shall be available during the discussion of the report at the board committee to provide clarification.

(c) If the site visit results in a finding of non-compliance with 201 KAR 20:472 or this administrative regulation by the dialysis technician training program, a letter shall be sent to the program administrator regarding any requirements to be met.

(d) The board shall notify in writing the dialysis technician training program of the time frame within which it shall meet the requirements. The board shall verify that the requirements have been met.

(2)

(a) If the dialysis technician training program is unable to meet the requirements in the time set by the board, it may request additional time. The board may grant or deny this request based on the rationale for the request.

(b) If the board denies the request for additional time, it shall begin the process established in Section 8 of this administrative regulation.

Section 8. Withdrawal of Approval.

(1) If the standards are not being met, the board shall send written notice to the program administrator of the affected dialysis technician training program of its intent to withdraw approval. The written notice shall be sent return receipt requested.

(2) When making this determination, the board shall consider the following factors:

(a) The number and severity of the deficiencies;

(b) The length of time in which the deficiencies have existed; and

(3) Within thirty (30) days of receipt of the written notice, the program administrator of the affected program may request an administrative hearing pursuant to KRS Chapter 13B. If an administrative hearing is not requested, program approval shall be withdrawn and the dialysis technician training program shall be closed. A closed program shall comply with Section 3 of this administrative regulation.

(4)

(a) If a program of nursing requests an administrative hearing, that hearing shall be held within sixty (60) days of the request.

(b) The hearing shall be held before a hearing officer designated by the board pursuant to KRS Chapter 13B.

(c) If the order of the board is adverse to the dialysis technician training program, the board may impose the following costs:

The cost of the stenographic services;
The cost of any expert witness, including travel;
Travel for other witnesses;
Document reproduction costs; and
The cost of the hearing officer which shall be $400 per day.

(5)

(a) The dialysis technician training program that has been closed shall assist a currently enrolled student to transfer to an approved dialysis technician training program.

(b) A dialysis technician training program that fails to assist students as required in this subsection shall be ineligible for reinstatement for at least one (1) year.

History

RELATES TO: KRS 314.035, 314.131(1), 314.137
STATUTORY AUTHORITY: KRS 314.131(1), 314.137
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8(2)(a).
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.137 requires the board to promulgate administrative regulations to regulate dialysis technicians and includes establishing required standards for training programs. This administrative regulation establishes the requirements for continued approval of dialysis technician training programs.
History: 201 KAR 020:474. 48 Ky.R. 224, 2400; eff. 3-10-2022; 52 Ky.R. 1758; eff. 8-18-2026.

201 KAR 20:476 Dialysis technician credentialing requirements for initial credentialing, renewal, and reinstatement {#sec-201-kar-20-476 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:476}

Section 1. Requirements for Initial Dialysis Technician Credential.

(1) An individual who wants to be credentialed as a dialysis technician (DT) in order to engage in dialysis care shall:

(a) File with the board the Application for Dialysis Technician Credential;

(b) Pay the fee established in Section 4 of this administrative regulation;

(d) Submit the Checklist for Dialysis Technician Competency Validation; and

(e) Submit a criminal record check pursuant to subsection (3) of this section and meet the requirements of that subsection.

(2)

(a) In addition to the requirements of subsection (1)(a), (b), (d), and (e) of this section, an applicant who has completed an out of state DT training program that is not approved by the board and who does not hold certification from one (1) of the certification organizations listed in 201 KAR 20:472, Section 5(5)(c) shall submit to the board the training program's curriculum and evidence of completion of the training program.

The board or its designee shall evaluate the applicant's training program to determine its comparability with the standards as established in 201 KAR 20:472.
The board or its designee shall advise an applicant if the training program is not comparable and specify what additional components shall be completed to meet the requirements of 201 KAR 20:472, Section 6.

(b) In addition to the requirements of subsection (1)(a), (b), (d), and (e) of this section, an applicant who has completed an out of state DT training program that is not approved by the board and who holds certification from one (1) of the certification organizations listed in 201 KAR 20:472, Section 5(5)(c) shall complete an educational module that covers the information contained in 201 KAR 20:472, Section 6(2)(a)2.

(3)

(a) The criminal record check shall have been completed within six (6) months of the date of the application by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI) using the FBI Applicant Fingerprint Card. The applicant shall pay any fee required by the KSP and the FBI.

(b) The applicant shall provide to the board a certified or attested copy of the court record of any misdemeanor or felony conviction in any jurisdiction, except for traffic-related misdemeanors (other than DUI) or misdemeanors that are older than five (5) years. The applicant shall provide to the board a letter of explanation that addresses each conviction.

(c) A felony or misdemeanor conviction shall be reviewed by the board to determine if the application shall be processed with no further action. If further action is found as necessary, the application shall not be processed unless the applicant has entered into an agreed order with the board. If the parties are unable to agree on terms and conditions for an agreed order, an administrative hearing shall be held.

(4)

(a) After the applicant has met the requirements of subsection (1)(a), (b), (c), (d), and (e) of this section, the board shall issue a provisional credential to the applicant. The applicant shall be referred to as a DT Applicant. The DT Applicant shall practice dialysis care under the supervision of a registered nurse, an advanced practice registered nurse, physician, or a physician's assistant.

(b) The provisional credential shall expire eighteen (18) months from the date the provisional credential is issued by the board. During that time, the applicant shall obtain certification from one (1) of the certification organizations listed in 201 KAR 20:472, Section 5(5)(c).

(c) If the applicant fails to obtain certification as established in paragraph (b) of this subsection, the application shall lapse. The applicant may reapply by completing the training program again and meeting the requirements of subsection (1)(a), (b), (c), (d), and (e) of this section.

(d) A DT applicant shall be issued a provisional credential under this section only one (1) time, and it shall expire after eighteen (18) months.

(5) The DT Applicant shall only practice dialysis care as a DT Applicant until:

(a) The credential is issued;

(b) The application is denied by the board; or

(6)

(a) Upon approval of the Application for Dialysis Technician Credential pursuant to subsection (1) of this section and the applicant's successful certification pursuant to subsection (4) of this section, the board shall issue the DT credential.

(b) If the credential is issued prior to May 1, it shall expire on October 31 of the current credentialing period as defined in 201 KAR 20:085, Section 2.

(c) If the credential is issued on or after May 1, it shall expire on October 31 of the succeeding credentialing period as defined in 201 KAR 20:085, Section 2.

(d) After the issuance of the initial DT credential, the credentialing period shall be as defined in 201 KAR 20:085, Section 2.

Section 2. Renewal.

(1) To be eligible for renewal of the credential, the DT shall submit prior to the expiration date of the credential:

(a) The Application for Dialysis Technician Credential Renewal;

(b) The fee established in Section 4 of this administrative regulation; and

(2) The applicationand all information needed to determine that an applicant meets the requirements for renewal of credential shall be submitted online at www.kbn.ky.gov prior to midnight on the last day of the credentialing period.

(3) Failure to comply with these requirements shall result in the credential lapsing. A person whose credential has lapsed shall comply with Section 3 of this administrative regulation to reinstate the credential.

Section 3. Reinstatement.

(1) If the DT credential has lapsed for less than twelve (12) months, an individual may reinstate the credential as follows:

(a) Submit the Application for Dialysis Technician Credential;

(b) Provide evidence of certification from a DT certification organization listed in 201 KAR 20:472, Section 5(5)(c);

(d) Provide a criminal record check by the Department of the Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI) and comply with the requirements of subsection (2) of this section.

(2)

(3) If the DT credential has lapsed for more than twelve (12) months, an individual may reinstate the credential by one (1) of the following methods.

(a) If the DT has not worked as a DT in another state, the individual shall:

Complete a DT training program approved by the board;
After completion of the training program, submit an Application for Dialysis Technician Credential;
The supervising registered nurse shall complete and submit the Checklist for Dialysis Technician Competency Validation to the board;
Pay the fee established by Section 4 of this administrative regulation; and
Provide a criminal record check by the KSP and the FBI and comply with subsection (2) of this section.

(b) After the applicant has met the requirements of paragraph (a) of this subsection and provides evidence of a current certification from one (1) of the certification organizations listed in 201 KAR 20:472, Section 5(5)(c), the applicant's credential shall be reinstated.

(c) If the applicant for reinstatement under this subsection does not hold a current certification from one (1) of the organizations listed in 201 KAR 20:472, Section 5(5)(c), the applicant shall be referred to as a DT Applicant and the board may issue a provisional credential to the DT Applicant, if:

The DT Applicant previously held a dialysis technician credential; and
Provides verification that the DT Applicant has previously held a certification from one (1) of the organizations listed in 201 KAR 20:472, Section 5(5)(c).

(d) A provisional credential issued under paragraph (c) of this subsection shall expire eighteen (18) months from the date provisional credential is issued by the board. During that time, the applicant shall obtain recertification from one (1) of the certification organizations listed in 201 KAR 20:472, Section 5(5)(c).

(e) A DT Applicant shall be issued a provisional credential only one (1) time under paragraph (c) of this subsection.

(f) The DT Applicant shall practice dialysis care under the supervision of a registered nurse, an advanced practice registered nurse, a physician, or a physician's assistant.

(g) If the DT has worked as a DT in another state, the individual shall:

Submit an Application for Dialysis Technician Credential;
Submit verification of working as a DT in another state;
Pay the fee established by Section 4 of this administrative regulation;
Provide a criminal record check by the KSP and the FBI and comply with subsection (2) of this section; and
Provide evidence of certification from a DT certification organization listed in 201 KAR 20:472, Section 5(5)(c).

(4) An Application for Dialysis Technician Credential submitted for reinstatement shall be valid for one (1) year from the date of receipt by the board.

(5) Upon approval of the application, the credential shall be reinstated.

Section 4. Fees.

(1) The application fee for the initial credential shall be seventy (70) dollars.

(2) The credential renewal fee shall be thirty-five (35) dollars.

(3) The credential reinstatement fee shall be $100.

(4) A fee of ten (10) dollars shall be charged for issuing a duplicate of the credential.

(5) A check submitted to the board for payment of a fee that is returned by the bank for nonpayment shall be assessed a return check fee of thirty-five (35) dollars.

(6) A fee of ten (10) dollars shall be charged for written verification of a dialysis technician credential. If submitted in list format, a fee of ten (10) dollars for the first name shall be assessed and a fee of one (1) dollar shall be assessed for each additional name.

(7) A fee of twenty-five (25) dollars shall be charged for a name change and the issuance of a new credential.

(8) All fees shall be nonrefundable.

Section 5. Material Incorporated by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Dialysis Technician Credential", 10/2025;

(b) "Application for Renewal of Dialysis Technician Credential", 10/2025; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx

History

RELATES TO: KRS 314.035, 314.103, 314.131(1), 314.137
STATUTORY AUTHORITY: KRS 314.131(1), 314.137
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.137 requires the board to promulgate administrative regulations to regulate dialysis technicians and includes establishing credentialing requirements. This administrative regulation establishes the requirements for credentialing dialysis technicians, initially, by renewal, and by reinstatement.
History: 201 KAR 020:476. 48 Ky.R. 227, 2401; eff. 3-10-2022; 49 Ky.R. 1649, 2087; eff. 6-21-2023; TAm eff. 11-21-2023; 52 Ky.R. 1018; eff. 3-12-2026.

201 KAR 20:478 Dialysis technician scope of practice, discipline, and miscellaneous requirements {#sec-201-kar-20-478 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:478}

Section 1. Scope of Practice.

(1) The scope of practice of a dialysis technician shall include the following and shall be performed under the direct, on-site supervision of a registered nurse, an advanced practice registered nurse, a physician, or a physician's assistant:

(a) Preparation and cannulation of peripheral access sites (arterial-venous fistulas and arterial-venous grafts);

(b) Preparation of catheter ports, access, including connection and disconnection, and site care of percutaneously or surgically inserted central venous catheters, if the dialysis technician has six (6) months experience that includes training and skills validation regarding central venous catheters;

(d) Administration of the following medications only:

Heparin 1:1000 units or less concentration either to prime the pump, initiate treatment, or for administration throughout the treatment, in an amount prescribed by a physician, physician's assistant, or advanced practice registered nurse. The dialysis technician shall not administer heparin in concentrations greater than 1:1000 units;
Normal saline via the dialysis machine to correct dialysis-induced hypotension based on the facility's medical protocol. Amounts beyond that established in the facility's medical protocol shall not be administered without direction from a registered nurse or a physician; and
Intradermal lidocaine, in an amount prescribed by a physician, physician's assistant, or advanced practice registered nurse;

(e) Assistance to the registered nurse in data collection;

(f) Obtaining a blood specimen via a dialysis line or a peripheral access site;

(g) Responding to complications that arise in conjunction with dialysis care; and

(h) Performance of other acts as delegated by the registered nurse pursuant to 201 KAR 20:400.

(2) The scope of practice of a dialysis technician shall not include:

(a) Dialysis care for a patient whose condition is found by the registered nurse to be critical, fluctuating, unstable, or unpredictable;

(b) The preparation of catheter ports, access, including connection and disconnection, and site care of percutaneously or surgically inserted central venous catheters, except as authorized in Section 1(1)(b) of this administrative regulation; and

Section 2. Discipline of a Dialysis Technician.

(1) The board may discipline a dialysis technician (DT) or a dialysis technician applicant (DTA) for:

(a) Failure to safely and competently perform the duties of a DT or DTA as established in this administrative regulation;

(b) Practicing beyond the scope of practice as established in this administrative regulation;

(c) Conviction of any felony, or a misdemeanor involving drugs, alcohol, fraud, deceit, falsification of records, a breach of trust, physical harm or endangerment to others, or dishonesty under the laws of any state or of the United States. The record of conviction or a copy thereof, certified by the clerk of the court or by the judge who presided over the conviction, shall be conclusive evidence;

(d) Obtaining or attempting to obtain a credential by fraud or deceit;

(e) Abusing controlled substances, prescription medications, or alcohol;

(f) Use, or impairment as a consequence of use, of alcohol or drugs while on duty as a dialysis technician, dialysis technician trainee, or dialysis technician applicant;

(g) Possession or use of a Schedule I controlled substance;

(h) Personal misuse or misappropriation for use of others of any drug placed in the custody of the DT or DTA for administration;

(i) Falsifying or in a negligent manner making incorrect entries or failing to make essential entries on essential records;

(j) Having a dialysis technician credential disciplined by another jurisdiction on grounds sufficient to cause a credential to be disciplined in this Commonwealth;

(k) Practicing without filing an Application for Dialysis Technician Credential, as incorporated by reference in 201 KAR 20:476, or without holding a dialysis technician credential;

(l) Abuse of a patient;

(m) Theft of facility or patient property;

(n) Having disciplinary action on a professional or business license;

(o) Violating any lawful order or directive previously entered by the board;

(p) Violating any applicable requirement of KRS Chapter 314 or 201 KAR Chapter 20;

(q) Having been listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property; or

(r) Having violated the confidentiality of information or knowledge concerning any patient, except as authorized or required by law.

(2) The discipline may include the following:

(a) Immediate temporary suspension of the credential, following the procedure established in KRS 314.089;

(b) Reprimand of the credential;

(d) Suspension of the credential for a specified period of time;

(e) Permanent revocation of the credential; or

(f) Denying the Application for Dialysis Technician Credential, as incorporated by reference in 201 KAR 20:476.

(3) The board shall follow the procedures established in and have the authority established in KRS 314.091, 201 KAR 20:161, and 201 KAR 20:162 for management and resolution of complaints filed against a dialysis technician.

(4) In addition to the provisions of subsection (3) of this section, the board may impose a civil penalty of up to $10,000.

Section 3. Miscellaneous Requirements.

(1) A person credentialed by the board as a dialysis technician shall maintain a current mailing address and email address with the board and immediately notify the board in writing of a change of mailing address or email address.

(2)

(a) Holding a credential shall constitute consent by the dialysis technician to service of notices or orders of the board. Notices and orders shall be sent to the mailing address on file with the board.

(b) Any notice or order of the board mailed or delivered to the mailing address on file with the board shall constitute valid service of the notice or order.

(3) A dialysis technician credentialed by the board shall, within ninety (90) days of entry of the final judgment, notify the board in writing of any misdemeanor or felony conviction in this or any other jurisdiction.

(4) A dialysis technician credentialed by the board shall, within ninety (90) days of entry of a sanction specified in this subsection, notify the board in writing if any professional or business license that is issued to the person by any agency of the commonwealth or any other jurisdiction:

(a) Is surrendered or terminated under threat of disciplinary action;

(b) Is refused, limited, suspended, or revoked; or

(5) If the board has reasonable cause to believe that any DT or DTA is unable to practice with reasonable skill and safety or has abused alcohol or drugs, it shall require the person to submit to a substance use disorder evaluation or a mental or physical examination by a board approved practitioner.

(a) Holding a credential shall constitute:

Consent by the dialysis technician to a substance use disorder evaluation, mental examination, or physical examination if directed in writing by the board. The direction to submit to an evaluation or examination shall contain the basis for the board's concern that the technician is unable to practice safely and effectively; and
Waiver of objections to the admissibility of the examining practitioner's testimony or examination reports on the grounds of privileged communication.

(b) The dialysis technician shall bear the cost of substance use disorder evaluation, mental examination, or physical examination ordered by the board.

(c) Upon failure of the dialysis technician to submit to a substance use disorder evaluation, mental examination, or physical examination ordered by the board the board may initiate an action for immediate temporary suspension pursuant to KRS 314.089 or deny an application until the person submits to the required examination.

(d) If a substance use disorder evaluation, mental examination, or physical examination pursuant to this subsection results in a finding that indicates that the dialysis technician is unable to practice with reasonable skill and safety or has abused alcohol or drugs, the dialysis technician shall be subject to disciplinary procedures as established in this administrative regulation.

(6) Due process procedures, including appeal, pertaining to this administrative regulation shall be conducted in accordance with KRS Chapter 13B.

History

RELATES TO: KRS 314.021, 314.035, 314.089, 314.091, 314.103, 314.137, 314.991
STATUTORY AUTHORITY: KRS 314.131(1), 314.137
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.137 requires the board to promulgate administrative regulations to regulate dialysis technicians and includes establishing provisions for discipline and further regulating as necessary. This administrative regulation establishes the scope of practice and disciplinary procedures for dialysis technicians.
History: 48 Ky.R. 230, 2403; eff. 3-10-2022; 49 Ky.R. 1652, 2316; 50 Ky.R. 23; eff. 7-24-2023.

201 KAR 20:480 Licensure of graduates of foreign nursing schools {#sec-201-kar-20-480 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:480}

Section 1. Applicants who are Graduates of Foreign Nursing Schools.

(1)

(a) An applicant for licensure by examination who is a graduate of a foreign nursing school shall meet the requirements of 201 KAR 20:070, Section 1, except for Section 1(3) of that administrative regulation.

(b) An applicant for licensure by endorsement who is a graduate of a foreign nursing school shall meet the requirements of 201 KAR 20:110.

(2) If licensed in another country evidence shall be submitted by the applicant or an organization on behalf of the applicant that the license has not been revoked, suspended, probated, or otherwise disciplined in the licensing country.

(3) An applicant shall maintain proof of legal permanent or temporary residency under the laws and regulations of the United States.

(4)

(a) An applicant for licensure by endorsement as a registered nurse shall obtain and submit to the board documentation as provided in KRS 314.041(10)(b).

(b) An applicant for licensure by endorsement as a licensed practical nurse shall obtain and submit to the board documentation as provided in KRS 314.051(11)(b).

(5) An applicant shall also complete an English Language Proficiency examination pursuant to Section 2 of this administrative regulation.

(6) An applicant for licensure by examination may be made eligible to take the NCLEX examination prior to obtaining a Social Security number. However, the applicant shall not be licensed until the applicant provides a Social Security number.

Section 2. English Language Proficiency Examinations.

(1) An applicant for licensure shall complete an English Language Proficiency examination unless the language of instruction and the textbooks of the applicant's program of nursing were entirely in English.

(2) The English Language Proficiency examination shall be recognized by the National Council of the State Boards of Nursing (NCSBN), and the applicant shall obtain a minimum passing standard recommended by the NCSBN.

(3) The applicant shall cause the scores on the English Language Proficiency examination to be sent to the board .

History

RELATES TO: KRS 314.041, 314.051
STATUTORY AUTHORITY: KRS 314.131(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations to implement the provisions of KRS 314.011 to 314.991. KRS 314.041 and 314.051 authorize the board to issue a license to a graduate of a foreign nursing school. This administrative regulation establishes the requirements for the licensure of graduates of foreign nursing schools.
History: 30 Ky.R. 511; Am. 849; eff. 10-15-2003; 32 Ky.R. 303; eff. 10-19-2005; 44 Ky.R.2193; eff. 8-16-2017; 48 Ky.R. 2500, 2959; eff. 7-20-2022.

201 KAR 20:490 Licensed practical nurse infusion therapy scope of practice {#sec-201-kar-20-490 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:490}

Section 1. Definitions.

(1) "Administration" means to initiate and maintain infusion therapy.

(2) "Antineoplastic agent" means a medication that prevents the development, growth, or proliferation of malignant cells.

(3) "Central venous access device" means a catheter inserted into a peripheral or centrally located vein with the tip residing in the superior or inferior vena cava. This includes peripherally inserted central catheters.

(4) "Direction" means a communication of a plan of care that is based upon assessment of a patient by an advanced practice registered nurse, a registered nurse, physician assistant, licensed physician, or dentist that establishes the parameters for the provision of care or for the performance of a procedure.

(5) "Peripheral venous access device" means a peripherally-inserted intravenous catheter or needle that is less than or equal to three (3) inches in length.

(6) "Pharmacology" means information on the classification of intravenous drugs, indications for use, pharmacological properties, monitoring parameters, contraindications, dosing, clinical mathematics, anticipated side effects, potential complications, antidotal therapy, compatibilities, stabilities, specific considerations for select intravenous drugs, and administration of intravenous medications to pediatric, adult, and geriatric populations.

(7) "Procedural sedation" means the administration of intravenous medications to produce a decreased level of consciousness.

(8) "Supervision" means the provision of guidance by a registered nurse, advanced practice registered nurse, physician assistant, licensed physician, or dentist for the accomplishment of a nursing task with periodic observation and evaluation of the performance of the task including validation that the nursing task has been performed in a safe manner.

(9) "Supervisor" means the registered nurse, advanced practice registered nurse, physician assistant, licensed physician, or dentist who provides supervision of the licensed practical nurse's practice as defined in this section.

(10) "Therapeutic phlebotomy" means removal of a specific volume of blood from a patient as ordered for the treatment of a specific condition or disease.

(11) "Unstable" means inconsistent, unpredictable, or consistently fluctuating.

Section 2. Education and Training Standards.

(1) Prior to performing infusion therapy, the licensed practical nurse (LPN) shall have completed education and training related to the scope of infusion therapy for an LPN. This education and training shall be obtained through:

(a) A prelicensure program of nursing for individuals admitted to the program after September 15, 2019; or

(b) An institution, practice setting, or continuing education provider that has in place a written instructional program and a competency validation mechanism that includes a process for evaluation and documentation of an LPN's demonstration of the knowledge, skills, and abilities related to the safe administration of infusion therapy. The LPN shall receive and maintain written documentation of completion of the instructional program and competency validation.

(2) The education and training programs recognized in subsection (1) of this section shall be based on the Policies and Procedures for Infusion Therapy: Home Infusion and the Infusion Therapy: Standards of Practice and shall include the following components:

(a) Legal considerations and risk management issues;

(b) Related anatomy and physiology including fluid and electrolyte balance;

(d) Infusion equipment and preparation;

(e) Principles and procedures for administration of solutions and medications via intravenous route including transfusion therapy and parenteral nutrition;

(f) Principles and procedures for site maintenance for a peripheral venous access device and a central venous access device;

(g) Assessment of and appropriate interventions for complications related to infusion therapy; and

(h) Demonstration and validation of competency for infusion therapy procedures, which shall be conducted under the in-person and direct supervision of a person listed in Section 3(1) of this administrative regulation.

Section 3. Supervision Requirements.

(1) An LPN performing infusion therapy procedures shall be under the direction and supervision of a registered nurse (RN), advanced practice registered nurse (APRN), physician assistant, licensed physician, or dentist.

(2) For a patient whose condition is determined by the LPN's supervisor to be stable and predictable, and rapid change is not anticipated, the supervisor may provide supervision of the LPN's provision of infusion therapy without being physically present in the immediate vicinity of the LPN, but shall be readily available.

(3) In the following cases, for the LPN to provide infusion therapy, the LPN's supervisor shall be physically present in the immediate vicinity of the LPN and immediately available to intervene in the care of the patient:

(a) If a patient's condition is or becomes unstable;

(b) If a patient is receiving blood, blood components, or plasma volume expanders; or

Section 4. Standards of Practice.

(1) An LPN shall perform only those infusion therapy acts for which the LPN possesses the knowledge, skill, and ability to perform in a safe manner, except as limited by Section 5 of this administrative regulation and under supervision as required by Section 3 of this administrative regulation.

(2) An LPN shall consult with an RN or physician, physician assistant, dentist, or advanced practice registered nurse and seek guidance as needed if:

(a) The patient's care needs exceed the licensed practical nursing scope of practice;

(b) The patient's care needs surpass the LPN's knowledge, skill, or ability; or

(3) An LPN shall obtain instruction and supervision as necessary if implementing new or unfamiliar nursing practices or procedures.

(4) An LPN shall follow the written, established policies and procedures of the facility that are consistent with KRS Chapter 314.

Section 5. Functions That Shall Not Be Performed. An LPN shall not perform the following infusion therapy functions:

(1) Administration of tissue plasminogen activators, except when used to declot any central venous access device;

(2) Accessing of a central venous access device used for hemodynamic monitoring;

(3) Administration of medications or fluids via arterial lines or implanted arterial ports;

(4) Accessing or programming an implanted infusion pump;

(5) Administration of infusion therapy medications for the purpose of procedural sedation or anesthesia;

(6) Administration of fluids or medications via an epidural, intrathecal, intraosseous, or umbilical route, or via a ventricular reservoir;

(7) Administration of medications or fluids via an arteriovenous fistula or graft, except for dialysis;

(8) Repair of a central venous access device;

(9) Performance of therapeutic phlebotomy;

(10) Aspiration of an arterial line;

(11) Initiation and removal of a peripherally inserted central, midclavicular, or midline catheter; or

(12) Administration of immunoglobulins, antineoplastic agents, or investigational drugs.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Policies and Procedures for Infusion Therapy: Home Infusion", Infusion Nurses Society, Third Edition, 2024; and

(b) "Infusion Therapy: Standards of Practice", Infusion Nurses Society, Ninth Edition, 2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky, Monday through Friday, 8 a.m. to 4:30 p.m. Links to this material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx

History

RELATES TO: KRS 314.011(10)(a), (c)
STATUTORY AUTHORITY: KRS 314.011(10)(c), 314.131(1)
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8(2)(a).
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.011(10)(c) authorizes the board to promulgate an administrative regulation to establish the scope of practice for administering medicine or treatment by a licensed practical nurse. KRS 314.011(10)(a) requires that licensed practical nurses practice under the direction of a registered nurse, advanced practice registered nurse, physician assistant, licensed physician, or dentist. This administrative regulation establishes the scope of that practice as it relates to infusion therapy.
History: 201 KAR 020:490. 30 Ky.R. 2585; 31 Ky.R. 369; 546; eff. 9-15-2004; 32 Ky.R. 2324; 33 Ky.R. 382; eff. 9-1-2006; 36 Ky.R. 2073-A; 2312; eff. 6-15-2010; TAm eff. 7-15-2010; 37 Ky.R. 2446; 2830; eff. 6-15-2011; 38 Ky.R. 1764; 1945; eff. 6-20-2012; 45 Ky.R. 415, 948; eff. 11-2-2018; 49 Ky.R. 420, 1056; eff. 11-15-2022; TAm eff. 11-21-2023; 52 Ky.R. 1021; eff. 3-12-2026.

201 KAR 20:506 Nurse licensure compact {#sec-201-kar-20-506 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:506}

Section 1. The Kentucky Board of Nursing shall comply with all bylaws, rules, and administrative regulations of the Interstate Commission of Nurse Licensure Compact Administrators, which includes The Interstate Commission of Nurse Licensure Compact Administrators, Final Rules as of January 1, 2024, and Bylaws adopted August 3, 2017, amended August 15, 2017, March 25, 2019, and March 27, 2023.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "The Interstate Commission of Nurse Licensure Compact Administrators, Final Rules", January 2024; and

(b) "The Interstate Commission of Nurse Licensure Compact Administrators, Bylaws", March 2023.

(2)

(a) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m.; or

(b) This material may also be obtained on the Kentucky Board of Nursing's Web site at https://kbn.ky.gov/Licensure/Pages/nurse-licensure-compact.aspx.

(3) This material may also be obtained at:

(a) The Interstate Commission of Nurse Licensure Compact Administrators, 111 East Wacker Drive, Suite 2900, Chicago, IL 60601; or

(b) https://www.ncsbn.org/nlcrules.htm.

History

RELATES TO: KRS 314.475
STATUTORY AUTHORITY: KRS 314.131, 314.475
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.475, Article I(c)2 requires the Board of Nursing to review any rule adopted by the Interstate Commission of Nurse Licensure Compact Administrators pursuant to Article VIII of KRS 314.475 within sixty (60) days of adoption for the purpose of filing the rule as an emergency administrative regulation pursuant to KRS 13A.190 and for filing the rule as an accompanying ordinary administrative regulation pursuant to KRS Chapter 13A. This administrative regulation incorporates by reference the rules adopted by the Interstate Commission of Nurse Licensure Compact Administrators and the bylaws.
History: 44 Ky.R. 2151, 2314; eff. 6-1-2018; 45 Ky.R. 3471; eff. 8-19-2019; 47 Ky.R. 2036; eff. 7-21-2021; TAm eff. 11-21-2023; 50 Ky.R. 1724; eff. 6-18-2024; TAm eff. 6-25-2024.

201 KAR 20:510 Voluntary relinquishment of a license or credential {#sec-201-kar-20-510 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:510}

Section 1.

(1) A person holding a license or credential issued by the board may voluntarily relinquish that license or credential prior to its expiration date.

(2) The request to relinquish shall be in writing to the board.

(3) The board shall allow the relinquishment of a license or credential unless the person is currently under investigation by the board.

Section 2. A person who voluntarily relinquishes a license or credential according to the provisions established in Section 1 of this administrative regulation shall be reinstated by meeting the applicable requirements for each respective license or credential established in:

(1) 201 KAR 20:225, Section 1;

(2) 201 KAR 20:056, Section 6;

(3) 201 KAR 20:411, Section 9; and

(4) 201 KAR 20:470, Section 4.

History

RELATES TO: KRS 314.071(2)
STATUTORY AUTHORITY: KRS 314.131(1), (2), 314.137
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(2) requires the board to license duly qualified applicants engaged in the practice of nursing. KRS 314.137 authorizes the board to establish the credentialing requirements of dialysis technicians. KRS 314.131(1) authorizes the board to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 314. This administrative regulation establishes the procedures for a nurse or a dialysis technician who wishes to relinquish a license or credential prior to its expiration.
History: 36 Ky.R. 2208; 357; eff. 8-18-2010; 38 Ky.R. 1997; eff. 8-15-2012; Crt eff. 5-10-2019; Crt eff. 4-10-2026.

201 KAR 20:520 Telehealth {#sec-201-kar-20-520 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:520}

Section 1. Definitions.

(1) "Board" is defined by KRS 314.011(1).

(2) "Nurse" means a licensed practical nurse as defined by KRS 314.011(9), a registered nurse as defined by KRS 314.011(5), or an advanced practice registered nurse as defined by KRS 314.011(7).

(3) "Telehealth" is defined by KRS 314.155(3).

Section 2. Jurisdictional Considerations. A nurse providing nursing services via telehealth to a person physically located in Kentucky shall be licensed by the board or hold a privilege to practice pursuant to KRS 314.475.

Section 3. Representation of Services and Code of Conduct. A nurse using telehealth to deliver services shall not:

(1) Engage in false, misleading, or deceptive advertising; or

(2) Split fees.

Section 4. Initial Communication Requirements. A nurse using telehealth to deliver nursing services shall, upon initial contact with the patient:

(1) Make attempts to verify the identity of the patient;

(2) Obtain alternative means of contacting the patient other than electronically such as by use of a telephone number or mailing address;

(3) Provide to the patient alternative means of contacting the nurse other than electronically such as by use of a telephone number or mailing address; and

(4) Provide contact methods of alternative communication the nurse shall use for emergency purposes such as an emergency on call telephone number.

Section 5. Limits on Practice, Informed Consent, Maintenance, and Retention of Records. A nurse using telehealth to deliver nursing services shall:

(1) Be responsible for determining and documenting that telehealth is appropriate for the patient;

(2) Document which services were provided by telehealth;

(3) Use secure communications with each patient, including encrypted text messages, via e-mail or secure Web sites, and not use personal identifying information in non-secure communications;

(4) Ensure that confidential communications obtained and stored electronically cannot be recovered and accessed by unauthorized persons when the nurse disposes of electronic equipment and data; and

(5) Inform the patient and document acknowledgement of the risk and limitations of:

(a) The use of telehealth in the provision of nursing;

(b) The potential breach of confidentiality, or inadvertent access, of protected health information using telehealth in the provision of nursing;

(d) When and how the nurse will respond to routine electronic messages;

(e) The circumstances in which the nurse will use alternative communications for emergency purposes;

(f) Others who may have access to patient communications with the nurse;

(g) How communications shall be directed to a specific nurse;

(h) How the nurse stores electronic communications from the patient; and

(i) Whether the nurse or patient may elect to discontinue the provision of services through telehealth.

Section 6. Utilization of Telehealth in Provision of Continuing Education. Providers approved pursuant to 201 KAR 20:220 may utilize telehealth in the provision of continuing education courses.

History

RELATES TO: KRS 314.155
STATUTORY AUTHORITY: KRS 314.131, 314.155
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the board to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 314. KRS 314.155(2) requires the board to promulgate administrative regulations regarding telehealth, including preventing abuse and fraud through the use of telehealth services, preventing fee-splitting through the use of telehealth services, and utilizing telehealth in the provision of nursing services and in the provision of continuing education. This administrative regulation establishes the requirements governing the use of telehealth.
History: 42 Ky.R. 2684; 43 Ky.R. 19; eff. 7-20-2016; TAm eff. 7-18-2022; Cert. eff. 7-17-2023.

201 KAR 20:600 Standards for training programs for licensed certified professional midwives {#sec-201-kar-20-600 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:600}

Section 1. Definition. "Preceptor" means a licensed certified professional midwife (LCPM), an APRN designated Certified Nurse Midwife, or a physician, who serves as a role model and mentor to assist in the development and validation of the competencies of a student.

Section 2.

(1) A training program that prepares an individual to become a licensed certified professional midwife (LCPM) located in this state shall be accredited by the Midwifery Education Accreditation Council (MEAC).

(2) The board shall retain jurisdiction over accredited programs and may conduct a site visit or other investigation into any allegation that may constitute a violation of this administrative regulation and 201 KAR 20:610. The board may also conduct a site visit when an accreditation visit is scheduled.

(3) The training program shall submit all correspondence and reports to and from MEAC to the board within thirty (30) days of submission or receipt.

Section 3. A training program that prepares an individual to become an LCPM located in this state shall meet the standards established by this administrative regulation.

Section 4. Program Administrator.

(1)

(a) There shall be a program administrator who is administratively responsible for overseeing the program.

(b) The program administrator shall be appointed by and be responsible to the governing institution.

(2) A program shall develop and implement a plan of organization and administration that clearly establishes the lines of authority, accountability, and responsibility for each program location.

(3) The program administrator shall have the following qualifications:

(a) A minimum of a master's degree from an accredited college or university;

(b) A minimum of the equivalent of two (2) years of full time teaching experience in midwifery;

(d) Demonstrated experience or preparation in education that includes teaching adults, adult learning theory teaching methods, curriculum development, and curriculum evaluation;

(e) Have been the primary care giver for at least seventy-five (75) births including provision of prenatal, intrapartum, and postpartum care; and

(f) Hold a license as an LCPM.

(4) An APRN or physician may be appointed as a program administrator if they meet the requirements of this section other than holding a license as an LCPM if, in the opinion of the governing institution, the individual being considered has a sufficient understanding of the LCPM scope of practice.

(5) A program administrator without previous program administrator experience shall have a mentor assigned by the governing institution and an educational development plan implemented. The mentor shall have documented experience in program administration.

Section 5. Faculty.

(1) There shall be at least one (1) faculty member besides the program administrator.

(2) The faculty shall be adequate in number to implement the curriculum as determined by program outcomes, course objectives, the level of the student, the number of students and classes admitted annually, and the educational technology utilized.

(3) The faculty shall be approved by the administrator and shall include didactic and clinical faculty.

(4) Didactic faculty.

(a) Didactic faculty shall have a minimum of a baccalaureate degree from an accredited college or university.

(b) Didactic faculty licensed as an LCPM shall document a minimum of two (2) years full time or equivalent experience as an LCPM.

(c) Didactic faculty who hold a license other than as an LCPM shall document a minimum of two (2) years full time or equivalent experience in their profession.

(d) Didactic faculty shall document preparation in educational activities regarding teaching and learning principles for adult education, including curriculum development and implementation. The preparation shall be acquired through planned faculty in-service learning activities, continuing education offerings, or academic courses.

(e) Didactic faculty hired without prior teaching experience shall have a mentor assigned and an educational development plan implemented.

(5) Clinical faculty and preceptors.

(a) Clinical faculty or a preceptor shall hold a current, unencumbered license as a certified professional midwife or related profession.

(b) Clinical faculty or a preceptor shall have evidence of clinical competencies related to midwifery.

(6) There shall be documentation of orientation to the course, program outcomes, student learning objectives, evaluation methods to be used by the faculty, and documented role expectations.

Section 6. Standards for Curriculum.

(1) Philosophy, mission, and outcomes.

(a) The philosophy, mission, and outcomes of the training program shall be clearly defined in writing by the faculty and shall be consistent with those of the governing institution.

(b) The program outcomes shall encompass the standards for accreditation set forth by MEAC, including the standards established in the Midwifery Education Accreditation Council Standards for Accreditation Handbook, Section B: Standards for Accreditation Version 2.

(c) The program shall conduct an evaluation to validate that identified program outcomes have been achieved and provide evidence of improvement based on an analysis of those results.

(d) The training program shall be an accredited midwifery education program that meets the requirements of Section 7 of this administrative regulation.

(2) Organization of the curriculum.

(a) There shall be a written plan, including supporting rationale, which describes the organization and development of the curriculum.

(b) The curriculum plan shall reflect the philosophy, mission, and outcomes of the program and prepare the student to meet the qualifications for certification by the North American Registry of Midwives.

(c) A course syllabus shall be developed for each course to include outcomes, planned instruction, learning activities, and method of evaluation.

Each course shall be implemented in accordance with the established course syllabus.
A copy of each course syllabus shall be on file in the program office and shall be available to the board upon request.

(d) The curriculum plan shall be logical and sequential, and it shall demonstrate an increase in difficulty and complexity as the student progresses through the program.

(e) A course may be offered as a distance learning course. A distance learning course shall meet the same standards as established in this administrative regulation.

(f) The curriculum shall have written measurable program outcomes that reflect the role of the graduate.

(3) The curriculum shall require that the student hold a current American Heart Association Basic Life Support (BLS) certificate for health care providers and include instruction in neonatal resuscitation resulting in a Neonatal Resuscitation Program (NRP) certificate.

Section 7. Clinical Experience or Preceptorship.The training program shall include a clinical experience determined by North American Registry of Midwives (NARM), including the standards established in the North American Registry of Midwives (NARM) Certified Professional Midwife (CPM) Candidate Information Booklet (CIB).

Section 8. Students.

(1) A student enrolled in the training program shall have a high school diploma or its equivalent.

(2) The training program shall maintain in the student's file evidence of compliance with the requirements in Section 6(3) of this administrative regulation, in Section 7 of this administrative regulation, and in subsection (1) of this section.

(3) Admission requirements shall be stated and published in the governing institution's publications.

(4) Program information communicated by the training program shall be accurate, complete, consistent, and publicly available.

Section 9. Student Policies.

(1) Written LCPM student policies shall be accurate, clear, and consistently applied.

(2) Upon admission to the training program, each student shall be advised in electronic or written format of policies pertaining to:

(a) Evaluation methods to include the grading system;

(b) Tuition, fees, and expenses associated with the training program and refund policies;

(d) Health requirements and other standards as required for the protection of student health;

(e) Grievance procedures;

(f) Financial aid information;

(g) Student responsibilities; and

(h) A plan for emergency care on campus or in clinical settings.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Midwifery Education Accreditation Council Standards for Accreditation Handbook, Section B: Standards for Accreditation Version 2", Midwifery Education Accreditation Council, (2020); and

(b) "Certified Professional Midwife (CPM) Candidate Information Booklet (CIB)", North American Registry of Midwives, (01/2025).

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8:00 am to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 314.400 – 314.414
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(1) requires the board to promulgate an administrative regulation to establish required standards for training programs for licensed certified professional midwives. This administrative regulation establishes the required standards for training programs for licensed certified professional midwives.
History: 201 KAR 020:600. 46 Ky.R. 2162, 2895; eff. 7-29-2020; TAm eff. 7-12-2022; TAm eff. 11-21-2023; 51 Ky.R. 1805, 52 Ky.R. 36; eff. 7-30-2025.

201 KAR 20:610 Approval process for training programs for licensed certified professional midwives {#sec-201-kar-20-610 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:610}

Section 1. Definitions.

(1) "Board" means the Kentucky Board of Nursing.

(2) "Program for licensed certified professional midwives" means the educational unit that prepares a person for licensure as a certified professional midwife.

Section 2. Establishment of a Training Programs for Licensed Certified Professional Midwives.

(1) The governing institution that establishes and conducts a training programs for licensed certified professional midwives shall hold accreditation as a postsecondary institution, college, or university by an accrediting body recognized by the U.S. Department of Education.

(2) The governing institution shall assume full legal responsibility for the overall conduct of the training program for licensed certified professional midwives.

(3) The governing institution may receive consultation from the board prior to establishing a training program.

Section 3. Letter of Intent.

(1) The governing institution shall submit to the board a letter of intent to establish a training program for licensed certified professional midwives.

(2) The letter of intent shall be completed under the direction or consultation of a program administrator who shall have the following qualifications:

(a) A minimum of a master's or higher degree from an accredited college or university;

(b) A minimum of at least two (2) years of experience in the independent practice of midwifery, nurse-midwifery, or obstetrics in the past five (5) years;

(c) Have been the primary care giver for at least seventy-five (75) births including provision of prenatal, intrapartum, and postpartum care;

(d) Hold a license as:

An LCPM
An APRN designated Certified Nurse Midwife; or
A physician; and

(e) Demonstrated experience or preparation in education that includes teaching adults, adult learning theory teaching methods, curriculum development, and curriculum evaluation. A program administrator without previous program administrator experience shall have a mentor assigned by the governing institution and an educational development plan implemented. The mentor shall have documented experience in program administration.

(3) The letter of intent shall include:

(a) Approval from the governing body of the institution proposing the training program for licensed certified professional midwives or other empowered approval bodies as applicable;

(b) The results of a feasibility study that includes the following information related to the need for a training program for licensed certified professional midwives:

Projected workforce demand; and
A description of the applicant pool that is being targeted and how this population will be reached;

(c) Evidence of support from the community of interest including how support for the creation of and training for students enrolled in a program for licensed certified professional midwives will occur. This documentation shall include evidence of the community of interest's intention to contribute to the achievement of the clinical objectives of the program;

(d) General information about the governing institution including the mission, ownership, method of financing, accreditation, enrollment, area served, and institutional faculty qualifications and resources;

(e) Admission of students, and projected graduation of the first class;

(f) Evidence of a sound financial base and demonstrated financial stability available for planning, implementing, and maintaining the training programs for licensed certified professional midwives;

(g) A copy of the curriculum vitae of the program administrator involved in the planning; and

(h) The maximum number of new students that the program is able to enroll in one (1) academic year. This number shall be referred to as the program's enrollment baseline.

(4)

(b) At the conclusion of the hearing, the committee shall recommend to the board whether or not to approve the letter of intent.

(c) If the letter of intent is approved by the board, the governing institution shall be notified in writing that it may move to the proposal phase. The proposal shall be submitted within one (1) year of the date of the approval of the letter of intent or the letter of intent shall expire.

(5) The letter of intent shall be accompanied by a fee of $1,000 which is non-refundable.

(6) When the letter of intent is submitted to the board, the institution shall begin the accreditation process with the Midwifery Education Accreditation Council (MEAC) and the Council on Postsecondary Education, if applicable.

(7) All communication between the certified professional midwives training program and MEAC shall be forwarded to the board by the program administrator at the time of receipt from or submission to the accrediting body, but no later than thirty (30) days of receipt by the program.

(8) The program administrator shall notify the board of pending site visits by MEAC and shall provide to the board copies of any formal communication submitted to MEAC at the time of submission.

Section 4. Proposal Phase.

(1) A completed program proposal shall be submitted to the board by the governing institution for approval.

(2) The program shall not be announced, advertised, or students admitted to the training program for licensed certified professional midwives until the proposal has been approved and developmental status has been granted by the board.

(3) The program proposal shall include:

(a) Philosophy, mission, and learning outcomes of the governing institution;

(b) An organizational chart of the governing institution and written plan, which describes the organization of the training program and its relationship to the institution;

(d) Curriculum design including proposed courses, description, sequence, and credit hours delineating those credits assigned to theory and clinical;

(e) Student recruitment plan and the enrollment baseline;

(f) A five (5) year plan for recruiting and retaining qualified faculty;

(g) A proposed job description for the program administrator reflecting authority and responsibility;

(h) A description of faculty offices, classrooms, clinical skills laboratory, library facilities, conference rooms, and learning resources;

(j) Availability and willingness of the community, including accredited agencies, to provide clinical experiences;

(k) Policies and procedures for student admission to program for licensed certified professional midwives and progression;

(l) Availability of clerical assistance and support staff;

(m) A general plan for systematic review of the program that results in continuing improvement; and

(4) The training program may meet with the board staff to clarify, verify, and amplify materials included in the program proposal.

(5) The governing institution shall be notified in writing of action taken by the board on the proposal.

(a) If the board determines that all requirements have been met, the program shall be granted developmental status.

(b) The board, in collaboration with the program, shall determine an opening date.

Section 5. Developmental Status.

(1) Students may be admitted after developmental status is granted.

(2) Employment of program administrator and faculty.

(a) The program administrator shall be the first faculty member employed, and shall have assumed full time responsibilities for the program prior to opening.

(b) The faculty shall be employed in sufficient numbers to prepare for the development of the curriculum component of the program.

(3) Any deviation from the initial curriculum plan approved within the proposal shall be approved by the board before the first class begins course requirements.

(4) Any written contracts for use of clinical facilities shall be executed and available for review by the board prior to admission to the certified professional midwife program.

(5) The certified professional midwife program shall submit semi-annual progress and evaluation reports or other reports as requested by the board to demonstrate implementation of the approved proposal until the first class graduates.

(6) Site visits shall be conducted by the board as necessary.

(7) Developmental status may be withdrawn if:

(a) A class is not enrolled within eighteen (18) months of the date the board granted developmental status; or

(b) The governing institution fails to submit board required reports within the designated time period.

Section 6. Initial Status and Program Approval.

(1) The status of the program shall move automatically from developmental status to initial status upon admission of the first class.

(2) It shall be the responsibility of the certified professional midwife program to notify the board of the admission of the first class.

(3) The program shall notify the board in writing thirty (30) days prior to the graduation of the first class.

(4) The decision to grant program approval by the board shall be based on review of the following:

(a) Achievement and continued approval by a MEAC and

(b) Reports of site visits conducted by a board representative to evaluate program compliance with 201 KAR 20:600 and this administrative regulation.

(5) The board may grant program approval for a period of time not to exceed the approval period granted by MEAC.

(6) If program approval is denied, the applicant may request a hearing pursuant to KRS Chapter 13B.

History

RELATES TO: KRS 314.400 – 314.414
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(1) requires the board to promulgate an administrative regulation to establish required standards for training programs for licensed certified professional midwives. This administrative regulation establishes the approval process for training programs for licensed certified professional midwives.
History: 46 Ky.R. 2164, 2897; eff. 7-29-2020

201 KAR 20:620 Licensing requirements for licensed certified professional midwives {#sec-201-kar-20-620 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:620}

Section 1. Fees.

(1) The fee for initial licensure shall be $165.

(2) The fee for licensure renewal shall be $165.

(3) The fee for licensure reinstatement shall be $165.

(4) Unless otherwise specified in this section, fees enumerated in 201 KAR 20:240 shall apply.

Section 2. Initial Licensure. An applicant for initial licensure as a licensed certified professional midwife (LCPM) shall complete the Application for Licensure as a Licensed Professional Midwife and pay the fee for initial licensure as established in Section 1 of this administrative regulation.

Section 3. Educational Requirements.

(1) An applicant for initial licensure as an LCPM shall provide evidence that the program from which the applicant graduated is accredited by the Midwifery Education Accreditation Council (MEAC).

(2) An applicant shall also provide a copy of his or her official transcript.

(3)

(a) If the applicant was certified by the North American Registry of Midwives (NARM) before January 1, 2020, through an educational pathway not accredited by MEAC, the applicant shall provide evidence of having earned the Midwifery Bridge Certificate issued by NARM. This shall be in lieu of an official transcript.

(b) If the applicant is licensed in another state that does not require an accredited education, the applicant shall provide evidence of having earned the Midwifery Bridge Certificate issued by NARM and proof of licensure in the other state.

(4) An applicant shall provide evidence of current American Heart Association Basic Life Support (BLS) for health care providers and Neonatal Resuscitation Program (NRP) certifications.

(5) An applicant shall complete a pediatric abusive head trauma course described in KRS 620.020(8) and a domestic violence course described in KRS 194A.540 and provide evidence to the board at the time of application.

Section 4. Competency Validation. An applicant shall provide evidence of having passed the North American Registry of Midwives (NARM) Examination and been granted certification by NARM.

Section 5. Criminal Record Check.

(1) Within six (6) months of the date of the application, an applicant shall request a criminal record check by the Department of Kentucky State Police (KSP) and the Federal Bureau of Investigation (FBI) using the FBI Applicant Fingerprint Card and including any required fee to the KSP and the FBI.

(2) An applicant shall provide a certified or attested copy of the court record of any misdemeanor or felony conviction and a letter of explanation that addresses each conviction at the time of application.

Section 6. Action in Another Jurisdiction. An applicant shall provide a certified copy of any disciplinary action taken on any professional or business license in another jurisdiction and a letter of explanation at the time of application.

Section 7. License.

(1) An applicant who meets the requirements of KRS 314.404 and Sections 1 through 6 of this administrative regulation shall be issued a license to practice as an LCPM.

(2) The Application for Licensure as a Licensed Professional Midwife shall follow the periods for length and renewal in accordance with 201 KAR 20:085, Sections 1 and 2 and may be renewed pursuant to Section 8 of this administrative regulation.

Section 8. Renewal.

(1) A license to practice as an LCPM may be renewed by completing the Licensure Renewal Application for a Licensed Professional Midwife and paying the fee established in Section 1 of this administrative regulation.

(2) The LCPM shall provide evidence of current certification with NARM at the time of renewal.

(3) The LCPM shall provide evidence of current BLS and NRP certifications at the time of renewal.

Section 9. Reinstatement.

(1) If the LCPM license has lapsed, an applicant may file the Application for Licensure as a Licensed Professional Midwife to request reinstatement and pay the fee established in Section 1 of this administrative regulation.

(2) The LCPM shall provide evidence of current certification with NARM at the time of application for reinstatement.

(3) The LCPM shall provide evidence of current BLS and NRP certifications at the time of application for reinstatement.

(4) An applicant for reinstatement shall also meet the requirements of Sections 5 and 6 of this administrative regulation.

Section 10. For the purposes of the practice as an LCPM, an LCPM shall use the name under which he or she is licensed with the board of nursing.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure as a Licensed Professional Midwife", 2/2023; and

(b) "Licensure Renewal Application for a Licensed Professional Midwife", 2/2023.

(3) This material is also available on the agency's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 194A.540, 314.400 – 314.414, 620.020
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(2) requires the board to promulgate an administrative regulation to establish licensing requirements for licensed certified professional midwives. KRS 314.404(5) requires the board to promulgate an administrative regulation to establish fees. This administrative regulation establishes the fees and requirements for initial licensure, renewal, and reinstatement for licensed certified professional midwives.
History: 201 KAR 020:620. 46 Ky.R. 2166, 2898; eff. 7-29-2020; 49 Ky.R. 422, 1057; eff. 11-15-2022; 50 Ky.R. 419; 1065; eff. 12-13-2023; TAm eff. 12-13-2023; 51 Ky.R. 1807; eff. 7-30-2025.

201 KAR 20:630 Disciplinary actions for licensed certified professional midwives {#sec-201-kar-20-630 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:630}

Section 1. The Board of Nursing may reprimand, deny, limit, revoke, probate, or suspend the license of an LCPM upon proof that the person:

(1) Has obtained a license by means of fraud, misrepresentation, or concealment of material facts, including making a false statement on an application or any other document required by the board for licensure;

(2) Has engaged in unprofessional conduct;

(3) Has been convicted of a felony;

(4) Has been convicted of a misdemeanor that meets the provisions of KRS 335B.020;

(5) Has performed an act that exceeds the scope of practice pursuant to KRS 314.400 to 314.414 and 201 KAR 20:600 to 201 KAR 20:690;

(6) Has had a license revoked, suspended, denied, or otherwise disciplined in any other territory or jurisdiction of the United States;

(7) Is unfit or incompetent to practice midwifery by reason of negligence or other causes, including being unable to practice midwifery with reasonable skill or safety;

(8) Has misused or appropriated any drugs placed in the custody of the midwife for the use of others;

(9) Has falsified or in a negligent manner made incorrect entries or failed to make essential entries on essential records such as patient records, lab reports, and newborn records;

(10) Has been listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property;

(11) Has violated the confidentiality of information or knowledge concerning any patient, except as authorized or required by law such as pursuant to the Health Insurance Portability and Accountability Act (HIPAA) of 1996, Pub.L. No. 104-191, 110 Stat.1936; or

(12) Has violated 201 KAR 20:600 to 201 KAR 20:690 or any lawful order or directive previously entered by the board.

Section 2. The Board of Nursing shall follow the procedures established in and have the authority established by KRS 314.091(2) through (6) and (8), 201 KAR 20:161, and 201 KAR 20:162 for management and resolution of complaints filed against an LCPM.

Section 3. In addition to the provisions of Section 2 of this administrative regulation, the Board of Nursing may impose, pursuant to KRS 314.991(3), a civil penalty of up to $10,000.

Section 4. Miscellaneous Requirements.

(1) An LCPM shall maintain a current mailing address with the board and notify the board in writing of a change of mailing address.

(2)

(a) Holding a license shall constitute consent by the LCPM to service of notices or orders of the board. Notices and orders shall be sent to the mailing address on file with the board.

(b) Any notice or order of the board mailed or delivered to the mailing address on file with the board shall constitute valid service of the notice or order.

(3)

(a) An LCPM shall, within ninety (90) days of entry of the final judgment, notify the board in writing of any misdemeanor or felony conviction in this or any other jurisdiction.

(b) Upon learning of any failure to notify the board pursuant to this subsection, the board shall initiate an action for immediate temporary suspension until the person submits the required notification.

(4) An LCPM shall notify the board in writing within thirty (30) days if any professional or business license that is issued to the person by any agency of the commonwealth or any other jurisdiction:

(a) Is surrendered or terminated under threat of disciplinary action;

(b) Is refused, limited, suspended, or revoked; or

(5) If the board has reasonable cause to believe that an LCPM is unable to practice with reasonable skill and safety or has abused alcohol or drugs, it shall require the person to submit to a substance use disorder evaluation or a mental or physical examination by a practitioner it designates.

(a) Holding a license shall constitute:

Consent by the LCPM to a substance use disorder evaluation, mental examination, or physical examination if directed in writing by the board. The direction to submit to an evaluation or examination shall contain the basis for the board's concern that the LCPM is unable to practice safely and effectively; and
Waiver of objections to the admissibility of the examining practitioner's testimony or examination reports on the grounds of privileged communication.

(b) The LCPM shall bear the cost of substance use disorder evaluation, mental examination, or physical examination ordered by the board.

(c) Upon failure of the LCPM to submit to a substance use disorder evaluation, mental examination, or physical examination ordered by the board, unless due to circumstances beyond the person's control, the board shall initiate an action for immediate temporary suspension pursuant to KRS 314.089 or deny an application until the person submits to the required examination.

(d) If a substance use disorder evaluation, mental examination, or physical examination pursuant to this subsection results in a finding that indicates that the LCPM is unable to practice with reasonable skill and safety or has abused alcohol or drugs, the LCPM shall be subject to disciplinary procedures as established in this administrative regulation.

Section 5. Due process procedures, including appeal, pertaining to this administrative regulation shall be conducted in accordance with KRS Chapter 13B.

History

RELATES TO: KRS 314.089, 314.091, 314.400 – 314.414, 314.991, 335B.020
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(4) requires the board to promulgate an administrative regulation to establish provisions for disciplinary actions for licensed certified professional midwives. This administrative regulation establishes conditions for disciplinary action, permits a penalty in addition to other disciplinary actions, and provides an appeals process.
History: 46 Ky.R. 2168, 2899; eff. 7-29-2020

Section 1.

(1) An LCPM shall obtain written informed consent from the individual receiving services.

(2) The LCPM shall maintain a copy of the informed consent document in the individual's records.

(3) The informed consent document shall include:

(a) A description of the LCPM's education and credentials;

(b) A description of the LCPM's statutory scope of practice, including a summary of the LCPM's limitations of skills and practices;

(d) Instructions for filing a complaint with the board of nursing;

(e) A summary of a written protocol for emergencies, including transfer to a higher level of care;

(f) A description of the procedures, benefits, and risks of birth in the client's chosen environment, primarily those conditions that may arise during delivery;

(g) Disclosure of professional liability insurance held by the LCPM;

(h) The financial responsibility of the client;

(i) A summary of the requirements for consultation, referral, or transfer of care established by 201 KAR 20:670 and 201 KAR 20:690; and

(j) Procedures established by the LCPM for consultation, collaboration, referral, or transfer of care to a physician or other appropriate healthcare provider.

History

RELATES TO: KRS 314.400 – 314.414
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(6) requires the board to promulgate an administrative regulation to establish requirements for informed consent by individuals receiving services from a licensed certified professional midwife. This administrative regulation establishes requirements for informed consent for licensed certified professional midwives.
History: 46 Ky.R. 2170, 2900; eff. 7-29-2020

201 KAR 20:650 Licensed certified professional midwives permitted medical tests and formulary {#sec-201-kar-20-650 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:650}

Section 1. An LCPM may independently order the following medical tests:

(1) Complete blood count (CBC);

(2) Blood type, Rh, and antibody screen;

(3) Screening for gestational diabetes;

(4) Hepatitis B and C panels for immunity or infection;

(5) HIV test;

(6) HPV test;

(7) Pap smear;

(8) Screen tests for syphilis, chlamydia, gonorrhea, and herpes;

(9) Rubella titers;

(10) Urine or serum HCG;

(11) Urinalysis;

(12) Urine culture including Group B strep;

(13) Vaginal culture for Group B strep;

(14) Varicella titers;

(15) Ultrasound for fetal viability, confirmation of singleton intrauterine pregnancy, gestational age, fetal position, placental localization, anatomy scan, amniotic fluid index, or nuchal translucency;

(16) Standard state newborn screening for metabolic disorders;

(17) Newborn hearing screening;

(18) Critical congenital heart disease screening (pulse oximetry);

(19) Maternal prenatal genetic screening for errors of metabolism;

(20) Hemoglobin A1C;

(21) Standard screening tests for fetal genetic abnormalities including Quad Screen and cell-free DNA testing;

(22) TSH screening;

(23) Non-stress tests;

(24) Neo-Bilirubin or Total-Bilirubin;

(25) Coombs and blood type test of the newborn; and

(26) The fetal screen and Rhogam tests of the client.

Section 2. An LCPM may order any other test which is determined as necessary after consultation with a physician or other appropriate licensed healthcare provider.

Section 3.

(1) An LCPM may obtain, transport, and administer the following legend medications:

(a) Vitamin K;

(b) Rho D immune globulin;

(d) Oxygen;

(e) Hepatitis B vaccine;

(f) Antibiotics which shall be administered pursuant to United States Centers for Disease Control (CDC) Guidelines for Prophylaxis:

Penicillin;
Ampicillin;
Cefazolin;
Clindamycin; and
Vancomycin;

(g) Topical anesthetics:

Procaine HCl;
Novacaine;
Benzocaine;
Cetacaine; and
Generic equivalents;

(h) Lidocaine, one (1) percent up to twenty (20) milliliters per patient;

(i) Epinephrine;

(j) Glucose gel to be administered orally for neonatal hypoglycemia;

(k) Tranexamic acid;

(l) Oxytocin;

(m) Lactated ringer's;

(n) Normal saline; and

(o) Medical supplies needed to administer the medications listed in this administrative regulation.

(2)

(a) An LCPM shall obtain and transport for emergencies Oxytocin for prevention of postpartum hemorrhage and Lactated Ringer's or Normal Saline for intravenous infusion.

(b) The LCPM shall obtain and transport at least one (1) of the following to be used in the event of postpartum hemorrhage and if Oxytocin is not successful:

Methylergonovine (Methergine);
Hemabate; or
Misoprostal (Cytotec).

History

RELATES TO: KRS 314.400 – 314.416
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(7) requires the board to promulgate an administrative regulation to establish a list of medical tests that a licensed certified professional midwife may order when providing certified professional midwifery services that is limited to only those tests that are indicated and approved for the safe conduct of pregnancy, labor or birth, and care of a client and not intended for the diagnosis or management of any acute condition unrelated to pregnancy. This administrative regulation establishes the medical tests and formulary for licensed certified professional midwives.
History: 46 Ky.R. 2171, 2794, 2901; 47 Ky.R. 529; eff. 7-29-2020; 49 Ky.R. 423, 1058; eff. 11-15-2022.

201 KAR 20:660 Licensed certified professional midwives duty to report {#sec-201-kar-20-660 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:660}

Section 1. Pursuant to KRS 314.404(11), within thirty (30) days of a case of newborn or maternal death, the attending LCPM shall report the occurrence to the Board of Nursing on LCPM Incident Form.

Section 2. Pursuant to KRS 314.404(10), an LCPM shall report the following information on the LCPM Annual Report Form to the Board of Nursing on or before September 1 of each year for the period July 1 through June 30 preceding:

(1) The total number of clients served;

(2) The number of live births;

(3) The number of cases of fetal demise, newborn deaths, and maternal deaths;

(4) The number, reason for, and outcome of each transfer, or transport of a client in the antepartum, intrapartum, or immediate postpartum periods;

(5) The number and reason for each referral of a client in the antepartum, intrapartum, or immediate postpartum periods;

(6) A brief description of any complications resulting in the morbidity or mortality of a mother or a newborn for the first six (6) weeks; and

(7) The planned location of the delivery and the actual location of the delivery if it is different.

Section 3. The LCPM Advisory Council shall review all reports.

Section 4.

(1) The LCPM shall comply with the requirements of KRS 213.046 regarding the reporting of birth.

(2) The LCPM shall comply with the requirements of KRS Chapter 209A regarding reporting of suspected domestic violence.

Section 5.

(1) Each LCPM Incident Form and LCPM Annual Report Form submitted for LCPM Advisory Council review in accordance with Sections 1 through3 of this administrative regulation shall be regarded as correspondence with private individuals, not notice of the final action of a public agency, and shall not be disclosed to the public.

(2) The Kentucky Board of Nursing shall make public aggregate incident and annual report data that does not identify individual licensees or information that would violate the confidentiality of information or knowledge concerning any patient, except as authorized or required by law such as pursuant to the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Pub. L. No. 104-191, 110 Stat. 1936.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "LCPM Incident Form", 1/2020; and

(b) "LCPM Annual Report Form", 12/2020.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx

History

RELATES TO: KRS 61.878(1)(i), 213.046, Chapter 209A, 314.400 – 314.414, 45 C.F.R. Part 164
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(10) requires the board to promulgate an administrative regulation to require licensed certified professional midwives to report to the board annually as specified by the board information regarding cases in which the licensed certified professional midwife provided services when the intended place of birth at the onset of care was in an out-of-hospital setting. KRS 314.404(11) requires the board to promulgate an administrative regulation to require licensed certified professional midwives to report to the board, within thirty (30) days of the occurrence, a case of newborn or maternal death attended by a licensed certified professional midwife at the discovery of death. This administrative regulation establishes reporting requirements for licensed certified professional midwives and for the review of those reports.
History: 46 Ky.R. 2172, 2901; eff. 7-29-2020; 47 Ky.R. 1827, 2584; eff. 6-16-2021; TAm eff. 11-21-2023.

201 KAR 20:670 Licensed certified professional midwives consultation, collaboration, and referral provisions {#sec-201-kar-20-670 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:670}

Section 1.

(1) Consultation does not require an in-person visit. It may include a discussion by the LCPM and an appropriate healthcare provider by telephone or other appropriate electronic communication.

(2) The consultant may recommend further evaluation which may be either in-person, by telehealth, or a records review.

(3) It is the responsibility of the LCPM to initiate a consultation and to communicate clearly to the consultant that the LCPM is seeking a consultation.

(4) A consultation may involve the consultant providing advice and information, providing care to the client or newborn, or prescribing treatment or medication for the client or newborn.

(5) It is the responsibility of the LCPM to provide all relevant client records to the consultant, including a written summary of the client's history and presenting problem, as appropriate.

(6) Consultation shall be fully documented by the LCPM in the client's record, including the consultant's name, date of service, and the consultant's findings, opinions, and recommendations. The LCPM shall discuss the consultant's recommendations with the client.

(7) After consultation and with the informed consent of the client as required by 201 KAR 20:640, care of the client and responsibility for decision making either:

(a) Continues with the LCPM;

(b) Is shared in collaboration by the LCPM and an appropriate licensed healthcare provider;

(d) Is transferred to a licensed healthcare facility providing a higher level of care pursuant to 201 KAR 20:690.

(8) Referral or collaboration shall occur only after dialogue and agreement among the client, the LCPM, and the consultant.

(9) The LCPM shall ensure that the client can understand each provider's role and is able to identify which healthcare provider is responsible for various aspects of the client's care.

(10) Collaboration shall be documented by the LCPM in the client's record, including the name of the collaborating provider and the conditions or symptoms the collaborating provider is managing.

(11) The LCPM shall maintain communication with the collaborating provider to the extent necessary to coordinate client care.

(12) If the condition or symptom requiring collaboration is resolved as mutually agreed upon by the LCPM and the collaborating provider, the LCPM may resume sole management of the client's care if appropriate, and document the decision in the client's record.

(13) Discussion with the client regarding the indications for complete referral of care shall take place in a timely manner following the decision for referral. If possible, this discussion shall occur in person and be documented in the client's record.

(14) It is the responsibility of the LCPM to provide all relevant client records to appropriate providers or facilities, including a written summary of the client's history and presenting problem, as appropriate.

(15) If the condition or symptom requiring referral of care is resolved as mutually agreed upon by the LCPM and other participating providers, the LCPM may resume primary management or enter into a collaboration of care if appropriate, and document the decision in the client's record.

Section 2.

(1) If, on initial or subsequent assessment, one (1) of the conditions listed in this subsection exists, the LCPM shall consult with a physician or other appropriate licensed healthcare provider and shall mutually select either collaboration or referral as appropriate and shall document that recommendation in the client record:

(a) Complete placenta previa;

(b) Partial placenta previa persisting after thirty-two (32) weeks;

(d) Cardiovascular disease, including hypertension;

(e) Severe psychiatric illness that may result in bodily harm to self or others;

(f) History of cervical incompetence;

(g) Pre-eclampsia or eclampsia;

(h) Intrauterine growth restriction, oligohydramnios or polyhadramnios in the current pregnancy;

(i) Known potentially serious anatomic fetal abnormalities;

(j) Any type of diabetes not controlled by diet;

(k) Substance use disorder with current or recent use; or

(l) Any other condition or symptom which may threaten the life of the client or fetus, as assessed by an LCPM exercising reasonable skill and knowledge.

(2) If a client with a condition listed in subsection (1) of this section declines to accept a medically indicated consultation, collaboration, or referral, the licensed certified professional midwife shall document the refusal in writing and shall transition the client to an appropriate higher level of care.

(3) If the condition mandating referral occurs during labor or delivery or the client is otherwise acutely in jeopardy but refuses the referral, the LCPM shall call 911 and provide care until another appropriate licensed healthcare provider assumes care.

Section 3.

(1) If, on initial or subsequent assessment, one (1) of the following conditions exists, the LCPM shall consult with a physician or other appropriate licensed healthcare provider to mutually select either collaboration or referral as necessary and shall document the recommendation in the client record:

(a) Prior Cesarean section or other surgery resulting in a uterine scar;

(b) Multifetal gestation;

(d) History of severe shoulder dystocia as documented by objective findings; or

(e) Gestational age greater than forty-two (42) weeks.

(2) An individual with a condition listed in subsection (1) of this section may give informed refusal to a consultation or to the consultant's recommendation. Prior to giving informed refusal, the LCPM shall recommend that the individual discuss the condition and the risks involved with a physician or other appropriate licensed healthcare provider. If the client continues to refuse the consultation, collaboration, or referral, the LCPM shall document in the client's record that the client was informed of the condition requiring consultation, collaboration, or referral and the possible consequences. The client shall complete the Informed Refusal Form. The LCPM may continue to assume primary management of the client unless and until the client subsequently consents to the collaborative care or referral.

Section 4.

(1) If, on initial or subsequent assessment, one (1) of the following conditions exists, the LCPM shall recommend consultation, collaboration, or referral with a physician or other appropriate licensed healthcare provider:

(a) Acute or chronic bacterial or fungal infection;

(b) Liver or kidney disease;

(d) Hematologic abnormalities other than physiologic anemia of pregnancy;

(e) History of impaired glucose tolerance, history of diabetes satisfactorily controlled by diet and lifestyle changes alone, abnormal blood sugar or glucose tolerance test, or history of gestational diabetes;

(f) Substance use disorder, in remission;

(g) Current asthma or other significant pulmonary disease;

(h) Abnormality in a screening test indicative of possible genital tract malignancy or pre-malignant condition during the pregnancy;

(i) Seizure disorder or other significant neurologic disease;

(j) Abnormal vaginal bleeding during pregnancy other than first trimester bleeding;

(k) History of invasive malignancy;

(l) History of severe and persistent mental illness;

(m) History of prior intrauterine fetal demise or neonatal death;

(n) History of preterm birth; or

(o) Any other condition or symptom which could adversely affect the client or the fetus as assessed by an LCPM exercising reasonable skill and knowledge.

(2) If the client refuses the recommended consultation, collaboration, or referral pursuant to subsection (1) of this section, the LCPM shall document the refusal in the client's record and may continue to assume primary management of the client.

Section 5. Incorporation by Reference.

(1) "Informed Refusal Form", 1/2020, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbn.ky.gov/document-library/Pages/default.aspx

History

RELATES TO: KRS 314.400 – 314.414
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(12) requires the board to promulgate an administrative regulation to define a list of conditions requiring collaboration, consultation, or referral of a client to a physician or other appropriate licensed health care provider, and the process for such collaboration, consultation, or referral. This administrative regulation establishes the process for and the list of conditions requiring collaboration, consultation, and referral.
History: 46 Ky.R. 2174, 2902; 47 Ky.R. 530; eff. 7-29-2020; TAm eff. 7-12-2022; TAm eff. 11-21-2023.

201 KAR 20:680 Licensed certified professional midwives client records {#sec-201-kar-20-680 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:680}

Section 1.

(1) The Licensed Certified Professional Midwives (LCPM) shall maintain a record for each client. The record shall be complete and accurate. It shall document:

(a) The client's history;

(b) Physical examinations;

(d) Medications administered;

(e) Antepartum visits;

(f) Consultations, collaborations, and referrals;

(g) Labor and delivery;

(h) Postpartum visits; and

(i) Neonatal evaluations.

(2) The LCPM shall comply with all state and federal laws and regulations regarding the confidentiality of the client's records such as pursuant to the Health Insurance Portability and Accountability Act (HIPAA) of 1996, Pub.L. No. 104-191, 110 Stat. 1936.

History

RELATES TO: KRS 314.400 – 314.414
STATUTORY AUTHORITY: KRS 314.131(1), 314.404
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(9) requires the board to promulgate an administrative regulation to further regulate, as necessary, the provision of certified professional midwifery services. This administrative regulation establishes requirements for recordkeeping by licensed certified professional midwives.
History: 46 Ky.R. 2176, 2903; eff. 7-29-2020

201 KAR 20:690 Licensed certified professional midwives transfer guidelines {#sec-201-kar-20-690 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:690}

Section 1.

(1) In the prenatal period, the LCPM shall provide information to the client about hospital care and procedures that may be necessary. The LCPM shall document that an emergency transfer plan has been developed with the client for hospital transfer should the need arise.

(2) The LCPM shall assess the status of the client, fetus, and newborn throughout the maternity care cycle and shall determine when a transfer is necessary pursuant to 201 KAR 20:670.

(3) The emergency transfer plan shall contain:

(a) The names and addresses of appropriate hospitals offering care for the birthing person or the newborn;

(b) Contact information for either:

a. A facility's preferred method of initiating communication to access care; or

b. If that communication is not obtainable, the publicly available information for the facility; or

A healthcare provider or practice group that will accept a client in a transfer;

(d) EMS activation process or a description of a private transportation plan.

(4) The LCPM shall notify the receiving provider or hospital of:

(a) The incoming transfer;

(b) The reason for the transfer;

(d) The planned mode of transport; and

(e) The expected time of arrival.

(5) The LCPM shall continue to provide routine or urgent care en route in coordination with any emergency services personnel and shall address the psychosocial needs of the client during the change of birth setting.

(6) Upon arrival at the hospital, the LCPM shall provide a verbal report, including details on the client's current health status and the need for urgent care. The LCPM shall also provide a legible copy of relevant prenatal and labor medical records.

(7) The LCPM shall transfer clinical responsibility to the hospital provider.

(8) If the client chooses, the LCPM may remain to provide continuous support.

History

RELATES TO: KRS 314.400 – 314.414
STATUTORY AUTHORITY: KRS 314.131(1), 314.404, 314.414
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) authorizes the Board of Nursing to promulgate administrative regulations as may be necessary to enable it to carry into effect the provisions of KRS Chapter 314. KRS 314.404(3) requires the board to promulgate an administrative regulation to establish statewide requirements for licensed certified professional midwives and hospitals regarding the transfer of care from a licensed certified professional midwife to a hospital. KRS 314.414 authorizes the board to promulgate administrative regulations to implement the requirements developed by the transfer guidelines work group. This administrative regulation establishes requirements for licensed certified professional midwives regarding the transfer of care.
History: 46 Ky.R. 2177, 2795, 2903; eff. 7-29-2020

201 KAR 20:700 Medication aide training programs and credentialing of medication aides {#sec-201-kar-20-700 omnilex-key=us-ky-regs-official--title-201--201 KAR 20:700}

Section 1. Definitions.

(1) "Board" is defined by KRS 314.011(1).

(2) "Didactic" means the component of a medication aide training program that includes lecture, verbal instruction, or other means of exchanging theoretical information between the instructor and students, including a classroom setting or distance learning technology.

(3) "Long-term care facility" is defined by KRS 216.510(1).

(4) "Mentor" means a didactic instructor with teaching experience.

(5) "Nursing facility" means a facility defined by 42 C.F.R. 483.5.

(6) "Training program" means formal specialized medication aide training provided by an individual, facility, third party vendor, college, or school.

Section 2. Certified Medication Aide Requirements.

(1) A Certified Medication Aide (CMA) I:

(a) Shall have met the requirements of Section 7(2), (3), (4), and (5) of this administrative regulation; and

(b) May administer oral or topical medications under the delegation of a nurse upon successful completion of a board approved examination that validates the competency of the topics covered by the CMA curriculum under Section 7(5) of this administrative regulation.

(2) A Certified Medication Aide (CMA) II:

(a) Shall have met the requirements of Section 7(6), (7), and (8) of this administrative regulation; and

(b) May administer only insulin via preloaded insulin pen upon successful completion of a board approved examination that validates the competency of administration of insulin via preloaded insulin pen and the topics covered by the CMA II curriculum under Section 7(7) of this administrative regulation.

(3) A Kentucky Medication Aide (KMA) shall:

(a) Be a State Registered Nurse Aide (SRNA);

(b) Successfully complete the medication aide examination administered by the Kentucky Community and Technical College System (KCTCS);

(c) Administer oral or topical medications under the delegation of a nurse to a resident of a long-term care facility; and

(d) Be accepted by the board as having a credential that shall be equivalent to a CMA I.

Section 3. Medication Aide Training Program Approval.

(1) A KMA medication aide training and testing program administered by a college within KCTCS shall:

(a) Be determined as compliant with the requirements of this administrative regulation; and

(b) Not be required to submit an application to the board unless the KMA program provides training to individuals seeking a CMA II credential.

(2) Unless exempt under subsection (1) of this section, a training program shall not admit an individual until the program has been approved by the board.

(3) A training program that may request approval from the board to provide medication aide training for an individual seeking a CMA I or CMA II credential shall be:

(a) A long-term care facility that has a license in good standing and offers medication aide training to:

Its own employees; or
Employees of a long-term care facility owned by the same company;

(b) A Kentucky university or college program; or

(4) In-state training programs.

(a) An in-state entity seeking board approval of its training program shall:

Submit a completed Application for Medication Aide Training Program (CMA I) or an Application for Medication Aide Training Program (CMA I or CMA II) via the portal at www.kbn.ky.gov accompanied by a fee of:

a. $200 for initial approval of a CMA I training program; or

b. $300 for initial approval of a CMA I and CMA II training program;

Prepare each candidate seeking a CMA I credential to pass:

a. The Medication Aide Competency Examination (MACE) administered by National Council of State Boards of Nursing; or

b. Other competency examination approved by the board; and

If the training program prepares a candidate seeking a CMA II credential, it shall prepare the candidate to pass a competency examination approved by the board.

(b) If the training program administers a proprietary competency examination to candidates seeking a CMA I or CMA II credential, the program shall submit a copy of the examination to the board for prior approval.

(5) Out-of-state training.

(a) An individual who completes a medication aide training program provided by an out-of-state training provider shall:

As a condition of obtaining the CMA I credential, pass the MACE or other competency examination approved by the board; or
As a condition of obtaining the CMA II credential:

a. Complete an out-of-state training program that meets the requirements of Section 7(7) and (8) of this administrative regulation; and

b. Pass a competency examination approved by the board.

(b) An out-of-state medication aide training program shall be exempt from the application requirements of subsection (4)1. of this section.

Section 4. Medication aide training program administration.

(1) The training program shall:

(a) Appoint a program administrator who shall be responsible for the administrative oversight of the program; and

(b) Submit the following in writing to the board:

Name of the program administrator;
Date the program administrator will assume responsibility for administrative oversight of the program; and
A copy of the program administrator's curriculum vitae.

(2)

(a) The training program shall notify the board in writing of a change of a program administrator within thirty (30) days of the personnel change; and

(b) Develop and implement a plan of organization and administration that clearly establishes the lines of authority, accountability, and responsibility for each training program location.

(3) The program administrator shall maintain a system of official records and reports essential to the operation of the training program according to the program's written policies that:

(a) Addresses how the program's records shall be maintained in a secure manner to protect from loss or unauthorized distribution or use;

(b) Ensures that all records shall be retained for at least five (5) years;

The nurse instructor's name and licensure information;
Each trainee's:

a. Name;

b. Date of birth;

c. Last four (4) digits of the trainee's Social Security number; and

d. Program activity and completion dates;

(d) Documents how the program will conduct a periodic and systematic plan of evaluation; and

(e) Ensures that a list of successful graduates of the training program is maintained.

Section 5. Program Administrator. The program administrator shall be:

(1) The facility administrator on record for each facility; or

(2) A registered nurse who has the following qualifications:

(a) An unencumbered Kentucky nursing license or multistate privilege to practice; or

(b) A temporary work permit as nurse in Kentucky.

Section 6. Instructors.

(1) The number of instructors shall be adequate to implement the training program as determined by:

(a) Program outcomes;

(b) Instruction objectives; and

(2) The program administrator shall be responsible for approving the instructors.

(3) Didactic instructors.

(a) The training program's didactic instructor shall have the following qualifications:

An unencumbered Kentucky nursing license or multistate privilege to practice; or
A temporary work permit as nurse in Kentucky.

(b) If the didactic instructor does not have prior teaching experience, the program administrator shall assign a mentor to the didactic instructor for the purpose of assisting with implementation of an educational development plan.

(4) Clinical instructors and preceptors.

(a) A clinical instructor shall hold a current:

Unencumbered Kentucky nursing license or multistate privilege to practice; or
Temporary work permit as nurse in Kentucky.

(b) A preceptor shall:

Meet the clinical instructor requirements in paragraph (a) of this subsection; or

a. Hold a current medication aide certification; and

b. Have a minimum of six (6) months experience administering medications.

(5) Each training program shall maintain records in accordance with Section 4 of this administrative regulation to document that each clinical instructor has been oriented to the:

(a) Course;

(b) Program outcomes;

(d) Evaluation methods used by the instructors; and

(e) Role expectations.

Section 7. Standards for Training Programs and Medication Aide Certification.

(1) A training program shall conduct an evaluation as required by Section 4(3)(d) of this administrative regulation to:

(a) Validate that identified program outcomes have been achieved; and

(b) Provide evidence of improvement based on an analysis of the results.

(2) As a condition of admission to a training program for a CMA I credential, the applicant shall:

(a) Be able to read, write, and speak English;

(b) Have basic math skills;

(d)

Have at least six (6) months of continuous work experience as a State registered nurse aide (SRNA) in a nursing facility; or
Be a direct care staff member of a:

a. Long-term care facility that is not certified under 42 C.F.R. Part 483;

b. Facility operated by the Department of Juvenile Justice; or

c. Residential facility licensed by the Cabinet for Health and Family Services if authorized under the facility's scope of licensure.

(3) A training program that prepares an individual for a CMA I credential shall:

(a) Include at least:

Forty (40) clock hours of didactic course work;
Twenty (20) clock hours of skills laboratory; and
Forty (40) clock hours of direct patient contact with a clinical instructor;

(b) Ensure that the didactic course work and skills laboratory shall be completed in no shorter than a two (2) week course;

(d) Maintain a log of clinical hours for each trainee in which the instructor and preceptor document completion of the clock hours required by paragraphs (a) through (c) of this subsection.

(4)

(a) Upon completion of CMA I training, a candidate shall complete the MACE or other board approved examination within sixty (60) days.

(b) If the candidate does not pass the examination after two (2) attempts or if more than sixty (60) days have elapsed since completion of the CMA I training, the candidate shall provide documentation of repeating the CMA I training to be eligible to retake the examination.

(5) The curriculum for a CMA I training program shall include the following topics:

(a) Medication orders, documentation, storage, and disposal;

(b) Mathematics, weights, and measures;

(d) Medication basics, including terms, abbreviations, dosage, and actions;

(e) Safety and rights of medication administration;

(f) Preparation and actual medication administration;

(g) Prevention of medication errors;

(h) Causes and reporting of medication errors;

(i) Building of relationships;

(j) Reporting of symptoms or side effects;

(k) Reporting of changes from the resident's normal condition, status, or routine;

(l) Documentation of medication administration;

(m) Routes of administration;

(n) Factors affecting how the body uses medication;

(o) Classes of medications related to body systems and common actions;

(p) Location of resources and references;

(q) Rights of individuals;

(r) Specific legal and ethical issues;

(s) Knowledge of infection control related to medication administration;

(t) Roles of the supervising nurse;

(u) Role of the medication aide; and

(v) Responsibility of the medication aide when accepting delegated tasks.

(6) As a condition of admission to a training program for a CMA II credential, the applicant shall have successfully completed the CMA I training and passed the board approved CMA I examination.

(7) A training program that prepares an individual for a CMA II credential shall include:

(a) A minimum of sixteen (16) clock hours of didactic course work in insulin administration via a prefilled insulin pen;

(b) A minimum of eight (8) clock hours of clinical training with continuous, direct, on-site supervision by a nurse to be completed within sixty (60) days of completion of the didactic course work;

Directly supervised by a nurse; and
Completed within sixty (60) days of completion of the didactic course work; and

(d) A board approved competency examination.

Upon completion of the CMA II training, a candidate shall complete a board approved examination within sixty (60) days.
If the candidate does not pass the examination after two (2) attempts or if more than sixty (60) days have elapsed since completion of the CMA II training, the candidate shall provide documentation of repeating the CMA II training to be eligible to retake the examination.

(8) The curriculum for a CMA II training program shall include the following topics:

(a) Pathophysiology of diabetes;

(b) Diabetes disease management;

(d) Understanding the meaning of glucose levels;

(e) Insulin administration procedure;

(f) Potential complications and adverse reactions; and

(g) Role and responsibility.

(9) Implementation of the curriculum.

(a) A training program shall be developed to include outcomes, planned instruction, learning activities, and methods of evaluation.

(b) The instruction methods and activities of both instructor and trainee shall be specified. The activities shall be congruent with stated objectives, and content shall reflect adult learning principles.

(d) Didactic instruction may be offered through distance learning technologies. The instruction offered through the use of distance learning technologies shall be comparable to that offered in an in-person program.

(10) Substantive changes to the training program's standards for medication training or certification shall be:

(a) Submitted to the board portal at www.kbn.ky.gov with a completed Application for Medication Aide Training Program (CMA 1) and Application for Medication Aide Training Program (CMA I and II) within thirty (30) days of implementation; and

(b) Subject to a change of status fee of:

$200 for a CMA I training program; or
$300 for a CMA II training program.

(11) A training program shall respond to a written request from the board for documentation within thirty (30) days of the date of the board's request.

(12) The board may amend a program's standards for medication training or certification if it fails to comply with the requirements of the administrative regulation. Upon written notification, the training provider shall comply with the requirements within thirty (30) days.

(13) The board may deny, suspend, or revoke approval or the change of status of a medication aide training program, based upon the following:

(a) Failure to meet or maintain the requirements set forth in this administrative regulation; or

(b) Submitting false, misleading or deceptive statements, information, or documentation to the board or its designees.

(14) If approval of the training program is denied, suspended, or revoked, the board shall do so in writing stating the reasons for the adverse action.

Section 8. Program Completion Requirements and Recertification.

(1) Each individual who successfully completes a board approved medication aide training program and passes the medication aide training and competency evaluation shall register for certification via the board's nursing portal at www.kbn.ky.gov.

(2) The training program shall submit to the board:

(a) The name of the certified individual;

(b) Title of training program, date of completion, and location;

(d) Name and signature of the program administrator;

(3) A training program shall:

(a) Maintain a record of graduates for at least five (5) years; and

(b) Provide a copy of the training program's graduate records to the board upon request.

(4) Recertification.

(a) The credential for a CMA I or CMA II shall expire one (1) year from the date of initial certification or recertification.

(b) To recertify as a CMA I or CMA II, the medication aide shall provide the board with:

Documentation of a yearly evaluation and validation of competency;
Proof of at least four (4) clock hours of medication-specific education; and
A minimum of forty (40) hours worked prior to expiration of certification.

(5) The fee for initial certification and recertification shall be twenty-five (25) dollars.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Medication Aide Training Program (CMA I)", 09/23; and

(b) "Application for Medication Aide Training Program (CMA I and II)", 09/23.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Nursing, 312 Whittington Parkway, Suite 300, Louisville, Kentucky 40222-5172, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at: https://kbn.ky.gov/document-library/Pages/default.aspx.

History

RELATES TO: KRS 194A.705(2)(c), 216.510(1), 216.590, 314.011, 314.133
STATUTORY AUTHORITY: KRS 314.131(1), 314.133
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314.131(1) and 314.133 require the board to promulgate administrative regulations to establish requirements for the credentialing of medication aides, including educational requirements, standards for training programs including delegation of the administration of oral or topical medications and preloaded insulin injection, credentialing requirements, and fees for initial, renewal, and reinstatement of credentials, and any other necessary fees. This administrative regulation establishes requirements for board approval of medication aide training programs and requirements for the credentialing of medication aides.
History: 49 Ky.R. 2424; 50 Ky.R. 826, 1658; eff. 3-21-2024.

Chapter 21 Board of Chiropractic Examiners

201 KAR 21:001 Definitions for 201 KAR Chapter 21 {#sec-201-kar-21-001 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:001}

Section 1. Definitions.

(1) "Accepted standards" means those standards of review, care, skill, and treatment that are recognized by a reasonably prudent chiropractor as being acceptable under similar conditions and circumstances.

(2) "Accredited chiropractic college or university" means a chiropractic college or university fully accredited by the Council on Chiropractic Education or its successor and that:

(a) Maintains a standard and reputability approved by the board pursuant to 201 KAR 21:055; and

(b) Meets all educational standards for preceptorship programs as established by the Council on Chiropractic Education.

(3) "Adjacent tissues" means all structures and joints contained within the upper and lower extremity.

(4) "Advertisement of free or discounted services" means any advertisement or solicitation, by any medium, offering free or discounted examinations, consultation, treatment, goods, or other services.

(5) "Appropriate chiropractic treatment" means a determination made of treatment and other services performed which, by virtue of a substantiated and properly diagnosed condition, appear to be of a type consistent with that diagnosis.

(6) "Bill for treatment" means all services provided to a patient, regardless of the monetary consideration paid to the chiropractor.

(7) "Board" is defined by KRS 312.015(1).

(8) "Committee" means the peer review committee established by KRS 312.200.

(9) "Complaint" means an allegation alleging misconduct that might constitute a violation of KRS Chapter 312 or 201 KAR Chapter 21.

(10) "Complete notice of right of rescission" means a conspicuous statement, of not less than ten (10) point font in any advertisement of free or discounted services that reads substantially as follows: "You have the right to rescind, within seventy-two (72) hours, any obligation to pay for services performed in addition to this free or discounted service."

(11) "Conviction" means a finding of guilt resulting from a plea of guilty or nolo contendere, the decision of a court, or the finding of a jury, irrespective of a pronouncement of judgment, or the sentence being deferred or suspended.

(12) "Hearing officer" is defined by KRS 13B.010(7).

(13) "Licensee" means a person who performs chiropractic and who is licensed under KRS 312.015 through 312.991 and 201 KAR Chapter 21, as a chiropractor.

(14) "Notice of rescission" means notice by the consumer rescinding any agreement to pay for unadvertised additional services performed or to be performed in addition to the free or discounted service.

(15) "Ownership or operation of a chiropractic facility" as established in KRS 312.145(3), means continued, ongoing ownership by a licensee, or in the event of the death or permanent disability of the licensee, ownership or operation of the facility by the licensee's spouse, heirs, successors, or assigns as can be designated by or in the licensee's estate, for up to twelve (12) months.

(16) "Patient" means an individual who receives treatment from a chiropractor.

(17) "Peer review" is defined by KRS 312.015(4).

(18) "Preceptor" means a licensed doctor of chiropractic, who, after approval of the board, pursuant to 201 KAR 21:085, and an accredited chiropractic college or university, provides an opportunity for an undergraduate intern to work in the doctor's office.

(19) "Promotional items" means small tangible items such as pens, magnets, pads, cups, and similar. These are not considered advertising unless the item contains an offer for free or discounted services.

(20) "Properly utilized services" means appropriate treatment services rendered, including the frequency and duration of those services and that are substantiated as being necessary and reasonable by clinical records and reports prepared by the treating chiropractor.

(21) "Seventy-two (72) hour right of rescission" means the right of a consumer to rescind within seventy-two (72) hours any agreement to pay for services if performed the same day in addition to the advertised free or discounted service at an additional unadvertised cost, or any agreement entered into on the same date to submit to a series, or course of treatments at an additional unadvertised cost.

(22) "Unconscionable fees" means charges or bills for treatment submitted for services performed that are unreasonable charges for those services as compared to the usual and customary charges by a chiropractor or by a health care provider other than a chiropractor for the same or similar services in the locality where the services were performed.

(23) "Undergraduate intern" means an individual studying at an accredited chiropractic college or university and who is in the final academic year prior to receiving a degree in chiropractic.

(24) "Unlawful solicitation" means offering money or something of value to a potential patient or patient in exchange to seek treatment from the licensee.

History

RELATES TO: KRS 312.015, 312.200
STATUTORY AUTHORITY: KRS 312.019(9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9) authorizes the Kentucky Board of Chiropractic Examiners to promulgate administrative regulations consistent with KRS Chapter 312, regulating the practice of chiropractic. This administrative regulation establishes the definitions for 201 KAR Chapter 21.
History: 40 Ky.R. 1508; Am. 2118; eff. 3-20-2014; 47 Ky.R. 774, 1374; eff. 2-4-2021.

201 KAR 21:015 Code of ethical conduct and standards of practice {#sec-201-kar-21-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:015}

Section 1. Each licensee shall comply with the minimum standards of professional and ethical conduct established in subsections (1) through (10) of this section.

(1) A licensee shall not advertise the licensee's services except as provided by 201 KAR 21:065.

(2) A licensee shall not commit an act of sexual misconduct, sexual harassment, or any act punishable as a sexual offense.

(3) A licensee shall refrain from chemical or substance abuse. The chemical or substance abuse shall not have to take place in a chiropractic office for the board to take action against a licensee.

(4)

(a) Division of a professional fee shall not be made, except upon the basis of actual services rendered.

(b) Unless prohibited by law, each licensed chiropractor of a business entity shall be allowed to pool or apportion fees received in accordance with a business agreement.

(5)

(a) A licensee shall not pay or receive compensation for the referral or unlawful solicitation of patients.

(b) A licensee, employee of a licensee, agent of a licensee, contractor of a licensee, or anyone acting in concert with the licensee shall not provide monetary compensation or other consideration of value to an individual in order to induce or entice the individual to commence a chiropractor-patient relationship or continue as a patient of the licensee.

(6)

(a) Telemarketing shall be permitted only if the telemarketing is nontargeted, taken from a general list of phone numbers, and if not violating the state's no-call provisions.

(b) The licensee shall be held responsible for the content of any contact made by a telemarketer, agent, employee, or contractor representing the chiropractor.

(7) A licensee shall report to the board any reasonably suspected violation of KRS Chapter 312 or 201 KAR Chapter 21 by another licensee or applicant within thirty (30) days.

(8) A licensee shall report to the board any guilty plea, criminal conviction other than minor traffic violations, civil judgment, settlement, or civil claim made against the licensee within thirty (30) days.

(9) A licensee shall report to the board any discipline from another state licensing board within thirty (30) days of receiving notice of final disciplinary action.

(10) A licensee shall report to the board any malpractice settlement over $10,000 within thirty (30) days of the settlement of the claim.

Section 2. Each licensee shall comply with the minimum standards of practice established in subsections

(1) through (6) of this section. (1) A licensee shall keep in confidence whatever the licensee may learn about a patient in the discharge of professional duties. Information shall be divulged by the licensee only if required by law or authorized by the patient.

(2) A licensee shall render care to each patient that is consistent with treatment and care that would be rendered by a reasonably prudent chiropractor licensed in the Commonwealth of Kentucky and shall give a candid account of a patient's condition to the patient, or to those responsible for the patient's care.

(3) A licensee shall inform the patient of the licensee's clinical diagnosis, treatment plan, and expected outcome of treatment prior to the onset of care.

(4) A licensee shall give timely notice to the licensee's patient or to those responsible for a patient's care if the licensee withdraws from a case so that the patient may obtain another chiropractor.

(5) A licensee shall not abandon a patient.

(6) A licensee shall practice the licensee's profession in accordance with the provisions of KRS Chapter 312 and 201 KAR Chapter 21.

Section 3.

(1) Each licensee shall cooperate with the board by:

(a) Submitting germane documents requested by the board;

(b) Submitting in writing a complete explanation covering the matter contained in the complaint filed with the board;

(d) Properly responding to a subpoena issued by the board; and

(e) The board shall in each renewal cycle, audit a minimum of fifteen (15) percent of renewals to assure compliance with continuing education requirements. Licensees, if selected for audit, shall cooperate and provide requested information so the audit may be conducted.

(2) A licensee shall comply with an order issued by the board.

History

RELATES TO: KRS 312.019(9)(a)
STATUTORY AUTHORITY: KRS 312.019(9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9)(a) authorizes the board to promulgate and amend administrative regulations for the practice of chiropractic, including adopting a code of ethical conduct. This administrative regulation establishes the minimum standards of professional and ethical conduct and practice that a licensee shall maintain.
History: 6 Ky.R. 163; eff. 10-3-1979; Am. 16 Ky.R. 1610; eff. 4-12-1990; 32 Ky.R. 1727; 33 Ky.R. 1070; eff. 10-18-2006; 40 Ky.R. 1410; 2118; eff. 3-20-2014; 42 Ky.R. 1282; eff. 12-16-2015; 45 Ky.R. 1079; eff. 1-23-2019; 47 Ky.R. 776, 1375; eff. 2-4-2021.

201 KAR 21:025 Board; officers, duties, and compensation {#sec-201-kar-21-025 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:025}

Section 1. The officers of the board shall perform the duties established in this section.

(1) The president shall be the chief executive of the board. The president shall preside over all meetings of the board.

(2) The vice president shall perform the duties of the president during the president's absence or inability to serve. The vice president shall perform other reasonable duties delegated to him by the president or by the board.

(3) The executive secretary shall, if necessary or upon the discretion of the board:

(a) Record and present the minutes of a meeting to the board at the next scheduled meeting;

(b) Supervise the administrative functions of the board; and

Section 2. The board may employ a field coordinator as a part of the regular staff of the board. The field coordinator shall be paid a salary as the board may determine.

(1) The field coordinator may be a member of the board, except that the president or executive secretary, as referenced in KRS 312.055(1), shall not serve as field coordinator.

(2) The field coordinator shall:

(a) Investigate complaints against licensees referred by the board for investigation and report findings to the board;

(b) Not vote on any matter relative to formal or informal complaints against any licensee if:

Any of the charges were investigated by him in the capacity of field coordinator; and
The field coordinator is a board member; and

(3)

(a) If the field coordinator is a member of the board, following the appointment as field coordinator, he or she shall serve until the conclusion of his term of appointment as a member of the board.

(b) A member who has been appointed to the position of field coordinator, who is reappointed to the board following the expiration of the original term, shall continue in the position of field coordinator until a successor is appointed, and accepts and assumes the duties of the position.

(4) The administrative staff shall assist the board in the performance of its duties and shall:

(a) Keep an accurate and up-to-date file of all licensees of the board, including:

Addresses, e-mail addresses, and telephone numbers;
Status as to whether or not they are in active practice or are inactive;
Whether a licensee is in practice in this state or out of it;
Documents establishing attendance at educational programs if these have been requested by the board;
All fees paid by licensees; and
Providing to the board, at least once each year, the names of licensees who are delinquent in the payment of fees or attendance of educational programs;

(b) Transmit notices for renewal of licenses as provided by KRS 312.175(2);

(d) Attend to the correspondence and communications of the board.

Section 3. A member elected as president, vice president, or executive secretary shall serve in office for one (1) year. An officer may be reelected by the board. Officer elections shall take place at the last meeting of the calendar year and shall take effect the first meeting of the following calendar year.

Section 4. Salary and Per Diem Compensation. Board members shall receive $100 per day for each day of actual service to the board.

Section 5. Financial Audit of Board Accounts.

(1) The board shall cause, on a biennial basis, an independent financial audit of board accounts to be conducted and a report made to the board of the results.

(2) The biennial financial audit shall be conducted by the Kentucky Auditor of Public Accounts, or by an independent auditor qualified and licensed as a certified public accountant, and retained by the board. If the Auditor of Public Accounts declines to perform the audit, the board shall perform the audit.

(3) The audit shall be of the previous year's accounts, unless the board finds that a broader audit is necessary, and votes to conduct a broader audit by a majority of the board. The board vote shall define the scope of the audit sought.

History

RELATES TO: KRS 312.019, 312.055
STATUTORY AUTHORITY: KRS 312.019
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.055 requires the election of certain officers by the board. KRS 312.019(6) authorizes the board to employ personnel and incur expenses necessary for the performance of its duties. This administrative regulation establishes the duties of the officers, field personnel, and administrative staff, establishes the terms and procedure for election of officers, and establishes compensation.
History: 6 Ky.R. 164; eff. 10-3-1979; Am. 16 Ky.R. 1612; eff. 4-12-1990; 32 Ky.R. 1728; 33 Ky.R. 1071; eff. 10-18-2006; 43 Ky.R. 766, 1169; eff. 2-3-2017; 47 Ky.R. 778, 1376; eff. 2-4-2021; 49 Ky.R. 1976; eff. 9-27-2023.

201 KAR 21:035 Seal {#sec-201-kar-21-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:035}

Section 1. The official seal of the board shall consist of two (2) concentric circles with the words "Kentucky Board of Chiropractic Examiners" between the two (2) circles. The likeness of two (2) hands in the position of a chiropractic adjustment shall appear within the inner circle with the words "Utile Dulce" immediately below the likeness.

Section 2. The official seal shall be affixed to all licenses, certifications, and registrations issued by the board and to other documents the board deems necessary or appropriate.

History

RELATES TO: KRS 312.019
STATUTORY AUTHORITY: KRS 312.019
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(4) requires the board to adopt a seal which shall be affixed to all licenses, certifications, and registrations issued by the board and to such other documents as the board deems necessary. This administrative regulation adopts the seal that shall be used by the Kentucky Board of Chiropractic Examiners.
History: 6 Ky.R. 165; eff. 10-3-1979; Am. 16 Ky.R. 1614; eff. 4-12-1990; 48 Ky.R. 105, 1525; eff. 11-23-2021.

201 KAR 21:041 Licensing; standards, fees {#sec-201-kar-21-041 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:041}

Section 1. Initial Application. An applicant for initial licensure shall submit to the board:

(1)

(a) A completed, notarized Application for Licensure with a two (2) inch by two (2) inch passport photo taken within the past six (6) months of application; and

(b) A nonrefundable application fee of $350.

(2) If the initial applicant graduated from chiropractic school more than four (4) years ago, proof of successfully passing the Special Purposes Examination for Chiropractic given by the National Board of Chiropractic Examiners within the past six (6) months shall be submitted to the board unless the initial applicant submits proof acceptable to the board of active practice under a license in good standing in another state or jurisdiction. In determining whether to accept proof of active practice, the board shall consider the following submitted by the licensee in writing:

(a) The number, or approximate number, of patients treated per week;

(b) The practice location or locations, and address or addresses at which the licensee has practiced, and the month and years of practice at each respective location; and

Section 2. Licenses. Each license by the board shall:

(1) Set forth the:

(a) Name of the issuing board;

(b) Name of the licensee;

(d) Date of the license issuance;

(2) Be signed by a minimum of three (3) members of the board; and

(3) Have the seal of the board affixed.

Section 3. License Renewal.

(1)

(a) Each licensee of the board shall annually renew the license on or before the first day of March.

(b)

A licensee seeking active status shall:

a. Submit a completed Application for Annual License Renewal that includes the notarized affidavit, if applicable; and

b. Pay a renewal fee of $250.

A licensee seeking inactive status shall:

a. Submit a completed Application for Annual License Renewal that includes the notarized affidavit, if applicable; and

b. Pay a renewal fee of seventy-five (75) dollars.

(2) The amount of the restoration fee established by KRS 312.175(2) and (4) shall be $250 per year, or any part of a year.

(3) Continuing education requirements.

(a) Each active licensee shall complete at least twelve (12) hours of board-approved continuing education, with:

No more than eight (8) hours completed in a day; and
Proof of completion submitted with the Application for Annual License Renewal upon request by the Board.

(b)

A new licensee shall complete a two (2) hour jurisprudence course, provided by the board, by the licensee's first renewal.
A new licensee shall not be required to complete the continuing education requirements set out in paragraph (a) of this subsection until after the licensee's first renewal and before the licensee's second renewal.

(c) An inactive licensee may renew the inactive license without meeting the continuing education requirements required by this subsection.

(d) A continuing education course shall not be repeated for credit within the same renewal period.

Section 4. Activation of an Inactive License.

(1) To activate an inactive license, a licensee shall submit:

(a) A completed Application for Activation or Reinstatement of Kentucky License;

(b) The renewal fee required by Section 3(1)(b) of this administrative regulation;

(c) Proof that the licensee has met the continuing education requirements established by Section 3(3) of this administrative regulation; and

(d) License verification from each state or jurisdiction from which the licensee has held a license.

(2) If the licensee was inactive for more than four (4) years, proof of successfully passing the Special Purposes Examination for Chiropractic given by the National Board of Chiropractic Examiners within the past six (6) months shall be submitted to the board unless the licensee submits proof acceptable to the board of active practice under a license in good standing in another state or jurisdiction. In determining whether to accept proof of active practice, the board shall consider the following submitted by the licensee in writing:

(a) The number, or approximate number, of patients treated per week;

(b) The practice location or locations, and address or addresses at which the licensee has practiced, and the month and years of practice at each respective location; and

Section 5. Denial or Refusal of License. The board may deny or refuse to renew a license if an applicant or licensee:

(1) Has a conviction for a felony or violation of any law involving moral turpitude; or

(2) Violates any of the provisions of KRS Chapter 312 or 201 KAR Chapter 21.

Section 6. Change of Address. Each licensee shall notify the board within ten (10) days of each change of mailing address or place of business.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure", DPL-KBCE-01, June 2023;

(b) "Application for Annual License Renewal", DPL-KBCE-03, June 2023; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Chiropractic Examiners, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:00 p.m. This material is also available on the board's Web site at www.kbce.ky.gov.

History

RELATES TO: KRS 312.085, 312.095, 312.145, 312.175
STATUTORY AUTHORITY: KRS 312.019, 312.085, 312.095, 312.175
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9) authorizes the Kentucky Board of Chiropractic Examiners to promulgate administrative regulations consistent with KRS Chapter 312, regulating the practice of chiropractic. This administrative regulation establishes the procedures relating to application for licensure, license renewal, and fees.
History: 6 Ky.R. 165; eff. 10-3-1979; Am. 16 Ky.R. 44; 344; eff. 9-2-1989; 34 Ky.R. 1530; 2279; eff. 5-2-2008; 35 Ky.R. 989; 1437; eff. 1-5-2009; 36 Ky.R. 855; 1194; eff. 1-4-2010; 40 Ky.R. 1411; 2119; eff. 3-20-2014; 43 Ky.R. 768; eff. 2-3-2017; 47 Ky.R. 131, 950; eff. 11-19-2020; 49 Ky.R. 1978; 50 Ky.R. eff. 9-27-2023.

201 KAR 21:042 Standards, applications and approval of continuing education {#sec-201-kar-21-042 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:042}

Section 1. Standards for Continuing Education.

(1) Continuing education shall be approved by the board, or by a committee designated by the board to act between sessions of the board.

(2) The continuing education program shall be:

(a)

A post graduate course of study at or sponsored by a chiropractic college accredited by the Council on Chiropractic Education or its successors; or
Sponsored by a national or state chartered organization of chiropractors, or a chiropractic college; and

(b) Open to all doctors of chiropractic in Kentucky who desire to attend.

(3) The instructors and speakers shall be in the field of chiropractic, chiropractic education, or allied sciences.

(4) The programs to be presented shall contain subjects of clinical benefit to licensees and on a postgraduate level of education.

(5) The programs shall comply with the Kentucky chiropractic scope of practice as defined by KRS 312.017.

(6) The board or its designated committee shall determine if:

(a) Online versus live education is appropriate for the subject matter being offered; and

(b) To approve programs as proposed.

Section 2. Requirements for Online Continuing Education.

(1) Any entity submitting an online course for approval shall:

(a) Be Pre-Approved Continuing Education (PACE) Commission certified; and

(b) Submit the program through the PACE pre-check program using the Kentucky Board of Chiropractic Examiners Continuing Education Application form.

(2) The program shall:

(a) Have a mechanism to ensure that users view each page of the program:

(b) Ensure the user has earned all of the time required for the program;

(c) Have a mechanism in place for the user to be able to contact the provider regarding questions about the continuing education programs;

(d) Include a mechanism to evaluate the user's knowledge of the subject matter contained in the program;

(e) Provide a printed verification or allow the user to print verification only upon completion of the program;

(f) Ensure that the course time cannot be earned away from the program and that automatic lock out occurs if the keyboard becomes unattended; and

(g) Have an original recording date within five (5) years from the time the course is approved for credit by the board.

(3) Programs shall be completed and earned one (1) at a time. The user of a program shall not earn credit for multiple windows or programs completed simultaneously.

Section 3. Application for Approval.

(1) The sponsoring party of a proposed educational program for license renewal shall apply for approval of the program prior to its presentation by submitting the Kentucky Board of Chiropractic Examiners Continuing Education Application, and by providing to the board:

(a) The name of the course;

(b) The name of the sponsoring organization;

(d) The number of classroom hours over which the educational program will be presented, and the dates presented;

(e) The names of the instructors and speakers and the name and address of the institution with which they are associated, if applicable;

(f) The instructors' or speakers' educational background and other relevant qualifications;

(g) The name and address of the person authorized to certify attendance; and

(h) An educational program review fee as established in subparagraph 1. through 3. of this paragraph.

Live Events Only - A live event is an event at which both the presenter and attendee are present in person. A minimum fee of twenty-five (25) dollars for a live one‐time event of sixteen (16) hours or less. Any event over sixteen (16) hours will be two (2) dollars per requested credit hour with a maximum fee of $100. For events with multiple dates and locations there will be an additional twenty-five (25) dollar fee.
Online Events Only - A minimum fee of twenty-five (25) dollars for a live one‐time event or recorded event of sixteen (16) hours or less. Any event over sixteen (16) hours will be two (2) dollars per requested credit hour with a maximum fee of $100. The online event shall remain approved for one (1) calendar year.
Live Event That Will Also Be Recorded To Be Used As Online CE – A minimum fee of fifty (50) dollars for an event of sixteen (16) hours or less. Any event over sixteen (16) hours will be two (2) dollars per requested credit hour with a maximum fee of $100. The online event shall remain approved for one (1) calendar year.

(2) The educational program may be monitored by an officer of the board, the field coordinator of the board, or a person designated by the president of the board.

(3)

(a) A proposed program shall be received by the board for approval at least sixty (60) days prior to the date of the presentation.

(b) The board, or a designee of the board to act between meetings of the board, shall give written notification of the board's approval or disapproval of the program to the sponsoring party not more than thirty (30) days after receiving the proposed educational program.

(c) An online course shall remain approved for one (1) calendar year from a date of the event provider's choosing if that date is no earlier than sixty (60) days from the date the board received the submission for approval.

Section 4. Incorporation by Reference.

(1) "Kentucky Board of Chiropractic Examiners Continuing Education Application", DPL-KBCE-05, June 2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Chiropractic Examiners, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:00 p.m. This material is also available on the board's Web site at www.kbce.ky.gov.

History

RELATES TO: KRS 312.017, 312.085, 312.095, 312.145, 312.175
STATUTORY AUTHORITY: KRS 312.019, 312.085, 312.095, 312.175
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9) authorizes the Kentucky Board of Chiropractic Examiners to promulgate administrative regulations consistent with KRS Chapter 312, regulating the practice of chiropractic. This administrative regulation establishes standards for continuing education and the procedures relating to the application and approval of continuing education.
History: 40 Ky.R. 1509; Am. 2120; eff. 3-20-2014; 47 Ky.R. 132, 950; eff. 11-19-2020; 49 Ky.R 1981; 50 Ky.R. 52, 639, eff. 9-27-2023.

201 KAR 21:045 Specialties {#sec-201-kar-21-045 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:045}

Section 1.

(1) A licensee in active practice and in good standing with the board who makes a written request to the board, provides proof of education, and pays the fee established in Section 3 of this administrative regulation shall be certified as a specialist in the licensee's field of certification, if the licensee holds certified or diplomate status with a certification granting entity.

(2) The certification or diplomate program shall be:

(a) Recognized by the American Chiropractic Board of Specialties or comparable authority with a comparable education level; and

(b) Within the scope of practice as established by KRS 312.015 and 312.017.

(3) Specialties certified shall include those such as radiology, nutrition, orthopedics, neurology, and pediatrics as approved by the American Board of Chiropractic Specialties.

(4) The complete list of approved and certified specialties is available on the board's current Web site.

Section 2. The applicant for certified status under Section 1 of this administrative regulation shall submit with the applicant's written request proof of current status with the specialty certificate issuing board. Certification by the board shall be for a stated period of time not exceeding one (1) year.

Section 3. The fees currently charged by the board are $100 for certification of each specialty and thirty (30) dollars for annual renewal.

Section 4. Advertisement of Designation of Chiropractic Certifications.

(1) Advertisement of chiropractic specialties shall include the word "chiropractic" with any specialty designation and conform to the standards established in 201 KAR Chapter 21.

(2) Any designation or certification not recognized by the board may only be advertised if:

(a) The designation or certification is not abbreviated, but is written out;

(b) The certifying or conferring college, university, or organization is named; and

History

RELATES TO: KRS 312.015, 312.017, 312.019, 312.021
STATUTORY AUTHORITY: KRS 312.019, 312.021
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.021 requires the board to identify by administrative regulation those specialties of chiropractic for which certification may be granted and to establish by administrative regulation the procedure for obtaining and maintaining certification and the fees therefor. This administrative regulation establishes requirements for obtaining specialty certification.
History: 6 Ky.R. 163; eff. 10-3-1979; 16 Ky.R. 1610; eff. 4-12-1990; 32 Ky.R. 1727; 33 Ky.R. 1070; eff. 10-18-2006; 40 Ky.R. 1410; 2118; eff. 3-20-2014; 42 Ky.R. 1282; eff. 12-16-2015; 45 Ky.R. 1080, 2073; eff. 1-23-2019; 47 Ky.R. 778, 1377; eff. 2-4-2021.

201 KAR 21:051 Board hearings {#sec-201-kar-21-051 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:051}

Section 1. Complaints and Investigations.

(1) A complaint may be made by any person, organization, or entity. A complaint made by a person, organization, or entity shall be in writing and shall be signed by the person offering the complaint. The complaint shall contain:

(a) The name, phone number, and address of the person making the charge and the name and address of the place of business of the person or persons against whom charges are made; and

(b) A clear and concise description of the issues of fact.

(2) Upon receipt of a complaint against a licensee, the board shall send a copy of the complaint to the licensee for a response.

(a) The complaint shall be sent to the last known address of the licensee that the board has on file. Proof of mailing of the complaint to the licensee's last address on file shall constitute proof of service of the complaint.

(b) The licensee shall file a response within twenty (20) days from the date of the board's letter.

(c) The board shall review the complaint and the licensee's response before it determines if the nature and quality of the charges warrant dismissal, further investigation, or the initiation of a hearing.

(d) In making its determination, the board shall consider if the charges if proven would warrant sanction by the board.

(e) If the licensee fails to file a response within twenty (20) days of service of the complaint, the board may, based on lack of good cause, treat such failure as a default by the licensee, which in this case shall be equivalent to a finding that the factual allegations of the complaint may be taken as true. The board shall also have the authority to grant extensions of time for filing of a response based on the reason.

(3) The board may proceed against a licensee on its own initiative either on the basis of information contained in its own records or on the basis of information obtained through its own investigation.

(4) The filing of formal charges shall require the affirmative vote of a majority of the board.

(5)

(a) If the board finds that allegations against a licensee are insufficient for initiation of a formal disciplinary procedure, it shall dismiss the matter and notify all interested parties.

(b) If the board determines that disciplinary proceedings are appropriate, the board shall issue a notice of disciplinary action and inform the licensee of the specific reason for the board's action, including the:

Statutory or regulatory violation;
Factual basis on which the disciplinary action is based; and
Penalty to be imposed.

(c) The licensee, or the complainant may appeal the disciplinary action established in the notice of disciplinary action to the board. An appeal shall be made within twenty (20) days of the date of the board's notice.

A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the date of the board's notice. This request shall be sent to the Board of Chiropractic Examiners by mail or delivery to the board's address as shown on the board's notice of disciplinary action.
If the request for a hearing is not timely filed, the notice of disciplinary action shall be effective upon the expiration of the time for the licensee to request a hearing.

(d) The board may resolve the matter informally through mediation or negotiation. Any agreed order reached through mediation or negotiation shall be approved by the board and signed by the individual who is the subject of the complaint, the individual's attorney, and the chair of the board.

Section 2.

(1) The hearing shall be held in accordance with KRS Chapter 13B.

(2) The respondent shall be entitled to a reasonable continuance of the hearing date, for good cause, as recommended to the board by the hearing officer.

(3) The board shall keep a record of the hearing at least for as long as the matter is pending for a decision or appeal, and for the duration of the disciplinary action.

(4) It shall take a majority of the board to sustain the charges against the respondent licensee. The hearing officer shall issue a recommended order pursuant to KRS Chapter 13B, which the board shall consider, along with any exceptions filed by the parties, before issuing a final order.

(5) If the board sustains some or all of the charges, the board shall by majority vote establish the sanction under law that it finds warranted. The order of the board shall be mailed to the parties by certified mail, return receipt requested.

Section 3. Pursuant to KRS 312.160, the respondent may, within thirty (30) days of receipt of the order, appeal to the Franklin Circuit Court. In the absence of an appeal, the order of the board shall be final at the expiration of the thirty (30) day period.

History

RELATES TO: KRS 312.150, 312.160, 312.163
STATUTORY AUTHORITY: KRS 312.019(5), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.109(5) authorizes the board to enforce and investigate violations. KRS 312.019(9) authorizes the board to promulgate administrative regulations consistent with KRS Chapter 312, governing the practice of chiropractic. KRS 312.150 authorizes disciplinary action to be taken against a licensee. KRS 312.160 requires a right to an appeal for a licensed person disciplined after a hearing. This administrative regulation establishes procedural guidelines for board hearings and the processing of complaints against a licensee.
History: 2 Ky.R. 607; rejected 3 Ky.R. 364; resubmitted over rejection; reprinted 431; eff. 10-1-76; Am. 16 Ky.R. 1615; eff. 4-12-90; 32 Ky.R. 1734; 33 Ky.R. 1071; eff. 10-18-2006; 40 Ky.R. 1414; 2121; eff. 3-20-2014; 47 Ky.R. 781, 1377; eff 2-4-2021.

201 KAR 21:052 Appeal of denial of license {#sec-201-kar-21-052 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:052}

Section 1. Right of Appeal of Denial of License.

(1) If the board denies an application for licensure, activation, restoration, reinstatement, certification of specialty, or application for renewal of licensure, the board shall issue a notice of denial informing the applicant of the specific reason for the board's action, including:

(a) The statutory or regulatory violation; and

(b) The factual basis on which the pending denial is based.

(2) A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the date of the board's notice. This request shall be sent to the Kentucky Board of Chiropractic Examiners, at the address indicated for the board on the board's notice.

(3) If the request for an appeal is not timely filed, the notice of denial shall be effective upon the expiration of the time for the applicant to request an appeal.

(4) The administrative hearing shall be conducted in accordance with KRS Chapter 13B.

History

RELATES TO: KRS 312.150
STATUTORY AUTHORITY: KRS 312.019(3), (9), 312.163
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(3) authorizes the board to deny, limit, or refuse to renew any license, certification, or registration it issued. KRS 312.019(9) authorizes the board to promulgate administrative regulations consistent with KRS Chapter 312, governing the practice of chiropractic. KRS 312.163 provides disciplinary powers of the board after a hearing. This administrative regulation establishes requirements relating to the appeal of denial of a license.
History: 40 Ky.R. 1511; eff. 3-20-2014; 47 Ky.R. 783; eff. 2-4-2021.

201 KAR 21:053 Appeal of revocation of probation {#sec-201-kar-21-053 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:053}

Section 1. Revocation of Probation.

(1) If the board moves to revoke the probation of a licensee, the board shall issue to the last known address on file with the board for the licensee, a notice of revocation and inform the licensee:

(a) The factual basis on which the revocation is based;

(b) Each probation term violated; and

(c) That the licensee may appeal the revocation to the board. An appeal shall be made within fifteen (15) days of the date of notification of revocation.

(2) A written request for an administrative hearing shall be filed with the board within fifteen (15) calendar days of the date of the board's notice. This request shall be sent to the Kentucky Board of Chiropractic Examiners, at its address as indicated on the notification of revocation.

(3) If the request for an appeal is not filed by the deadline established in subsections (1)(c) and (2) of this section, the notice of revocation shall be effective upon the expiration of the time for the licensee to request an appeal.

(4) The administrative hearing shall be conducted in accordance with KRS Chapter 13B.

History

RELATES TO: KRS 312.150, 312.163
STATUTORY AUTHORITY: KRS 312.019(9), 312.163
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9) authorizes the board to promulgate administrative regulations consistent with KRS Chapter 312. KRS 312.163(3) requires the board to provide an administrative hearing to a licensee who is the subject of board discipline. This administrative regulation establishes procedures for a licensee to appeal a revocation of probation.
History: 40 Ky.R. 1512; Am. 2122; eff. 3-20-2014; 47 Ky.R. 784; eff. 2-4-2021.

201 KAR 21:054 Emergency orders {#sec-201-kar-21-054 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:054}

Section 1. Emergency Order of Suspension or Limitation.

(1) The board president or the board as a whole may take emergency action, which shall be in accordance with KRS 13B.125, by issuing an emergency order to suspend or limit a license to practice chiropractic. An emergency order shall:

(a) Be based upon a finding by the board president or the board as a whole that:

The emergency order is in the public interest; and
There is substantial evidence of immediate danger to the health, welfare, or safety of a patient or the general public;

(b) Specify the factual basis that caused the emergency condition to exist;

(d) Be served on a licensee in accordance with KRS 13B.050(2).

(2) Upon receipt of an emergency order, a licensee shall immediately comply with the emergency order of suspension or limitation.

(3) A licensee may appeal the emergency order. An appeal shall be:

(a) Made by a written request to the board;

(b) In accordance with KRS 13B.125; and

(4) A chiropractor's license shall be revoked if:

(a) The licensee does not request a hearing; or

(b) The condition that resulted in the emergency order is not corrected within thirty (30) calendar days of service of the emergency order.

(5) The emergency order shall be affirmed if there is substantial evidence of an immediate threat to public health, safety, or welfare.

History

RELATES TO: KRS 312.019(3)
STATUTORY AUTHORITY: KRS 312.019(3), 312.150
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(1) authorizes the Board of Chiropractic Examiners to promulgate administrative regulations relating to the practice of chiropractic. KRS 312.019(3) authorizes the board to suspend or limit any license issued by it. This administrative regulation establishes procedures for the emergency suspension or restriction of a license if there is an immediate danger to the health, welfare, or safety of a patient or the general public.
History: 40 Ky.R. 1513; eff. 3-20-2014; 48 Ky.R. 106, 1525; eff. 11-23-2021.

201 KAR 21:055 Colleges and universities; accreditation, approval {#sec-201-kar-21-055 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:055}

Section 1. A person who makes application to the board to practice chiropractic shall be a graduate of a chiropractic college or university that shall be accredited as required by KRS 312.085. In addition to accreditation, the chiropractic college or university shall offer a course of study, provide a faculty, and have a physical plant and facility approved by the board. The following minimum standards shall apply:

(1)

(a) The chiropractic college or university shall have well-stated goals and purposes to prepare the doctor of chiropractic as a competent health care provider, well-educated to diagnose and treat patients and to render the augmentative treatment provided for by KRS 312.015.

(b) It shall have a course of study, an administration, teaching staff, a physical plant and facility capable of achieving these objectives.

(2)

(a) The chiropractic college or university shall offer courses of instruction to teach and train its graduates, as established by the Council on Chiropractic Education, as doctors of chiropractic to diagnose and treat their patients and to render augmentative care.

(b) It shall require for graduation and completion the amount and quality of classroom instruction and laboratory and clinical experience required of chiropractic colleges or universities by the Council on Chiropractic Education.

History

RELATES TO: KRS 312.019(2), (9)(b), 312.085
STATUTORY AUTHORITY: KRS 312.019(9)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019 requires the board to pass upon the qualifications of applicants for a license. KRS 312.085 requires each applicant to be a graduate of a chiropractic college or university that maintains a standard and reputability approved by the board. This administrative regulation establishes the requirements for board approval of educational institutions.
History: 6 Ky.R. 167; eff. 10-3-79; Am. 16 Ky.R. 1617; eff. 4-12-90; 32 Ky.R. 1736; 33 Ky.R. 1073; eff. 10-18-2006; 47 Ky.R. 785, 1378; eff. 2-4-2021.

201 KAR 21:065 Professional advertising; seventy-two (72) hour right of rescission {#sec-201-kar-21-065 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:065}

Section 1. A licensee may advertise chiropractic services through any medium if the advertisement is not false, deceptive, or misleading.

(1) An advertisement shall include:

(a) If the business name used in the advertisement has the word "chiropractic" in it, then additional information shall not be required; or

(b) If the word "chiropractic" is not included in the name of the business, then the advertisement shall contain the name of at least one (1) doctor in the office and clearly identify them as a doctor of chiropractic, or clearly state in some manner that the office is a chiropractic office. Words or letters designating the particular doctor degree held by the chiropractor. "D.C." shall designate a doctor of chiropractic.

(2) Deviation from these requirements shall first be approved by the board.

Section 2. Consumer Rights, Notice.

(1)

(a) The board may choose, in accordance with this administrative regulation, to require a licensee to place a consumer notice of a seventy-two (72) hour right of rescission on any advertisement offering a free or discounted service.

(b) A chiropractor advertising free or discounted services shall in any advertisement or solicitation provide the consumer with notice, in print of no less than ten (10) point font, of the seventy-two (72) hour right of rescission. The notice shall include information on the form and manner in which the patient shall exercise the right of rescission.

(2)

(a) Within ten (10) days of a notice of rescission, the chiropractor shall tender to the consumer any payment made by the consumer prior to the rescission for an unadvertised service performed.

(b) If payment had not yet been made by the consumer for an unadvertised service, the consumer's account shall not be billed for that service.

(3)

(a) In order to be effective, the notice of rescission shall be given by the consumer to the chiropractor within seventy-two (72) hours of the completion of the advertised free or discounted service or agreement to submit to a series or course of treatments.

(b) The notice shall be:

In writing; and
Express the intention of the consumer to rescind his or her obligation.

Is properly addressed;
Has sufficient postage affixed; and
Is postmarked.

Section 3.

(1) A written advertisement may be sent or delivered to an individual addressee only if it is not prompted or precipitated by a specific event or occurrence involving or relating to the addressee or addressees as distinct from the general public.

(2) A licensee who advertises a fee for routine services and accepts the employment shall perform the services for the amount advertised, and a statement to that effect shall be included in every advertisement in which a fee is listed.

Section 4. If a complaint is filed with the board regarding an advertisement of a licensee, the board shall request, and the licensee shall submit, a copy of the advertisement, including audio or video if the advertisement is in audio or video medium.

Section 5. A licensee shall post his or her name on the premises where a chiropractic service is being offered, and the name(s) of all associate licensees who practice chiropractic on the premises. The posted names shall be clearly visible to the public at the entrance to the premises, or on a sign visible outside of the premises, that offers the delivery of chiropractic services.

History

RELATES TO: KRS 312.019(9)(g), 312.021, 312.991
STATUTORY AUTHORITY: KRS 312.019(9), 312.021(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.021(1) requires that advertising shall not be false, deceptive, or misleading. KRS 312.019(9)(g) authorizes the board to promulgate administrative regulations to regulate forms of advertising and authorizes the board to establish a seventy-two (72) hour rescission period for a consumer responding to certain forms of solicitation or advertising. This administrative regulation establishes limits of permissible professional advertising to safeguard the public from false or misleading statements and nuisance type advertising. This administrative regulation also establishes the forms of solicitation or advertising in which the responding consumer shall be granted a seventy-two (72) hour rescission period.
History: 6 Ky.R. 168; eff. 10-3-1979; Am. 16 Ky.R. 1618; eff. 4-12-1990; 34 Ky.R. 621; 1391; eff. 12-17-2007; 40 Ky.R. 1415; 2122; eff. 3-20-2014; 47 Ky.R. 876; eff. 2-4-2021.

201 KAR 21:070 Licensing examination requirements {#sec-201-kar-21-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:070}

Section 1.

(1) An applicant for licensure shall hold a National Board of Chiropractic Examiners Certificate of Attainment, which demonstrates that the applicant has passed the National Board of Chiropractic Examiners (NBCE) examination, parts I, II, III, and IV, by the NBCE's recommended passing score.

(2)

(a) An official National Board of Chiropractic Examiners transcript of scores for parts I, II, III, and IV shall be on file with the Kentucky Board of Chiropractic Examiners.

(b) Official transcripts shall be requested by the applicant to be sent to the Kentucky Board of Chiropractic Examiners directly from the National Board of Chiropractic Examiners.

(3) The state's requirement for successful completion (passage) of all parts of the National Board of Chiropractic Examiners examination shall be the National Board of Chiropractic Examiners recommended passing score.

History

RELATES TO: KRS 312.019(9), 312.115(2)
STATUTORY AUTHORITY: KRS 312.019(9), 312.115
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9) authorizes the Kentucky Board of Chiropractic Examiners to promulgate administrative regulations consistent with KRS Chapter 312. KRS 312.115(2) provides that the examination for a chiropractic license may consist in part of the National Board Examination of the National Board of Chiropractic Examiners. This administrative regulation establishes the chiropractic licensing examination procedures.
History: 16 Ky.R. 93; eff. 9-2-1989; 34 Ky.R. 1532; 2186; 2280; 35 Ky.R. 4; eff. 5-2-2008; 48 Ky.R. 108; eff. 11-23-2021.

201 KAR 21:075 Peer review committee procedures and fees {#sec-201-kar-21-075 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:075}

Section 1. Peer Review Committee.

(1) The board shall appoint a Peer Review committee of up to five (5) members. All members of the peer review committee may serve a three (3) year term.

(a) Each member of the Peer Review committee shall serve until their successor is appointed and qualified.

(b) Appointments to fill vacancies shall be for the unexpired term.

(c) Applicants for appointment to the Peer Review committee shall make application on the same form utilized by applicants for appointment to the board, except filed with the board and not the Governor's office, and shall include a cover letter stating that the application is for the Peer Review Committee.

(2) Members of the Peer Review committee shall be doctors of chiropractic of integrity and ability who at the time of their appointment have been actual residents of the Commonwealth of Kentucky for at least two (2) years next preceding their appointment, and have been engaged in the actual practice of chiropractic for at least five (5) years next preceding their appointment.

(3) Any member of the peer review committee shall not hold an elected position in any state organization or association relating to or consisting of licensees of this board or the practice of chiropractic.

(4)

(a) Beginning on March 1, 2021, the longest-serving member on the Peer Review committee shall be replaced by a member with a three (3) year appointment.

(b) In 2022, the next longest-serving member of the Peer Review committee shall be replaced by a member with a three (3) year appointment.

(c) In 2023, the next longest-serving member on the Peer Review committee shall be replaced by a member with a three (3) year appointment.

(d) In 2024, the next longest-serving member shall be replaced by a member with a three-year appointment.

(e) Thereafter, each appointee to the Peer Review committee shall be appointed to a three (3) year term.

(f) This subsection shall not prohibit any member of the peer review committee from serving consecutive terms.

Section 2. Procedures and Fees of Peer Review Committee.

(1) Peer review shall not take place until the patient has submitted a release permitting photocopies of the applicable treatment or billing records prepared by the chiropractor in the regular course of business.

(a) Treatment records shall not be released for peer review without the patient's authorization.

(b) The acceptance of, or the request for, payment by a chiropractor shall constitute the consent of the chiropractor to the submission of all necessary records and other information concerning the treatment or the cost to the peer review committee.

(2)

(a) Each claim shall be assigned to an individual member of the committee who shall review the submitted records and response from the charged party and report his findings to the full committee, which shall review the findings and either adopt those findings or modify them as determined by majority vote.

(b) A copy of the findings shall be forwarded to the board, the patient, the chiropractor, and insurer or other third party payor.

(3)

(a) The peer review committee shall elect a chair.

(b) The committee may recommend for the board's approval a contract with or employment of third parties to perform administrative functions or to aid in obtaining records necessary for appropriate review of claims.

(c)

The peer review committee shall recommend to the board that a complaint be filed against a chiropractor if it appears from the review of a claim that reasonable cause exists to believe that the chiropractor has violated any portion of KRS Chapter 312 or 201 KAR Chapter 21 for which a chiropractor may be disciplined.
The peer review committee shall transmit all complaint information the committee possesses to the board.

(4)

(a) A chiropractor, insurer, or other third party payor requesting review shall submit with the request a service fee of fifty (50) dollars payable to "B.C.E. Peer Review."

(b) An additional fee shall be charged for claims requiring more than one (1) hour of review by the committee calculated at fifty (50) dollars per hour, which sum shall be due prior to the delivery of committee findings to all parties.

(5) Each member of the peer review committee shall comply with the requirements and standards established in 201 KAR 21:095.

Section 3. Annual Report.

(1) An annual summary of the findings of the peer review committee shall be prepared by the committee and submitted to the board.

(2) The report shall be made available to interested persons upon request and upon payment of the cost of reproduction.

(3) A report or summary submitted to the public by the board shall not disclose the name or identity of any patient without the patient's consent.

History

RELATES TO: KRS 312.200
STATUTORY AUTHORITY: KRS 312.015, 312.019, 312.200
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.200 requires the board to appoint a peer review committee and establish procedures and fees for the review of submitted claims. This administrative regulation establishes fees and procedures pertaining to the peer review committee.
History: 16 Ky.R. 94; Am. 345; 535; eff. 10-8-1989; 40 Ky.R. 1417; 2123; eff. 3-20-2014; 47 Ky.R. 789, 1380; eff, 2-4-2021; 49 Ky.R. 1983; eff. 9-27-2023.

201 KAR 21:085 Preceptorship Program {#sec-201-kar-21-085 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:085}

Section 1. Requirements of Preceptor. A preceptor shall:

(1) Be approved by the Kentucky State Board of Chiropractic Examiners for participation;

(2) Have a current Kentucky license that is active and in good standing;

(3) Have been in practice for five (5) years or more in Kentucky;

(4) Provide evidence of malpractice insurance;

(5) Be of good moral character, proof of which shall be evidenced by at least three (3) letters of reference from persons outside the licensee's family;

(6) Not practice while impaired by alcohol or narcotics;

(7) Have not been found in violation of a requirement of 201 KAR Chapter 21, other than for a minor advertising violation, for the preceding two (2) years and have no present investigations (including during a term as preceptor) for possible violations; and

(8) Comply and be qualified as applicable. The board shall encourage development of ex-tension faculty designation for all preceptors approved by the colleges or university.

Section 2. Preceptor Relationship with College or University and Intern.

(1) The preceptor shall make a joint application to the board and the college or university.

(2) The preceptor shall arrange or confer with the college or university representative prior to the beginning date of each session to plan the program duration, organization, and substance.

(3) The preceptor shall maintain any records and reports related to the student's performance in compliance with the standards established by the Council on Chiropractic Education and the college or university the student attends.

(4)

(a) The preceptor may request the college or university to withdraw any student whose performance is unsatisfactory or whose health status prevents the student's successful completion of the practicum education assignment.

(b) A statement, in writing, of the reason for that action shall be provided by the preceptor to the college, university, or student upon request.

(5) The preceptor shall not be liable for the payment of any wage, salary, or compensation of any kind for services properly required of and performed by an intern.

(6) The preceptor shall provide the college or university with a written code of ethics that applies to the preceptor's office.

(7) The preceptor shall ensure that interns shall be allowed to perform only those duties that are lawful and ethical in the practice of chiropractic.

(8)

(a) The preceptor shall assume the risk of any accident or injury to any intern while on preceptor's premises, which shall include working areas.

(b) The preceptor shall maintain premises liability insurance.

Section 3. Requirements of Intern.

(1) The intern shall submit a fee of $200 to the board for each semester he or she is participating in the preceptorship program.

(2) The intern shall remain in good standing academically and demonstrate an acceptable level of performance, both quantitatively and qualitatively, in the college or university outpatient clinic.

(3) The intern shall complete, sign, and submit all application materials from the internship program to the college or university clinic director for verification and approval.

(4) The intern shall serve in the preceptorship program for a term established by the college or university for the purpose of augmenting his competence in all areas of chiropractic practice.

(5) The intern shall provide both the college or university and the preceptor with a current telephone number and address.

(6) The intern shall be responsible for following all reasonable and lawful policies and procedures of the preceptor's office.

(7) The intern shall be responsible for providing and wearing professional attire.

(8) The intern shall be responsible for his own transportation and living arrangements.

(9) The intern shall report to the preceptor on time.

(10) The intern shall not submit for publication any material relating to his preceptorship without prior written approval of the preceptor and the college or university.

(11) The intern shall make reports as required by the Council on Chiropractic Education and the college or university under which the preceptorship is conducted.

(12) The intern shall provide evidence of professional liability insurance from the college or university.

(13) The intern shall respond to any inquiry by the board within twenty (20) days.

History

RELATES TO: KRS 312.019(9)(h), 312.085(2)
STATUTORY AUTHORITY: KRS 312.019(9), 312.085(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9)(h) and 312.085(2) authorize the board to establish a preceptorship program through which students at accredited colleges and universities may work at the direction and under the supervision of a licensed doctor of chiropractic prior to graduation. This administrative regulation establishes the preceptorship program.
History: 16 Ky.R. 96; Am. 346; eff. 9-2-1989; 32 Ky.R. 1743; 33 Ky.R. 1073; eff. 10-18-2006; 40 Ky.R. 1419; 2124; eff. 3-20-2014; 47 Ky.R. 791, 1381; eff. 2-4-2021.

201 KAR 21:090 Pre-chiropractic education requirements {#sec-201-kar-21-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:090}

Section 1. Pre-chiropractic Education. An applicant for licensure shall have satisfactorily completed, prior to attending chiropractic college, and as a part of the applicant's required minimal sixty (60) semester credit hours of pre-chiropractic education, the course of instruction established and required by the Council on Chiropractic Education.

History

RELATES TO: KRS 312.019, 312.085
STATUTORY AUTHORITY: KRS 312.019(2), (9)(h), 312.085(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(2) requires the board to pass upon the qualifications of applicants for a license to practice chiropractic. KRS 312.019(9) (h) and 312.085(2) authorize the board to establish by administrative regulation a two (2) year pre-chiropractic course of instruction to be completed prior to entry into chiropractic college. This administrative regulation establishes that course of instruction.
History: 16 Ky.R. 97; Am. 347; eff. 9-2-1989; 35 Ky.R. 2796; 36 Ky.R. 568; eff. 9-16-2009; 41 Ky.R. 2026; eff. 7-15-2015; 48 Ky.R. 109; eff. 11-23-2021.

201 KAR 21:095 Licensure, registration, and standards of persons performing peer review {#sec-201-kar-21-095 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:095}

Section 1. Requirements for Licensure and Registration. A person performing chiropractic peer review shall:

(1) Hold a current active license to practice chiropractic within the Commonwealth of Kentucky;

(2)

(a) For the first year that a person seeks to register to perform peer review, have previously successfully completed a course consisting of a minimum of 100 hours of utilization review and independent medical examination from a chiropractic college or university accredited by the Council on Chiropractic Education; and

(b) For each year thereafter that a person seeks to register to perform peer review, have completed six (6) hours of continuing education in topics specifically related to utilization review and approved by the board to meet this requirement; and

(3) Register annually with the board, by June 1 of each year, by:

(a) Presenting evidence of satisfactory compliance with the requirements established in this section and of having met the education requirements of KRS 312.175;

(b) Completing the Application for Chiropractic Peer Reviewer; and

Section 2. In performing peer review activities, a licensee shall:

(1) Render the actual review service and documented report;

(2) Personally retain a copy of all records associated with each peer review case for a minimum of seven (7) years;

(3) Employ minimum standards associated with the practice of chiropractic and comply with the code of ethical conduct established in 201 KAR 21:015;

(4) Provide a report that includes the rationale for the determination in order that the licensee provider is given adequate information to appeal;

(5) Sign all reports, unless the review is performed under the Kentucky Chiropractic Board of Examiners Peer Review Committee, in which case, the board's administrator or designee shall sign the determination;

(6) Review in accordance with accepted standards as defined in 201 KAR 21:001;

(7) Review thoroughly and rely on all documents provided to the reviewer;

(8) List in the resulting report all documents provided to the reviewer and list all documents reviewed; and

(9) Personally conduct the review and prepare the report.

Section 3. Complaint Procedure Related to Peer Reviewers. A complaint against a peer reviewer alleging a violation of this administrative regulation or any other provision of KRS Chapter 312 or 201 KAR Chapter 21 shall be filed and processed according to the procedure established in 201 KAR 21:051.

Section 4. Incorporation by Reference.

(1) "Application for Chiropractic Peer Reviewer", DPL-KBCE-02, March 2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Chiropractic Examiners, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:00 p.m. This material is also available on the board's Web site at www.kbce.ky.gov.

History

RELATES TO: KRS 312.175, 312.200(3)
STATUTORY AUTHORITY: KRS 312.019(9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9) authorizes the board to promulgate administrative regulations consistent with KRS Chapter 312 governing the practice of chiropractic. KRS 312.200(3) requires that persons performing peer review of chiropractic claims be licensed by the board, complete annually a board approved utilization review course, and annually register with the board and pay a registration fee. This administrative regulation establishes the requirements for the licensure, review course, registration, and registration fee for persons to perform peer review services.
History: 19 Ky.R. 1934; Am. 2238; eff. 3-17-1993; 35 Ky.R. 2126; 2770; 36 Ky.R. 29; eff. 7-31-2009; 40 Ky.R. 1421; eff. 3-20-2014; 47 Ky.R. 134, 951; eff. 11-19-2020; 49 Ky.R. 1985; 50 Ky.R. eff. 9-27-2023.

201 KAR 21:100 Minimum standards for recordkeeping or itemized statements {#sec-201-kar-21-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:100}

Section 1. Office Visits; Recordkeeping.

(1) The patient's records shall include the initial history, exams, re-exams, diagnosis, update diagnosis, standing orders or plan of care (updated as needed or at re-exam ), and appropriate diagnostic and imaging studies. This information shall be legibly recorded in the patient's records and properly identified.

(2) Legible documentation, whether electronically generated, computer generated, typewritten, or hand written, shall record each visit, and shall include:

(a) Date of the visit;

(b) Patient name, symptoms and findings, comment and interval history, if any;

(d) Additional pertinent comments, instructions, or orders;

(e) The treating doctor's name; and

(f) The name and relationship to the patient of any other person present during any portion of the examination.

Section 2. Requests for Records. Requests for office records, or itemized statements, including dates, services and fees, shall be honored within ten (10) business days of receipt of the request.

Section 3. Record Maintenance. All patient records shall be maintained for a minimum of seven (7) years.

History

RELATES TO: KRS 312.019(9)(j)
STATUTORY AUTHORITY: KRS 312.019
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.019(9)(j) authorizes the board to promulgate administrative regulations to establish minimum standards for recordkeeping and issuance of itemized statements. This administrative regulation establishes standards for recordkeeping and issuance of itemized statements.
History: 19 Ky.R. 1243; Am. 1532; eff. 12-16-1992; 32 Ky.R. 1745; 33 Ky.R. 1075; eff. 10-18-2006; 40 Ky.R. 1423; eff. 3-20-2014; 48 Ky.R. 110; eff. 11-23-2021.

201 KAR 21:105 Telehealth chiropractic services {#sec-201-kar-21-105 omnilex-key=us-ky-regs-official--title-201--201 KAR 21:105}

Section 1. Definitions.

(1) "Client" means the person receiving the services of the chiropractor.

(2) "Telehealth" is defined by KRS 211.332(5) and 312.220(3).

(3) "Telehealth chiropractic services " means the practice of chiropractic as defined by KRS 312.220(3), between the chiropractor and the patient that is provided, using:

(a) Interactive audio, video, or other electronic media; or

(b) Electronic media for diagnosis, consultation, treatment, and transfer of health or medical data.

Section 2. Client Requirements. A practitioner-patient relationship may commence via telehealth. An in-person initial meeting shall not be required unless the provider determines it is medically necessary to perform those services in person as set forth in KRS 211.336(2)(a). A licensed health care practitioner may represent the client at the initial meeting. A credential holder using telehealth to deliver chiropractic services shall, upon initial contact with the client:

(1) Make attempts to verify the identity of the client;

(2) Obtain alternative means of contacting the client other than electronically such as by the use of a telephone number or mailing address;

(3) Provide to the client alternative means of contacting the credential holder other than electronically such as by the use of a telephone number or mailing address;

(4) Provide contact methods of alternative communication the credential holder shall use for emergency purposes such as an emergency on call telephone number;

(5) Document if the client has the necessary knowledge and skills to benefit from the type of telehealth provided by the credential holder;

(6) Use secure communications with clients, including encrypted text messages via e-mail or secure Web sites, and not use personal identifying information in non-secure communications;

(7) In accordance with KRS 312.220(1)(a) and 900 KAR 12:005, Section 2(3), obtain the informed consent of the client; and

(8) Inform the client in writing about:

(a) The limitations of using technology in the provision of telehealth chiropractic services;

(b) Potential risks to confidentiality of information, or inadvertent access of protected health information, due to technology in the provision of telehealth chiropractic services;

(d) When and how the credential holder will respond to routine electronic messages;

(e) In what circumstances the credential holder will use alternative communications for emergency purposes;

(f) Who else may have access to client communications with the credential holder;

(g) How communications may be directed to a specific credential holder;

(h) How the credential holder stores electronic communications from the client; and

(i) How the credential holder may elect to discontinue the provision of services through telehealth.

Section 3. Competence, Limits on Practice, Maintenance, and Retention of Records. A credential holder using telehealth to deliver telehealth chiropractic services shall:

(1) Limit the practice of telehealth chiropractic services to the area of competence in which proficiency has been gained through education, training, and experience;

(2) Maintain current competency in the practice of telehealth chiropractic through continuing education, consultation, or other procedures, in conformance with current standards of scientific and professional knowledge;

(3) Document the client's presenting problem, purpose, or diagnosis;

(4) Follow the record-keeping requirements of 201 KAR 21:100;

(5) Use methods for protecting health information, which shall include authentication and encryption technology as required by KRS 211.332(5)(c) and 312.220(1)(b); and

(6) Ensure that confidential communications obtained and stored electronically shall not be recovered and accessed by unauthorized persons when the credential holder disposes of electronic equipment and data.

Section 4. Compliance with Federal, State, and Local Law. A credential holder using telehealth to deliver telehealth chiropractic services shall:

(1) Maintain patient privacy and security in accordance with 900 KAR 12:005, Section 2(2);

(2) Comply with Section 508 of the Rehabilitation Act, 29 U.S.C. 794(d), to make technology accessible to a client with disabilities;

(3) Be licensed or otherwise authorized by law to practice chiropractic where the client is physically present; and

(4) Comply with applicable state laws and administrative regulations if the credential holder provides telehealth services from a location outside of Kentucky.

Section 5. Representation of Services and Code of Conduct. A credential holder using telehealth to deliver chiropractic services or who practices telehealth chiropractic:

(1) Shall not engage in false, misleading, or deceptive advertising of telehealth chiropractic services;

(2) Shall comply with the code of ethical conduct and standards of practice established in 201 KAR 21:015;

(3) Shall not allow fee-splitting through the use of telehealth chiropractic services in compliance with KRS 312.220(2)(b); and

(4) Shall conform to KRS Chapter 312 and 201 KAR 21:001 through 21:105 governing the provision of chiropractic services in Kentucky and in consideration of the scope of practice relating to chiropractic.

Section 6. A person holding a license as a chiropractor who provides telehealth services to a person physically located in Kentucky shall be subject to the laws and administrative regulations governing chiropractic services in Kentucky.

History

RELATES TO: KRS 211.332, 211.334, 211.335, 211.336, 312.019, 312.220, 29 U.S.C. 794(d)
STATUTORY AUTHORITY: KRS 211.332, 211.336, 312.220
NECESSITY, FUNCTION, AND CONFORMITY: KRS 312.220(2) requires the board to promulgate administrative regulations in accordance with KRS Chapter 13A to implement and as necessary to: (a) Prevent abuse and fraud through the use of telehealth services; (b) Prevent fee-splitting through the use of telehealth services; and (c) Utilize telehealth in the provision of chiropractic services and in the provision of continuing education. KRS 312.220(1) requires that a treating chiropractor utilizing telehealth ensures the patient's informed consent and maintains confidentiality. KRS 211.336 establishes requirements for a state agency that promulgates administrative regulations relating to telehealth. This administrative regulation establishes the requirements for telehealth for chiropractic services.
History: 49 Ky.R. 2032; 50 Ky.R. 641; eff. 9-27-2023.

Chapter 22 Board of Physical Therapy

201 KAR 22:001 Definitions for 201 KAR Chapter 22 {#sec-201-kar-22-001 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:001}

Section 1. Definitions.

(1) "Board" is defined by KRS 327.010(3).

(2) "CAPTE" means Commission on Accreditation in Physical Therapy Education.

(3) "Credential" means the license or certificate issued by the board authorizing a person to practice physical therapy.

(4) "Credential holder" means a licensed physical therapist or certified physical therapist assistant who has met all requirements for credentialing in 201 KAR 22:020 and has been credentialed by the board.

(5) "Credentialing" means the process of licensing or certifying an applicant by the board.

(6) "Direct supervision" means:

(a) The physical therapist or physical therapist assistant:

Is immediately available to direct and supervise tasks that are related to direct patient care; and
Provides line of sight direction and supervision the majority of the time per visit for each patient when these tasks are performed; and

(b) Supervision is not provided by electronic communication.

(7) "Electronic communication" means:

(a) Any transfer of signs, signals, writing, images, sounds, data, information, or intelligence of any nature transmitted by computer or via the internet in whole or in part by a wire, radio, electromagnetic, photo-electronic, or photo-optical system; and

(b) The science and technology of the exchanging of information over any distance by electronic transmission of impulses including activities that involve using electronic communications to store, organize, send, retrieve, or convey information.

(8) "Endorsement" means a method of application which is utilized by an applicant credentialed by another jurisdiction.

(9) "Examination" means a board-approved examination that an applicant successfully passes as a requirement for credentialing.

(10) "Full time" means employment for forty (40) hours a week.

(11) "Inactive status" means a credential that is inactive and the credential holder is not engaged in the practice of physical therapy.

(12) "Jurisdiction" means a licensing authority in a state or territory of the U.S.

(13) "NPTE" means the National Physical Therapy Examination for physical therapists and physical therapist assistants.

(14) "On-site supervision" means immediate physical accessibility within the same building.

(15) "Patient" means any person for whom physical therapy is provided.

(16) "Physical therapist" is defined by KRS 327.010(2).

(17) "Physical therapist assistant" means a skilled health care worker certified by the board who performs physical therapy and related duties as assigned by the supervising physical therapist.

(18) "Physical therapist student" or "physical therapist assistant student" means a person who meets the requirements of KRS 327.050(10)(a).

(19) "Physical therapy" is defined by KRS 327.010(1).

(20) "Physical therapy student services" means services provided by a physical therapist student or physical therapist assistant student, as part of the student's educational program, and are considered as provided by the supervising physical therapist or physical therapist assistant.

(21) "Reinstatement of a credential" means a renewal of a license that has lapsed.

(22) "Sexual Misconduct" includes but is not limited to:

(a) engaging in sexual conduct, sexual contact, or soliciting a sexual relationship with a current patient, whether consensual or nonconsensual; or

(b) intentionally exposing or viewing a completely or partially disrobed patient in the course of treatment if the exposure or viewing is not related to patient diagnosis or treatment under current practice standards.

(23) "Sexual Harassment" means behavior characterized by the making of unwelcome and inappropriate sexual remarks, communications (whether in person or via any electronic or other means), or physical advances.

(24) "Supervising physical therapist" means the physical therapist who is supervising the care of a patient who is being treated by a physical therapist assistant or supportive personnel.

(25) "Supportive personnel" means a person assisting in the provision of direct physical therapy patient care who is not credentialed by the board and is not a physical therapist student or physical therapist assistant student.

(26) "Telehealth" is defined by KRS 327.200(3).

(27) "Telephysical therapy" means physical therapy between the credential holder and the patient who are not at the same physical location using interactive, secure, synchronous audio, and synchronous videoconferencing technology.

(28) "Verification" means the process of verifying a lawful credential.

History

RELATES TO: KRS 327.010, 327.050, 327.200
STATUTORY AUTHORITY: KRS 327.040(11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the Kentucky Board of Physical Therapy to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327 pertaining to the practice and credentialing of physical therapists and physical therapist assistants. This administrative regulation establishes the definitions for 201 KAR Chapter 22.
History: 31 Ky.R. 889; 1062; eff. 1-4-2005; 39 Ky.R. 826; eff. 12-11-2012; 40 Ky.R. 2197; 2420; eff. 6-6-2014; Crt eff. 6-4-2018; 49 Ky.R. 2266, 2726; eff. 7-20-2022.

201 KAR 22:010 Objectives of physical therapy {#sec-201-kar-22-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:010}

Section 1. Goals of the patient-physical therapy team includemaintaining health, preserving functional capacity, and in the presence of impairment, developing or reestablishing function through carefully planned, and implemented programs. To reach these objectives, the physical therapist provides consultation, evaluates patients, identifies problems, plans programs, and provides direct treatment.

Section 2. Patient Management. Adequate, effective, and efficient patient care is the ultimate goal of physical therapy. The physical therapist evaluates each patient, and determines those ways in which they can contribute to total health management. The physical therapist then plans and implements a treatment program, reevaluating and making modifications as necessary. A physical therapist shall refer to the appropriate licensed healthcare professional any patient whose medical condition should, at the time of evaluation or treatment, be determined to be beyond the scope of practice of the physical therapist. When basis for treatment is referral, the physical therapist may confer with the referring licensed healthcare professional.

History

RELATES TO: KRS 327.010
STATUTORY AUTHORITY: KRS 327.040
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(12) requires the board to promulgate administrative regulations to establish standards of practice. The practice of physical therapy is rapidly evolving and changing in purpose and scope. The purpose of this administrative regulation is to define clearly the desired goals of physical therapy and the permissible means of achieving these goals. This administrative regulation establishes the standards of physical therapy practice and may be used to evaluate particular treatments which have been used or which may later evolve.
History: 201 KAR 022:010. 2 Ky.R. 76; eff. 9-10-1975; 7 Ky.R. 310; 442; eff. 11-6-1980; 11 Ky.R. 734; eff. 12-11-1984; 13 Ky.R. 901; eff. 12-2-1986; Crt eff. 6-4-2018; Crt eff. 3-3-2025; 52 Ky.R. 1898, 202; eff. 8-18-2026.

201 KAR 22:020 Eligibility and credentialing procedure {#sec-201-kar-22-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:020}

Section 1. An application shall be accepted for credentialing as a physical therapist or physical therapist assistant based on successful completion by the applicant of one (1) of the following processes:

(1) Examination;

(2) Endorsement; or

(3) Reinstatement.

Section 2. Examination Candidate.

(1) To be eligible for the examination, the applicant for licensure as a physical therapist shall:

(a) Have successfully completed the academic and clinical requirements of a physical therapist program accredited by CAPTE;

(b) Submit certification of completion by the educational administrator of that program;

(d) Submit a complete Application for Credentialing that includes a photo taken within one (1) year;

(e) Submit the correct, nonrefundable fee as required in 201 KAR 22:135;

(f) Submit to the board a completed nationwide criminal background check as required by KRS 327.310 with the background investigation completed no later than six (6) months prior to the date of the filing of the application;

(g) If applicable, submit on an Applicant Special Accommodations Request Form a request for a reasonable accommodation in testing due to a documented disability; and

(h) Register for the NPTE examination.

(2) To be eligible for the examination, the applicant for certification as a physical therapist assistant shall:

(a) Have successfully completed the academic and clinical requirements of a physical therapist or physical therapist assistant program accredited by CAPTE; and

(b) Complete the requirements of subsection (1)(b) through (h) of this section.

(3) After six (6) failed attempts at the physical therapist or physical therapist assistant examination, per exam level, in any jurisdiction, an applicant for licensure or certification shall not be eligible to register for any additional examinations.

Section 3. An applicant for credentialing who is registered for the examination in another jurisdiction shall:

(1) Meet the eligibility requirements of Section 2 of this administrative regulation; and

(2) Register with the FSBPT Score Transfer Service to have results submitted to Kentucky.

Section 4. To be eligible for a temporary permit, the candidate shall:

(1) Meet the qualifications of Section 2 or 3 of this administrative regulation, except for the retake provisions in Section 2(3) of this administrative regulation;

(2) Complete a Supervisory Agreement for Applicant with Temporary Permit with one (1) or more physical therapists; and

(3) Have not failed either the physical therapist or physical therapist assistant examination in any jurisdiction.

Section 5.

(1) Upon issuance of a temporary permit, the physical therapist or physical therapist assistant applicant shall practice only under the supervision of a physical therapist currently engaged in the practice of physical therapy in Kentucky who:

(a) Has practiced in Kentucky for more than one (1) year; and

(b) Has an unrestricted license.

(2) A supervising physical therapist:

(a) Shall be on-site at all times during the practice of the applicant with a temporary permit;

(b) Shall be responsible for the practice of physical therapy by the applicant with a temporary permit;

(c) Shall review, approve, date, and co-sign all physical therapy documentation by the applicant with a temporary permit;

(d) May designate an alternate supervising physical therapist who meets the qualifications of subsection (1)(a) and (b) of this section. The alternate supervising physical therapist shall sign and date written documentation of the acceptance of the responsibility as identified in paragraph (a) through (c) of this subsection; and

(e) Shall notify the board immediately if the supervisory relationship is terminated.

(3) The applicant with a temporary permit shall:

(a) Disclose the applicant's temporary credential status to all patients prior to initiating treatment;

(b) Sign documentation with temporary permit number and designation as required in 201 KAR 22:053, Section 5(5)(a) or (b); and

(4) The temporary permit shall expire the earlier of:

(a) Six (6) months from the date of issuance; or

(b) Notice of exam results by the board. A temporary permit holder who is registered for the examination in another jurisdiction shall register with the FSBPT Score Transfer Service to have results submitted to Kentucky within forty-eight (48) hours of the release of the exam results.

Section 6. A physical therapist applicant who meets the qualifications for physical therapy licensure by examination may become a special candidate for physical therapist assistant certification by examination.

Section 7. To be eligible for credentialing by endorsement, the applicant shall:

(1) Have successfully completed the academic and clinical requirements of a physical therapist or physical therapist assistant program accredited by CAPTE;

(2) Meet the requirements established in Section 2(1)(b) through (f) of this administrative regulation;

(3) Have successfully completed the NPTE or its equivalent, predecessor examination and register with the FSBPT Score Transfer Service to have results submitted to Kentucky:

(a) For any applicant who took the NPTE prior to July 1, 1993, the board may issue a credential to a physical therapist or physical therapist assistant who has a current unrestricted credential from another jurisdiction if that person meets all qualifications under KRS 327.050, 327.060, and this administrative regulation at the time of the applicant's initial credentialing; or

(b) After July 1, 1993, a passing score shall be the criterion referenced passing point recommended by the FSBPT set equal to a scaled score of 600;

(4) Have an active credential in this profession in another jurisdiction; and

(5) Have verification of credentials showing the credential has never been revoked, suspended, placed on probation, or is not under disciplinary review in another jurisdiction upon application.

Section 8. To be eligible for reinstatement, the applicant shall meet the requirements in 201 KAR 22:040.

Section 9. A credential issued by the board shall be in effect until March 31 of the next odd-numbered year.

Section 10. A foreign-educated physical therapist shall comply with the provisions of 201 KAR 22:070.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Credentialing", December 2011;

(b) "Supervisory Agreement for Applicant with Temporary Permit", January 2017; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Physical Therapy, 312 Whittington Parkway Suite 102, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material is also available on the board's website at pt.ky.gov.

History

RELATES TO: KRS 327.010, 327.050, 327.060, 327.075, 327.080, 327.310
STATUTORY AUTHORITY: KRS 327.040(1), (11), (13)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the Board of Physical Therapy to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. KRS 327.040(1) requires the board to determine if physical therapist applicants meet the qualifications and standards required by KRS Chapter 327. KRS 327.040(13) authorizes the board to promulgate administrative regulations regarding the qualifications for physical therapist assistants. This administrative regulation establishes the criteria for eligibility, methods, and procedures of qualifying for a credential to practice physical therapy in Kentucky.
History: 201 KAR 022:020. PTB-Rg-1-1; 2 Ky.R. 77; eff. 9-10-1975; 5 Ky.R. 809; eff. 6-6-79; 7 Ky.R. 310; 442; eff. 11-6-1980; 825; eff. 6-3-1981; 11 Ky.R. 735; eff. 12-11-1984; 18 Ky.R. 334; eff. 9-24-1991; 27 Ky.R. 2224; 2726; eff. 4-9-2001; 28 Ky.R. 1448; 1795; eff. 2-7-2002; 31 Ky.R. 995; 1236; eff. 1-19-2005; 33 Ky.R. 3436; eff. 8-16-2007; 34 Ky.R. 1795; eff. 3-19-2008; TAm eff. 3-19-2008; 35 Ky.R. 1856; 2213; eff. 5-1-2009; 37 Ky.R. 775; eff. 11-17-2010; 38 Ky.R. 657; 896; eff. 11-16-2011; 38 Ky.R. 1363; 1550; eff. 3-21-2012; 39 Ky.R. 1930; 2161; eff. 5-31-2013; 40 Ky.R. 2199; 2421; eff. 6-6-2014; 42 Ky.R. 1283; 1710; eff. 12-16-2015; 43 Ky.R. 1237, 1528; eff. 3-31-2017; 44 Ky.R. 556, 919; eff. 11-15-2017; 44 Ky.R. 2257, 2487; eff. 6-20-2018; 45 Ky.R. 418; eff. 11-2-2018; 45 Ky.R. 2755, 3057; eff. 5-31-2019; 48 Ky.R. 2501, 2960; eff. 7-20-2022; 52 Ky.R. 216, 710; eff. 11-12-2025.

201 KAR 22:035 Change of name and contact information {#sec-201-kar-22-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:035}

Section 1. If a physical therapist or a physical therapist assistant wishes to be credentialed in a name different from that in which the credential holder is originally or currently credentialed, the credential holder shall submit to the board a legal document that authorizes the change.

Section 2. A credential holder who changes employment, home address, email address, or telephone shall notify the board office in writing within thirty (30) days of change.

History

RELATES TO: KRS 327.040
STATUTORY AUTHORITY: KRS 327.040(11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the Board of Physical Therapy to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. This administrative regulation provides the mechanism for a credential holder to change the name under which originally credentialed and to keep the board apprised of the credential holder's contact information.
History: 7 Ky.R. 360; eff. 11-6-1980; 31 Ky.R. 808; 1063; eff. 1-4-2005; 39 Ky.R. 1932; 2163; eff. 5-31-2013; Crt eff. 6-4-2018; Crt eff. 3-3-2025.

201 KAR 22:040 Procedure for renewal or reinstatement of a credential for a physical therapist or physical therapist assistant {#sec-201-kar-22-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:040}

Section 1. A credential shall be renewed upon:

(1) Payment of the renewal fee established in 201 KAR 22:135 on or before March 31 of each odd numbered year. The fee shall be waived for renewal of license or certificate held by an active duty member of the Armed Forces as set forth in KRS 12.355;

(2) Submission of the completed Renewal Application or Reinstatement Application; and

(3) Verification of continued competence as established in 201 KAR 22:045.

Section 2. Credentials not renewed by the board by March 31 of each odd numbered year shall lapse.

Section 3.

(1) A credential holder who has a credential that has lapsed may, within three (3) years of the lapsed date, reinstate upon:

(a) Meeting the requirements of Section 1(2) of this administrative regulation for the current renewal period;

(b) Verification of having obtained within two (2) years prior to the date of submission of the completed Renewal Application or Reinstatement Application:

Thirty (30) hours of continued competency as established in 201 KAR 22:045, Section 2(1)(a)1, 2, and 3 and (c) for a physical therapist; or
Twenty (20) hours of continued competency as established in 201 KAR 22:045, Section 2(1)(b)1, 2, and 3 and (c) for a physical therapist assistant;

(d) Effective six (6) months after the board receives an Originating Agency Identification Number from the Federal Bureau of Investigation, submitting to the board a completed nationwide criminal background check as required by KRS 327.310 with the background investigation completed no later than six (6) months prior to the date of the filing of the Reinstatement Application. A criminal background check is not required if the Reinstatement Application is filed on or before May 15 of the same odd numbered year the applicant's credential lapsed.

(2) Continued competency hours submitted under subsection (1)(b) of this section for reinstatement shall satisfy the continued competency hours for the next renewal period as established in 201 KAR 22:045, Section 2(2) and (3).

Section 4. A credential holder who has a credential that has lapsed may, more than three (3) years of the lapsed date, reinstate upon:

(1) Meeting the requirements of Section 3 of this administrative regulation;

(2) Submission of all credentials from other jurisdictions since last renewal; and

(3) Completing the following requirements of the board if not holding a current credential from any other jurisdiction since last renewal:

(a) Submission of evidence of professional competency;

(b) An agreement to practice physical therapy under direct supervision not to exceed six (6) months;

(d) Any combination of paragraphs (a) through (c) of this subsection.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Renewal Application", July 2015; and

(b) "Reinstatement Application", July 2015.

History

RELATES TO: KRS 164.772, 327.050(8), (9), 327.070
STATUTORY AUTHORITY: KRS 327.040(10), (11), 327.310
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the Board of Physical Therapy to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. KRS 327.040(10) authorizes the board to promulgate administrative regulations establishing a measure of continued competency as a condition of license renewal. This administrative regulation establishes the requirements and procedures for the renewal and reinstatement of credentials.
History: 39 Ky.R. 77; eff. 9-19-2012; 40 Ky.R. 2612; 41 Ky.R. 31; eff. 8-1-2014; 42 Ky.R. 1285; 1712; eff. 12-16-2015; 44 Ky.R. 248, 920; eff. 11-15-2017; 44 Ky.R. 2257, 2487; eff. 6-20-2018; 45 Ky.R. 420; eff. 11-2-2018; Crt eff. 3-3-2025.

201 KAR 22:045 Continued competency requirements and procedures {#sec-201-kar-22-045 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:045}

Section 1. Definitions.

(1) "Contact hour" means a credit earned based on sixty (60) minutes of participation in a physical therapy-related activity.

(2) "Continued competency" means a planned learning experience relating to the scope of physical therapy practice, as defined by KRS 327.010(1), if the subject is intervention, examination, research, documentation, education, or management of a health care delivery system.

(3) "Jurisprudence Examination" means a board-provided open book tutorial on KRS Chapter 327 and 201 KAR Chapter 22.

Section 2.

(1) A credential holder applying for renewal shall have completed the continued competency requirements established in subsections (2) and (3) of this section during the preceding renewal period. Continued competency shall be based on contact hours awarded.

(a) For a physical therapist, the board shall require thirty (30) contact hours as a condition of licensure renewal. These hours shall be obtained as established in subparagraphs 1. through 3. of this paragraph.

Two (2) hours shall be awarded for the successful completion of the Jurisprudence Examination per biennium.
At least eighteen (18) hours shall be earned from Category 1 as established in subsection (2) of this section.
Hours may be earned from Category 2 and shall be as established in subsection (3) of this section. Hours earned from Category 2 over ten (10) hours shall not be awarded.

(b) For a physical therapist assistant, the board shall require twenty (20) contact hours as a condition of renewal. These hours shall be obtained as established in subparagraphs 1. through 3. of this paragraph.

Two (2) hours shall be awarded for the successful completion of the Jurisprudence Examination per biennium.
At least ten (10) hours shall be earned from Category 1 as established in subsection (2) of this section.
Hours may be earned from Category 2 and shall be as established in subsection (3) of this section. Hours earned from Category 2 over eight (8) hours shall not be awarded.

(2) Category 1 continued competency shall include:

(a) Completion of courses, seminars, workshops, symposia, or home study courses consisting of at least three (3) contact hours that have been approved by the board, the board's designee, the Federation of State Boards of Physical Therapy (FSBPT), another physical therapy licensing agency, or the American Physical Therapy Association (APTA) or its components;

(b) Completion of courses, seminars, workshops, symposia, or home study courses that have been produced and developed by the APTA or its components and consist of less than three (3) contact hours;

(c) Completion or auditing of an accredited postsecondary educational institution credit course meeting continued competency, which shall be awarded as:

Twelve (12) contact hours for each semester credit hour completed; and
Eight (8) contact hours for each quarter credit hour completed;

(d) Presentation of a continued competency course, workshop, seminar, or symposium that has been approved by the board or its designee. A maximum of three (3) contact hours for preparation may be awarded for each contact hour awarded to participants, with a maximum of two (2) events of the same course per biennium;

(e) Authorship of a research article, manuscript, or scientific paper, published in the biennium and related to physical therapy. Fifteen (15) contact hours shall be awarded per event with a maximum of two (2) events per biennium;

(f) A presented scientific poster or scientific platform presentation related to physical therapy. Ten (10) contact hours shall be awarded per event with a maximum of two (2) events per biennium;

(g) Teaching part of a physical therapy or physical therapist assistant credit course if that teaching is not the primary employment of the credential holder. A maximum of twenty (20) contact hours per biennium shall be awarded;

(h) American Board of Physical Therapy Specialties (ABPTS) certification. Twenty-eight (28) contact hours shall be awarded per biennium;

(i) ABPTS recertification or other certifications and recertifications within the scope of physical therapy practice. A maximum of twenty-eight (28) contact hours per biennium shall be awarded;

(j) Completion of a clinical residency program or clinical fellowship program. Not more than five (5) contact hours shall be awarded for each week of residency with a maximum of twenty-eight (28) contact hours per program per biennium;

(k) Engaging in the practice of physical therapy, as defined by KRS 327.010(1), at least 1,000 hours per biennium. Five (5) contact hours shall be awarded per biennium;

(l) Engaging in the instruction in a CAPTE-accredited physical therapy or physical therapist assistant program at least 1,000 hours per biennium. Five (5) contact hours shall be awarded per biennium;

(m) Appointment to the Kentucky Board of Physical Therapy. Four (4) contact hours shall be awarded per biennium;

(n) Election or appointment to a position with the APTA Kentucky, APTA, or FSBPT as an officer or committee chair. Four (4) contact hours shall be awarded per biennium;

(o) Being a member of a committee or task force for one (1) of the organizations in paragraph (m) or (n) of this subsection. One (1) contact hour shall be awarded per biennium;

(p) Completion of the APTA's PTA Advanced Proficiency Pathways Program (APP). A maximum of ten (10) contact hours shall be awarded in the biennium during which the certification or recertification of the APP is granted;

(q) Being a member of the APTA. One (1) contact hour shall be awarded per year and a maximum of two (2) contact hours per biennium; or

(r) Completion of the Healthcare Regulatory Research Institutes (HRRI) Healthy Practice Resource (HPR) modules. A maximum of six (6) contact hours shall be awarded in the biennium.

(3) Category 2 continued competency shall include:

(a) Self-instruction from reading professional literature. One (1) contact hour shall be awarded per biennium;

(b) Attendance at a scientific poster session, lecture, panel, or symposium other than as approved in Section 2(2) of this administrative regulation or other unapproved applicable courses. One (1) contact hour for each hour of credit shall be awarded up to a maximum of three (3) hours per course;

(c) Clinical instructor for a CAPTE-approved educational program or an APTA credentialed residency or fellowship program. Continued competency shall be one (1) contact hour per sixteen (16) hours of student supervision;

(d) Participation in a physical therapy in-service or study group consisting of two (2) or more physical therapists or physical therapist assistants. A maximum of two (2) contact hours shall be awarded per biennium;

(e) Participation in community service related to health care. One (1) contact hour for each hour of participation shall be awarded up to a maximum of two (2) hours per biennium;

(f) Participation as a mentor or mentee in a mentorship program developed by APTA KY. A maximum of two (2) contact hours shall be awarded per year and a maximum of four (4) contact hours per biennium; or

(g) Completion of other healthcare related courses (cardiopulmonary resuscitation initial certification or re-certification, Bloodborne pathogens courses). A maximum of two (2) contact hours shall be awarded per biennium.

(4) Documentation of compliance.

(a) Each licensee shall retain independently verifiable documentation of completion of all continued competency requirements of this administrative regulation for a period of at least two (2) years from the end of the biennium.

(b) The licensee shall, within thirty (30) days of a written request from the board, provide evidence of continued competency activities to the board.

(c) A licensee who fails to provide evidence of the continued competency activities or who falsely certifies completion of continued competency activities shall be subject to disciplinary action pursuant to KRS 327.070.

(5) Exemption and extension.

(a) A licensee shall be granted a temporary hardship extension for an extension of time, not to exceed one (1) renewal cycle, if the licensee:

Files a completed Exemption or Extension for Completion of Continued Competency Form by April 30 of the odd-numbered year in the renewal cycle for which the extension is sought. This plan shall include a description on how the required credits will be met; and
Submits documentation showing evidence of undue hardship by reason of the licensee's:

a. Disability;

b. Medical condition;

c. Financial condition; or

d. Other clearly mitigating circumstance.

(b) A licensee shall be granted a temporary nonhardship extension of time if the licensee cannot show undue hardship and if the licensee:

Files a completed Exemption or Extension for Completion of Continued Competency Form by March 31 of the odd-numbered year in the renewal cycle for which the extension is sought. This plan shall include a description on how the required credits will be met;
Pays a fee of $250;
Has not received a temporary nonhardship extension of time in the prior renewal cycle; and
Files proof of compliance with the continued competency requirements by the following July 1.

(c) A licensee on active military duty shall be granted an exemption from continued competency requirements as established in KRS 12.355.

Section 3. Incorporation by Reference.

(1) "Exemption or Extension for Completion of Continued Competency Form", June 2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable law, at the Kentucky Board of Physical Therapy, 312 Whittington Parkway, Suite 102, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the agency's website at: https://pt.ky.gov/education/Pages/Continued-Competency-.aspx.

History

RELATES TO: KRS 12.355, 327.010(1), (2), 327.070
STATUTORY AUTHORITY: KRS 327.040(10)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(10) authorizes the board to promulgate administrative regulations establishing a measure of continued competency as a condition of license renewal. This administrative regulation establishes continued competency requirements and procedures.
History: 201 KAR 022:045. 31 Ky.R. 890; 1064; eff. 1-4-2005; 1437; eff. 4-22-2005; 32 Ky.R. 2069; 33 Ky.R. 384; eff. 9-1-2006; 34 Ky.R. 1105; 1710; eff. 2-1-2008; 35 Ky.R. 2485; 36 Ky.R. 29; eff. 7-31-2009; 2209; 37 Ky.R. 34; eff. 7-21-2010; 38 Ky.R. 89; 10-19-2011; 38 Ky.R. 1638; 1840; eff. 6-1-2012; 39 Ky.R. 79; 459; eff. 9-19-2012; 40 Ky.R. 110; 531; eff. 9-18-2013; 43 Ky.R. 270, 533; eff. 10-19-2016; Crt eff. 6-4-2018; 48 Ky.R. 541, 1525; eff. 11-23-2021; 49 Ky.R. 2353; 50 Ky.R. 642 eff. 9-27-2023; 52 Ky.R. 606, 1119; eff. 1-22-2026.

201 KAR 22:052 Complaint procedure and disciplinary action of a credential holder or applicant {#sec-201-kar-22-052 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:052}

Section 1. Definitions.

(1) "Complaint Committee" means a committee of the board that:

(a) Reviews an initiating complaint;

(b) Determines whether an investigation should be conducted; and

(2) "Formal complaint" means a formal administrative pleading authorized by the board that sets forth a charge against a credential holder or applicant and commences a formal disciplinary proceeding under KRS Chapter 13B.

(3) "Initiating complaint" means any complaint that a person has allegedly violated the requirements of KRS Chapter 327 or the administrative regulations of the board.

(4) "Respondent" means the person against whom an initiating complaint or formal complaint has been made.

Section 2. Initiating Complaint.

(1) A complaint may be initiated by:

(a) A member of the public;

(b) or government agency; or

(2) An initiating complaint shall:

(a) Be made in writing to the board and signed by the complainant unless the nature of the initiating complaint alleges an immediate danger to the health, safety and welfare of the public; and

(b) Bear the date of the complaint.

(3) The board may, at any time, conduct an investigation on its own initiative without receipt of a written complaint if the board has reason to believe that there may be a violation of KRS Chapter 327 or the administrative regulations of the board.

(4) A certified copy of a court record for conviction of a misdemeanor or felony shall be considered a valid initiating complaint.

(5) An initiating complaint may be received by:

(a) A board member;

(b) The Office of the Attorney General; or

Section 3. Consideration of Initiating Complaint.

(1) Review of an initiating complaint shall take place:

(a) At the next regularly-scheduled meeting of the complaint committee; or

(b) As soon as practicable.

(2) The Complaint Committee:

(a) Shall:

Review the initiating complaint;
Determine if an investigation is warranted; and
If investigation is warranted, appoint one (1) of its members or an agent or representative of the board to conduct an investigation of the respondent.

(b) May be assisted by:

Board staff;
A board agent; or
The Office of the Attorney General.

(3) If there is reasonable cause to believe that a credential holder or applicant may be physically or mentally incapable of practicing physical therapy with reasonable skill and safety to clients:

(a) The board may order the credential holder or applicant to submit to an examination by a psychologist, physician, or certified alcohol and drug counselor designated by the board to determine the credential holder's or applicant's psychological or physical status to practice physical therapy.

(b) The expense of this examination may be incurred by the board.

(c) The board shall then consider the findings and conclusion of the examination and the final investigative report at its next regularly-scheduled meeting or soon thereafter.

(4) Notice to respondent.

(a) The board shall notify the respondent of the receipt of the initiating complaint and the essential contents of the initiating complaint. The board may keep the complainant's name confidential until completion of any board investigation.

(b) Respondent shall file a reply to the initiating complaint with the board within twenty (20) days after receipt of notice of the initiating complaint.

(c) Failure of the respondent to file a timely reply to the initiating complaint shall constitute a violation of a board order or administrative regulation and shall be grounds for disciplinary action under KRS 327.070(2)(k).

(5) Based on consideration of the initiating complaint and the investigative report, the board shall determine if there has been a prima facie violation upon summary and recommendation by the complaint committee. The members of the complaint committee shall not vote on this determination.

(6) If it is determined that the facts alleged constitute a prima facie violation, the board:

(a)

Shall issue a formal complaint, in accordance with KRS Chapter 13B, against the credential holder or applicant; and
May order that a written response be filed with the board; or

(b) If it is determined that there is a prima facie violation of KRS 327.020, shall proceed under KRS 327.040(2).

Section 4. Procedures for Disciplinary Hearings.

(1) All procedures for disciplinary hearings shall conform to KRS Chapter 13B.

(2) Testimony to be considered by the board, hearing panel, or hearing officer, if any, may be taken by deposition. A party or witness may be allowed to testify by deposition, rather than attend the hearing, upon a showing of inability to attend and a showing that other parties shall have an opportunity to cross-examine at said deposition. The presiding officer or hearing officer, if any, shall rule upon motions to allow testimony to be considered by deposition. Other depositions shall not be allowed.

(3) The presiding officer or hearing officer, if any, may order that at least five (5) days prior to the hearing, each party shall file a summary of each witness' expected testimony.

Section 5. Final Disposition.

(1) Upon reaching a decision, the board shall notify, in writing by certified mail, the complainant and respondent of its final disposition of the matter.

(2) The board shall make public:

(a) Its final order in a disciplinary action under KRS 327.070(1)(a)-(e) and (g).

(b) An action to restrain or enjoin the noncredentialed practice of physical therapy.

Section 6. Settlement by Informal Proceedings.

(1) The board through counsel and the complaint 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 chairman.

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

History

RELATES TO: KRS 327.020, 327.040, 327.070
STATUTORY AUTHORITY: KRS 327.040(2), (11), (14)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the board to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. KRS 327.040(14) authorizes promulgation of administrative regulations governing the physical and mental examination of credential holders or applicants who may be impaired by reason of a mental, physical, or other condition that impedes his or her ability to practice competently. KRS 327.040(2) authorizes the board to investigate every alleged violation and take action, as appropriate. This administrative regulation is necessary to establish the procedure for filing a complaint and the action to be taken by the board on a complaint and disciplinary action against a credential holder or applicant in violation of KRS 327.020.
History: 7 Ky.R. 864; eff. 6-3-1981; 11 Ky.R. 417; eff. 10-9-1984; 12 Ky.R. 217; eff. 9-10-1985; 13 Ky.R. 904; eff. 12-2-1986; 16 Ky.R. 2440; eff. 8-17-1990; 21 Ky.R. 1363; eff. 1-9-1995; 28 Ky.R. 917; 1356; eff. 12-19-2001; 29 Ky.R. 1308; eff. 1-15-2003; 31 Ky.R. 810; 1065; eff. 1-4-2005; Crt eff. 6-4-2018; Crt eff. 3-3-2025.

201 KAR 22:053 Code of ethical standards and standards of practice for physical therapists and physical therapist assistants {#sec-201-kar-22-053 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:053}

Section 1. Code of Ethical Standards.

(1) A physical therapist and a physical therapist assistant shall:

(a) Respect the rights and dignity of all patients;

(b) Practice within the scope of the credential holder's training, expertise, and experience;

(c) Ensure that all personnel involved in the delivery of physical therapy services are identified to the patient by name and title;

(d) Report to the board any reasonably suspected violation of KRS Chapter 327, KRS 367.4082, or 201 KAR Chapter 22 by a credential holder or applicant within thirty (30) days;

(e) Report to the board any civil judgment, settlement, or civil claim involving the credential holder's practice of physical therapy made against the credential holder relating to the credential holder's own physical therapy practice within thirty (30) days;

(f) Comply with the provisions of KRS 367.4082; and

(g) Cooperate with any board investigations.

(2) A physical therapist and a physical therapist assistant shall not:

(a) Verbally or physically abuse a client;

(b) Continue physical therapy services beyond the point of reasonable benefit to the patient, unless the patient consents in writing;

While that person is a patient or client of the physical therapist or physical therapist assistant; or
While that person is a patient of a health facility defined by KRS 216B.015 where the physical therapist or physical therapist assistant provides physical therapy services; or

(d) Lie, deceive, or mislead the board, its staff, investigators, or agents.

(3) A physical therapist or physical therapist assistant shall be solely responsible in regard to a relationship with a patient. A patient's initiation of a personal or sexual relationship shall not justify, excuse, or provide a defense for a violation of this section.

(4) Consensual sexual relationships established prior to the initial evaluation will not be subject to portions of this administrative regulation.

Section 2. Standards of Practice for the Physical Therapist. While engaged in the practice of physical therapy, a physical therapist shall:

(1) Perform screenings in order to:

(a) Provide information on a person's health status relating to physical therapy;

(b) Determine the need for physical therapy evaluation and treatment;

(d) Provide physical therapy services;

(2) Evaluate each patient prior to initiation of treatment;

(3) Upon receipt of a patient under an active plan of care from another physical therapist:

(a) Complete an evaluation in compliance with subsection (2) of this section and Section 5(2)(a)-(d) of this administrative regulation;

(b) Ensure the evaluation and plan of care from the other physical therapist is current and appropriate;

(d) Comply with reassessment requirements based on the date of the most recent evaluation;

(4) Reassess each patient in accordance with the following:

(a) Reassessing inpatients in either a hospital or comprehensive rehabilitation facility every fourteen (14) days;

(b) Reassessing every ninety (90) days, with the physical therapist assistant present, patients in:

A facility defined in 902 KAR 20:086 as an intermediate care facility (ICF) for the mentally retarded (MR) and developmentally disabled (DD); or
A school system.

a. A forty-five (45) day grace period shall be allowed upon transfer from another school district or from the start of the school year; and

b. During this grace period treatment may continue based upon the previous reassessment or evaluation;

(c) Reassessing each patient not otherwise noted every thirty (30) days following the last evaluation or subsequent reassessment; and

(d) Reassessing a patient whose medical condition has changed;

(5) Refer the patient to other professionals or services if the treatment or service is beyond the physical therapist's scope of practice;

(6) Be responsible for the physical therapy record of each patient;

(7) Be responsible for the plan of care until the patient is received by another physical therapist pursuant to subsection (3) of this section;

(8) Provide services that meet or exceed the generally accepted practice of the profession;

(9) Explain the plan of care to the patient and to others designated by the patient;

(10) Make it clear to the patient that the patient has the right to choose any qualified professional or equipment supplier if the physical therapist makes recommendations for those; and

(11) Disclose in writing to each patient any financial interest, compensation, or other value to be received by the referral source:

(a) For services provided by the physical therapist;

(b) For equipment rental or purchase; or

Section 3. Standards of Practice for the Physical Therapist Assistant. While engaged in the practice of physical therapy, the physical therapist assistant shall:

(1) Provide services only under the supervision and direction of a physical therapist;

(2) Refuse to carry out procedures that the assistant believes are not in the best interest of the patient or that the assistant is not competent to provide by training or skill level;

(3) Initiate treatment only after evaluation by the physical therapist;

(4) Upon direction from the physical therapist, gather data relating to the patient's disability, but not to determine the significance of the data as it pertains to the development of the plan of care;

(5) Refer to the physical therapist inquiries that require an interpretation of patient information related to rehabilitation potential;

(6) Comply with the plan of care established by the physical therapist;

(7) Communicate with the physical therapist any change or lack of change that occurs in the patient's condition that may indicate the need for reassessment; and

(8) Discontinue physical therapy services if reassessments are not done in compliance with Section 2(4) of this administrative regulation, and inform the supervising physical therapist.

Section 4. Standards for Supervision. While supervising the physical therapist assistant and supportive personnel, the physical therapist shall:

(1)

(a) At all times, including all work locations in all jurisdictions, be limited to supervising not more than four (4) physical therapist assistants or supportive personnel; and

(b) Abide by the maximum staffing ratio of physical therapists to physical therapist assistants or supportive personnel required in this section except that a maximum of seven (7) work days in a sixty (60) consecutive day period shall not constitute a violation of this standard;

(2) Provide direct supervision when supervising supportive personnel as defined by 201 KAR 22:001, Section 1(25), effective September 1, 2013;

(3) Not delegate procedures or techniques to the physical therapist assistant that are outside his or her scope of training, education, or expertise;

(4) Not delegate procedures or techniques to supportive personnel that are outside his or her scope of training, education, or expertise;

(a) Scope of training and competency for supportive personnel shall be documented and verified at least annually; and

(b) Documentation of training and competency shall be immediately available for review; and

(5) Be responsible for:

(a) Interpreting any referral;

(b) Conducting the physical therapy evaluation;

(d) Evaluating the competency of the physical therapist assistant and supportive personnel;

(e) Supervising the physical therapist assistant by being available and accessible by telecommunications during the working hours of the physical therapist assistant;

(f) Ensuring that if supportive personnel provide direct patient care that there is direct supervision as defined by 201 KAR 22:001, Section 1(6), effective September 1, 2013 by a physical therapist or physical therapist assistant;

(g) Ensuring that a physical therapy student fulfilling clinical education requirements shall receive on-site supervision by a physical therapist;

(h) Ensuring that a physical therapist assistant student fulfilling clinical education requirements shall receive on-site supervision of which eighty (80) percent may be by a credentialed physical therapist assistant;

(i) Establishing discharge planning for patients who require continued physical therapy; and

(j) Directing and being accountable for services rendered by physical therapist students or physical therapist assistant students, including documentation requirements in Section 5 of this administrative regulation.

Section 5. Standards for Documentation.

(1) The physical therapist shall be responsible for the physical therapy record of a patient. The physical therapy record shall include an evaluation and, as required, ongoing documentation and reassessment.

(2) An evaluation in the physical therapy record consists of a written or typed report signed and dated by the physical therapist who is performing the evaluation or who is supervising the physical therapist student performing the evaluation. The evaluation shall include:

(a) Pertinent medical and social history;

(b) Appropriate subjective and objective information;

(c) An assessment, which may indicate problems, interpretations, and a physical therapy diagnosis identifying the nature and extent of the patient's impairment; and

(d) The plan of care, which includes the:

Treatment; and
Measurable goals, including anticipated time frame of achievement.

(3) Ongoing documentation in the physical therapy record shall:

(a) Be completed at least weekly or, if treatment is less than weekly, at each patient visit;

(b) Be written or typed, signed, and dated:

By the physical therapist or physical therapist assistant rendering treatment;
By the supervising physical therapist or physical therapist assistant if treatment was rendered by a physical therapist student or physical therapist assistant student; or
By the physical therapist student or physical therapist assistant student rendering treatment if countersigned and dated by the supervising physical therapist; and

The treatment rendered since the last evaluation, ongoing documentation, or reassessment;
The patient's response to treatment; and
Appropriate subjective and objective information.

(4) The reassessment included in the physical therapy record for the revision or reaffirmation of the existing plan of care, or the establishment of a new plan of care shall be written or typed, signed, and dated by a physical therapist.

(a) The reassessment shall be in compliance with Section 2(4) of this administrative regulation.

(b) A reassessment shall include:

Subjective, objective, and medical information acquired by the physical therapist, physical therapist student, physical therapist assistant, or physical therapist assistant student;
An assessment in compliance with subsection (2)(c) of this section completed by the physical therapist or physical therapist student; and
A plan of care in compliance with subsection (2)(d) of this section completed by the physical therapist or physical therapist student.

(5) The correct designation following the signature of the person who has entered a statement into the patient record shall be as follows:

(a) If written by a physical therapist: "PT". Appropriate designations for advanced physical therapy degrees may follow "PT";

(b) If written by a physical therapist assistant: "PTA";

a. "PT Aide"; or

b. "Physical Therapy Aide"; or

"PT Tech"; and

(d) If written by a student:

a. "Physical Therapist Student"; or

b. "PT Student"; or

a. "Physical Therapist Assistant Student"; or

b. "PTA Student".

Section 6. Appointment of Fees. Unless prohibited by law, all members of a business entity shall be allowed to pool or apportion fees received in accordance with a business agreement.

History

RELATES TO: KRS 327.040, 327.070
STATUTORY AUTHORITY: KRS 327.040(11), (12), (13), 367.4082
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(12) requires the Board of Physical Therapy to promulgate by administrative regulation a code of ethical standards and standards of practice for physical therapists and physical therapist assistants. This administrative regulation establishes those standards which, if violated, are a basis for disciplinary action under KRS 327.070.
History: 16 Ky.R. 2616; 17 Ky.R. 34; 1350; eff. 8-17-1990; 18 Ky.R. 1379; eff. 1-10-1992; 28 Ky.R. 132; 559; eff. 9-10-2001; 31 Ky.R. 811; 1067; eff. 1-4-2005; 35 Ky.R. 1859; 2215; eff. 5-1-2009; 36 Ky.R. 1305; 2047-M; eff. 4-2-2010; 37 Ky.R. 776; 1184; eff. 11-17-2010; 38 Ky.R. 91; eff. 10-19-2011; 1467; 1701; eff. 5-4-2012; 39 Ky.R. 827; 1113; eff. 12-11-2012; TAm eff. 11-16-2016; 43 Ky.R. 1240; 1940; eff. 6-2-2017; Crt eff. 6-4-2018; 49 Ky.R. 2267, 2727; eff. 7-20-2022; 49 Ky.R. 627, 1252; eff. 1-12-2023; 50 Ky.R. 877; eff. 1-18-2024.

201 KAR 22:070 Requirements for foreign-educated physical therapists and physical therapist assistants {#sec-201-kar-22-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:070}

Section 1. A foreign-educated physical therapist applicant shall be credentialed if the applicant:

(1) Complies with the requirements of KRS 327.060(1)(b);

(2) In accordance with KRS 327.060(1)(b), meets the following requirements:

(a) Furnishes the board a favorable educational credentials evaluation report from a credentialing agency that uses the appropriate edition of the "Coursework Tool" (CWT) copyrighted by the Federation of State Boards of Physical Therapy (FSBPT). An academic deficiency in general education coursework identified by the CWT shall be satisfied by the applicant through submission of evidence identifying one (1) of the following:

Completion of appropriate coursework at a regionally accredited academic institution;
Continuing education in a course approved by the board; or
Submission of a portfolio including a detailed resume and description of relevant work experience approved by the board;

(b) Shows proof of English Language Proficiency by:

A score of not less than fifty (50) on the Test of Spoken English (TSE);
Verification that the applicant has achieved the following minimum scores for each category of the Test of English as a Foreign Language, TOEFLE Internet-based test (TOEFL IBT):

a. Writing, four point three (4.3);

b. Speaking, four point three (4.3);

c. Listening, four point three (4.3);

d. Reading, four point three (4.3); and

e. With an overall score of not less than four point three (4.3);

Verification that English is the native language of the country of origin; or
Other English proficiency exam approved by the Board.

(d) Completes the Jurisprudence Exam;

(e) Obtains a passing score on the National Physical Therapy Examination (NPTE). The requirements of 201 KAR 22:020, Section 2(3) shall be applicable to examination candidates; and

(f) Has successfully completed a minimum of three (3) months and no more than six (6) months of practice under the on-site supervision of a physical therapist credentialed under KRS Chapter 327 at a Kentucky facility previously approved by the board that satisfies the following requirements:

The supervised practice shall be a minimum of 390 hours in a three (3) month period, in a facility that is serving as a clinical education site for students enrolled in a program in physical therapist education accredited by the Commission on Accreditation in Physical Therapy Education (CAPTE);
The applicant shall furnish the board a favorable evaluation of on-site supervision performed by a clinical supervisor who utilizes the "Performance Evaluation Tool for Foreign Educated Therapists Completing a Supervised Clinical Practice in the United States" copyrighted by FSBPT. The clinical supervisor shall submit the evaluation to the board after three (3) months of practice, and if required, after the sixth (6th) month, when the required score denoting clinical competency shall have been reached;
The supervising physical therapist shall, within the three (3) years prior to serving as a supervisor, have previously acted as clinical supervisor for a physical therapist student as part of a CAPTE accredited program; and
The supervisor shall countersign all of the candidate's physical therapy records within fourteen (14) days; and

(3) Submits to the Board a completed nationwide criminal background check as required by KRS 327.310 with the background investigation completed no later than six (6) months prior to the date of the filing of the application.

Section 2. Temporary Permits for Foreign-educated Physical Therapist Applicants.

(1) An applicant who has not satisfactorily completed three (3) months of supervised practice as a physical therapist shall be issued a temporary permit to complete Section 1(2)(f) of this administrative regulation if the applicant has:

(a) Completed the requirements of Section 1(2)(a) through (e) of this administrative regulation; and

(b) Submitted an approved Supervisory Agreement for Physical Therapists Educated in a Foreign Country.

(2) The temporary permit shall be revoked if the applicant has not satisfactorily completed the supervised practice within a six (6) month period.

Section 3.

(1) A foreign-educated physical therapist assistant applicant shall be credentialed if the applicant has:

(a) Completed the application process;

(b) Provided written proof that the education institution in which the applicant received his or her education to be a physical therapist assistant is recognized by its own ministry of education;

(d) Provided proof of authorization to practice as a physical therapist assistant without limitations in the country where the professional education occurred;

(e) Furnished the board a favorable educational credentials evaluation report from a credentialing agency that uses the appropriate edition of the "Coursework Tool" (CWT) copyrighted by the Federation of State Boards of Physical Therapy (FSBPT). An academic deficiency in general education coursework identified by the CWT shall be satisfied by the applicant through submission of evidence identifying one (1) of the following:

Completion of appropriate coursework at a regionally accredited academic institution;
Continuing education in a course approved by the board; or
Submission of a portfolio including a detailed resume and description of relevant work experience approved by the board;

(f) Shows proof of English Language Proficiency by:

A score of not less than fifty (50) on the Test of Spoken English (TSE);
Verification that the applicant has achieved the following minimum scores for each category of the Test of English as a Foreign Language, TOEFLE Internet-based test (TOEFL IBT):

a. Writing, four point three (4.3);

b. Speaking, four point three (4.3);

c. Listening, four point three (4.3);

d. Reading, four point three (4.3); and

e. With an overall score of not less than four point three (4.3);

Verification that English is the native language of the country of origin; or
Other English proficiency exam approved by the Board.

(g) Submits a satisfactorily-completed application and appropriate fee as required by 201 KAR 22:020 and 201 KAR 22:135;

(h) Completes the Jurisprudence Exam;

(i) Obtains a passing score on the National Physical Therapy Examination (NPTE); and

(j) Completes the requirements of Section 1(3) of this administrative regulation.

(2) To be eligible for a temporary permit, a foreign-educated Physical Therapist Assistant applicant shall complete the requirements of 201 KAR 22:020, Sections 4 and 5.

Section 4. Incorporation by Reference.

(1) The "Supervisory Agreement for Physical Therapists Educated in a Foreign Country", August 2017, is incorporated by reference.

(3) This material is also available on the board's Web site at pt.ky.gov/Forms/Pages/Foreign-Educated-Applicant-.aspx.

History

RELATES TO: KRS 327.050, 327.060
STATUTORY AUTHORITY: KRS 327.040(1), (11), (13), 327.060(3), 327.310
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the Board of Physical Therapy to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. KRS 327.040(13) authorizes the board to promulgate and enforce reasonable administrative regulations regarding certification, limitations of activities, supervision, and educational qualifications for physical therapist assistants. KRS 327.060(3) authorizes the board to approve services to provide an evaluation of a foreign-educated physical therapist applicant's educational credentials. This administrative regulation establishes the requirements a foreign-educated physical therapist shall satisfy to become credentialed in the state of Kentucky.
History: 201 KAR 022:070. 2 Ky.R. 79; eff. 9-10-1975; 7 Ky.R. 310; 443; eff. 11-6-1980; 11 Ky.R. 419; eff. 10-9-1984; 12 Ky.R. 1353; eff. 3-4-1986; 13 Ky.R. 1710; eff. 5-14-1987; 18 Ky.R. 336; eff. 9-24-1991; 19 Ky.R. 450; 868; eff. 10-8-1992; 22 Ky.R. 615; 1975; eff. 11-15-1995; 27 Ky.R. 1324; 1768; eff. 1-15-2001; 28 Ky.R. 1450; 1796; eff. 2-7-2002; 31 Ky.R. 814; 1068; eff. 1-4-2005; 1438; eff. 4-22-2005; 33 Ky.R. 1431; 2274; eff. 3-1-2007; TAm eff. 2-5-2008; 35 Ky.R. 2127; eff. 6-5-2009; 37 Ky.R. 779; 1419; eff. 12-15-2010; 38 Ky.R. 1365; 1551; eff. 3-21-2012; TAm eff. 12-6-2012; 42 Ky.R. 1287; 1712; eff. 12-16-2015; 43 Ky.R. 2022; 44 Ky.R. 17; eff. 7-17-2017; 44 Ky.R. 560, 920; eff. 11-15-2017; 44 Ky.R. 2259, 2487; eff. 6-20-2018; 45 Ky.R. 2161, 2862; eff. 5-3-2019; TAm eff. 4-2-2021; 48 Ky.R. 2503; eff. 7-20-2022; 52 Ky.R. 1899; eff. 8-18-2026.

201 KAR 22:130 Per diem of board members {#sec-201-kar-22-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:130}

Section 1. Each member of the board shall receive a per diem of $120 for attending each meeting of the board or otherwise representing the board.

History

RELATES TO: KRS 327.030, 327.080
STATUTORY AUTHORITY: KRS 327.030(10)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.030(10) authorizes the board to promulgate administrative regulations establishing a per diem for board members not to exceed $120 per day for each day the member is actually engaged in the discharge of official duties. This administrative regulation outlines the per diem members will receive when required to represent the board or attend its meetings.
History: 9 Ky.R. 746; eff. 1-6-1983; 27 Ky.R. 1055; 1449; eff. 12-21-2000; 31 Ky.R. 815; 1069; eff. 1-4-2005; 40 Ky.R. 112; eff. 9-18-2013; Crt eff. 6-4-2018; Crt eff. 3-27-2025.

201 KAR 22:135 Fees {#sec-201-kar-22-135 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:135}

Section 1. Payment of Fees.

(1) Except as provided in subsection (2) of this section, an application fee shall be:

(a) Made payable as required by KRS 327.080(1); and

(b) Paid by:

Cashier's check;
Certified check;
Money order;
Credit card;
Debit card; or
Cash.

(2) A renewal application fee shall be paid:

(a) As required by subsection (1) of this section; or

(b) By personal check.

Section 2. Licensure fees shall be:

(1) $225 for initial credentialing by application;

(2) $205 for a reinstatement application plus the impaired practitioner's assessment as set forth in 201 KAR 22:140, Section 1; and

(3) $170 for a renewal application plus the impaired practitioner's assessment as set forth in 201 KAR 22:140, Section 1.

Section 3. Other administrative fees shall be:

(1) Verification of licensure forty (40) dollars;

(2) Billfold license fifteen (15) dollars;

(3) Wall certificate twenty-five (25) dollars;

(4) Licensure mailing list on a CD or by email $150; and

(5) Licensure mailing labels $150.

History

RELATES TO: KRS 61.874(4), 327.050(2), (8), 327.075(1), 327.080(1)
STATUTORY AUTHORITY: KRS 327.040(11), (13), 327.050(2), (8), 327.075(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the board to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. KRS 327.050(2) and (8) require the board to establish fees for application and renewal of licenses for physical therapists, and KRS 327.075(1) requires the board to establish a reinstatement fee. KRS 327.040(13) authorizes the board to establish reasonable fees for the certification, renewal, and endorsement of physical therapist assistants. This administrative regulation establishes the fees required to apply for a credential by application, reinstatement, or renewal.
History: 201 KAR 022:135. 13 Ky.R. 2161; eff. 7-2-1987; 16 Ky.R. 1623; eff. 4-12-1990; 18 Ky.R. 340; eff. 9-24-1991; 19 Ky.R. 83; 868; eff. 10-8-1992; 1402; eff. 1-27-1993; 21 Ky.R. 69; eff. 8-17-1994; 23 Ky.R. 175; eff. 8-21-1996; 25 Ky.R. 2432; 2838; eff. 6-16-1999; 26 Ky.R. 1695; 1945; eff. 5-10-2000; 27 Ky.R. 1055; eff. 12-21-2000; 31 Ky.R. 816; 1070; eff. 1-4-2005; 36 Ky.R. 2211; 37 Ky.R. 35; eff. 7-21-2010; Crt eff. 6-4-2018; 45 Ky.R. 3258; eff. 7-19-2019; Crt to Am, reg in process; 7-2-2026.

201 KAR 22:140 Funding of impaired physical therapy practitioners committee {#sec-201-kar-22-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:140}

Section 1.

(1) An assessment fee of twenty (20) dollars shall be paid to the board by each credential holder;

(2) The assessment fee shall be waived for the biennial renewal period ending March 31, 2007; and

(3) The assessment fee shall be waived for reinstatement applications through December 31, 2008.

Section 2. The assessment fee may be used for education, travel expenses and a per diem to committee members during the normal course of committee business as assigned by the program coordinator and the executive director.

(1) Travel expenses shall be in accordance with state travel administrative regulations.

(2) Each committee member shall be entitled to receive an honorarium of twenty-five (25) dollars for attending meetings required or approved by the board.

History

RELATES TO: KRS 327.040(13), 327.045, 327.070(2)(a)
STATUTORY AUTHORITY: KRS 327.045(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.045(4) requires the board to promulgate an administrative regulation establishing the assessment fee to be collected by the board as part of the licensure and certification renewal application fee. This administrative regulation establishes the assessment fee.
History: 13 Ky.R. 2161; eff. 7-2-1987; 16 Ky.R. 1623; eff. 4-12-1990; 18 Ky.R. 340; eff. 9-24-1991; 19 Ky.R. 83; 868; eff. 10-8-1992; 1402; eff. 1-27-1993; 21 Ky.R. 69; eff. 8-17-1994; 23 Ky.R. 175; eff. 8-21-1996; 25 Ky.R. 2432; 2838; eff. 6-16-1999; 26 Ky.R. 1695; 1945; eff. 5-10-2000; 27 Ky.R. 1115; 1449; eff. 12-21-2000; 31 Ky.R. 817; 1070; eff. 1-4-2005; 33 Ky.R. 878; 1292; eff. 11-15-2006; Crt eff. 6-4-2018; Crt eff. 3-27-2025.

201 KAR 22:150 Impaired Practitioners Alternative Program {#sec-201-kar-22-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:150}

Section 1. Definitions.

(1) "Approved treatment provider" means an alcohol or drug treatment provider that meets the standards as set out in Section 6 of this administrative regulation.

(2) "Chemically-dependent individual" means a credential holder or applicant for a credential issued by the board whose ability to practice according to acceptable and prevailing standards of care is or may be impaired by reason of alcohol or drug abuse.

(3) "Participant" means a chemically-dependent individual who has been accepted into the program.

(4) "Program" means the Practitioners Alternative Care Effort (PACE) which is the alternative program operated by the board for credential holders or applicants for a credential issued by the board.

Section 2. Admission and Denial to the Program.

(1) In order to gain admission to the program, an individual shall:

(a) Be a credential holder in the Commonwealth of Kentucky or an applicant for a credential issued by the board;

(b) Request participation in the program regardless of whether referred by the board, self, or another person;

(c) Be a credential holder currently enrolled in a state-approved alternative program, if requesting licensure by endorsement from another state;

(d) Admit in writing to being a chemically-dependent individual;

(e) Agree in writing to the terms set forth in the program agreement;

(f) Obtain a current chemical dependency assessment, which includes a complete physical and psychosocial evaluation performed by a licensed or certified medical, mental health, or psychological specialist in the field of drug, alcohol, or other chemical dependency;

(g) Provide any evaluation and treatment information, disclosure authorizations, and releases of liability as may be requested by the program staff;

(h) Agree to not be employed in any capacity in a patient care setting or one which requires licensure until approved to do so by the program staff; and

(i) Have attended an approved treatment provider program.

(2) Admission to the program shall be denied if the applicant:

(a) Does not meet the eligibility requirements for admission as set by subsection (1) of this section;

(b) Is not eligible for a credential from the board in Kentucky;

(d) In the opinion of the program staff, will not substantially benefit from participation in the program;

(e) Has a criminal conviction related to the sale or distribution of scheduled substances or legend prescription drugs; or

(f) Has been terminated from alternative program participation in Kentucky or any other state.

Section 3. Requirements for Participation in the Program.

(1) A participant shall:

(a) Enter into a program agreement; and

(b) Comply with all of the terms and conditions of the program agreement for the time period specified in the agreement.

(2) The program agreement shall be updated and modified as needed to address the participant's progress in recovery and may include any of the following:

(a) A requirement that the participant undergo and successfully complete chemical dependency treatment by an approved treatment provider;

(b) A requirement that the participant agree not to practice in any capacity in a patient care setting or one (1) which requires licensure until approved to do so by the program;

(d) A requirement that the participant remain free of alcohol, over-the-counter medications containing alcohol, or mood-altering substances including herbal preparations and any other medication except for substances prescribed by a practitioner authorized by law to prescribe for a specific medical condition;

(e) A requirement that the participant inform all treating health care practitioners of the participant's chemical dependency and recovery status prior to receiving a prescription for any medication, mood-altering substance, or herbal preparation;

(f) A requirement, if a participant is required to take any substance prescribed or recommended by a practitioner, that the participant provide the program written documentation from the practitioner that the use of the substance shall not impair the participant's ability to practice physical therapy in a safe and effective manner and shall not interfere with the participant's recovery program provided the substance is used in accordance with the prescription or recommendation;

(g) A requirement that if the participant is prescribed, recommended, or dispensed any medication by a practitioner, the participant shall cause the practitioner to complete a medication report form provided by the program. The medication report form shall include the diagnosis and a copy of any prescription from any physician, and shall be submitted to the program within the time specified in the program agreement. Consultation with a physician addictionologist may be required by the program and the participant shall agree to abide by any determination made by the physician addictionologist;

(h) A requirement that the participant have all treatment providers and counselors provide any reports as may be required by the program at the intervals specified in the program agreement;

(j) A requirement that the participant attend health professionals' support group and twelve (12) step group meetings as specified by the program agreement, and that the participant verify attendance at these meetings by signature of a group or meeting representative and submit the signatures to the program;

(k) A requirement that the participant comply with the employment restrictions specified by the program agreement;

(l) A requirement that the participant sign a waiver which would allow the program to communicate with the participant's treatment providers, counselors, employers, work site monitors, law enforcement officials and health professionals' support group facilitators, if applicable;

(m) A requirement that the participant be responsible for paying the costs of the physical and psychosocial assessment, chemical dependency treatment, and random alcohol and drug testing, or any other costs incurred in complying with the program agreement;

(n) A requirement that the participant submit a written personal report to the program at the intervals specified by the program agreement;

(o) A requirement that the participant meet in person with a program representative at the intervals specified by the program agreement; or

(p) A requirement that the participant comply with all other terms and conditions specified in the program agreement which the program staff determines are necessary to ensure that the participant is able to practice physical therapy in accordance with acceptable and prevailing standards of safe patient care.

Section 4. Successful Completion of the Program.

(1) A participant successfully completes the program if the participant fully complies with all of the terms of the program agreement for the period as specified in the agreement.

(2) If a participant successfully completes the program, the program shall notify the participant of the successful completion in writing. Once the participant receives this written notification of successful completion of the program, the participant shall no longer be required to comply with the program agreement.

(3) A participant who successfully completes the program shall not be reported to the Healthcare Integrity and Protection Data Bank (HIPDB).

Section 5. Causes for Termination from the Program. A participant shall be terminated from the program for the following causes:

(1) Noncompliance with any aspect of the program agreement;

(2) Receipt of information by the board, other than an administrative reprimand or a private admonishment which, after investigation, results in disciplinary action by the board; or

(3) Being unable to practice according to acceptable and prevailing standards of safe physical therapy.

Section 6. Standards for Approved Treatment Providers. In order to be an approved treatment provider, the treatment provider shall:

(1) Be accredited by the Joint Commission for the Accreditation of Healthcare Organizations or be state-certified and shall have operated as a chemical dependency treatment program for a minimum of one (1) year;

(2) Provide inpatient or outpatient care;

(3) Be based on a twelve (12) step program of Alcoholics Anonymous/Narcotics Anonymous or equivalent support group;

(4) Provide development of an individualized treatment and aftercare program to meet the specific needs of the participant and make recommendations regarding an ongoing rehabilitation plan;

(5) Be based on evaluation by a multidisciplinary team, which includes a psychiatrist, addictionologist, licensed counseling staff, and a core of referral specialists;

(6) Provide adequate detoxification services, including medical support and motivational support with no use of mood-altering drugs past detoxification period unless prescribed by a practitioner consistent with Section 3 of this administrative regulation;

(7) Provide clearly-stated costs and fees for services, and offer fee schedules and flexibility in payment plans to accommodate participants who are underinsured or experiencing financial difficulties;

(8) Demonstrate willingness to provide information to the alternative program regarding the status of the participant after appropriate consents to release information are obtained;

(9) Work closely with the alternative program staff to assure proper implementation and administration of policies and procedures related to the program;

(10) Maintain timely and accurate communication with program staff, including assessments, diagnosis, prognosis, discharge summary and follow-up recommendations as well as reports on significant events which occur in treatment that are related to impairment and the ability to practice safely; and

(11) Provide monthly written reports of progress.

History

RELATES TO: KRS 327.040, 327.045
STATUTORY AUTHORITY: KRS 327.040(14), 327.045
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(14) authorize the board to promulgate administrative regulations regarding the physical and mental examinations of physical therapists, physical therapist assistants, or applicants, who may be impaired by reason of a mental, physical, or other condition that impedes their ability to practice competently, KRS 327.045 authorizes the board to establish an impaired physical therapy practitioners committee to promote early identification, intervention, treatment, and rehabilitation of physical therapists and physical therapist assistants who may be impaired by reason of illness, alcohol or drug abuse, or as a result of any physical or mental condition. This administrative regulation provides procedures for the implementation of an alternative program.
History: 28 Ky.R. 1008; 1358; eff. 12-19-2001; 31 Ky.R. 817; 1070; eff. 1-4-2005; Crt eff. 6-4-2018; Crt eff. 3-27-2025.

201 KAR 22:160 Telehealth and telephysical therapy {#sec-201-kar-22-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:160}

Section 1. Patient Identity, Communication, and Informed Consent Requirements. A credential holder using telehealth to deliver physical therapy services or who practices telephysical therapy shall, upon an initial contact with the patient:

(1) Verify the identity of the patient;

(2) Obtain alternative means of contacting the patient;

(3) Provide to the patient alternative means of contacting the credential holder;

(4) Provide contact methods of alternative communication the credential holder shall use for emergency purposes;

(5) Not use personal identifying information in non-secure communications; and

(6) Inform the patient and document acknowledgement of the risk and limitations of:

(a) The use of electronic communications in the provision of physical therapy;

(b) The potential breach of confidentiality, or inadvertent access, of protected health information using electronic communication in the provision of physical therapy; and

Section 2. Competence, Limits on Practice, Maintenance, and Retention of Records. A credential holder using electronic communication to deliver physical therapy services or who practices telephysical therapy shall:

(1) Be responsible for determining and documenting that telehealth is appropriate in the provision of physical therapy;

(2) Limit the practice of telephysical therapy to the area of competence in which proficiency has been gained through education, training, and experience;

(3) Document which physical therapy services were provided by telephysical therapy;

(4) Follow the record-keeping requirements of 201 KAR 22:053, Section 5; and

(5) Ensure that confidential communications obtained and stored electronically shall not be recovered and accessed by unauthorized persons when the credential holder disposes of electronic equipment and data.

Section 3. Compliance with State Law. A credential holder practicing telephysical therapy shall be:

(1) Licensed to practice physical therapy where the patient is physically present or domiciled; or

(2) Otherwise authorized by law to practice physical therapy in another jurisdiction where the patient is physically present or domiciled.

History

RELATES TO: KRS 327.200
STATUTORY AUTHORITY: KRS 327.040(11), (12), 327.200(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.040(11) authorizes the board to promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of KRS Chapter 327. KRS 327.040(12) requires the board to promulgate by administrative regulation standards of practice. KRS 327.200(1) requires a treating physical therapist utilizing telehealth to ensure a patient's informed consent and to maintain confidentiality. KRS 327.200(2) requires the board to promulgate administrative regulations necessary to implement telehealth. This administrative regulation establishes procedures necessary to prevent abuse and fraud through the use of telehealth, prevent fee-splitting through the use of telehealth, and utilize telehealth in the provision of physical therapy services and in the provision of continuing education.
History: 201 KAR 022:160. 40 Ky.R. 2227; 41 Ky.R. 32; eff. 8-1-2014; Crt eff. 6-4-2018; Crt eff. 3-27-2025.

201 KAR 22:170 Physical Therapy Compact Commission {#sec-201-kar-22-170 omnilex-key=us-ky-regs-official--title-201--201 KAR 22:170}

Section 1. The Kentucky Board of Physical Therapy shall comply with all bylaws, rules, and administrative regulations of the Physical Therapy Compact Commission, which includes the Physical Therapy Compact Commission Rules and Bylaws.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Physical Therapy Compact Commission Rules", June 2023; and

(b) "Physical Therapy Compact Commission Bylaws", June 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Physical Therapy, 312 Whittington Parkway, Suite 102, Louisville, Kentucky 40222, Monday through Friday, 8 a.m. to 4:30 p.m. or this material may be obtained on the Kentucky Board of Physical Therapy's Web site at https://pt.ky.gov.

(3) This material may also be obtained at:

(a) The Physical Therapy Compact Commission, 124 West Street South, Third Floor, Alexandria, Virginia, 22314; or

(b) http://www.ptcompact.org.

History

RELATES TO: KRS 327.300(12)
STATUTORY AUTHORITY: KRS 327.300(12)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 327.300(12) requires the Board of Physical Therapy to review any rule adopted by the Physical Therapy Compact Commission within sixty (60) days of adoption for the purpose of filing the rule as an emergency administrative regulation pursuant to KRS Chapter 13A.190 and for filing the rule as an accompanying ordinary administrative regulation, following the requirements of KRS Chapter 13A. This administrative regulation sets forth the Rules adopted by the Physical Therapy Compact Commission.
History: 44 Ky.R. 1976; eff. 3-15-2018; 45 Ky.R. 422, 951; eff. 11-2-2018; 2164; eff. 3-13-2019; 2108; eff. 6-30-2020; 47 Ky.R. 1424; eff. 6-16-2021; 48 Ky.R. 2505, 2961; eff. 7-20-2022; 49 Ky.R. 1483, 1910; eff. 6-21-2023; 50 Ky.R. 423; eff. 12-13-2023.

Section 1. The Board of Social Work shall comply with all rules of the Social Work Licensure Compact, which includes the Social Work Licensure Compact Rules as of February 5, 2025.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference: "The Social Work Licensure Compact Rules", February 5, 2025, and as revised. Chapter 1 – Rulemaking, adopted February 5, 2025.

(2)

(a) This material may be inspected, copied or obtained, subject to applicable copyright law at 125 Holmes Street, Suite 310, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.; or

(b) This material may also be obtained on the Kentucky Board of Social Work's website at https://bsw.ky.gov/Pages/index.aspx.

(3) This material may also be obtained at:

(a) The Social Work Licensure Compact Commission, 1776 Avenue of the States, Lexington, Kentucky 40511; or

(b) https://swcompact.org/rulemaking/.

History

RELATES TO: KRS 335.135
STATUTORY AUTHORITY: KRS 335.070(3), 335.135, Section 17B
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.135, Section 17B requires the Board of Social Work to review any rule adopted by the Social Work Licensure Compact within sixty (60) days of adoption for the purpose of filing the rule as an emergency administrative regulation pursuant to KRS 13A.190 and for filing the rule as an accompanying ordinary administrative regulation pursuant to KRS Chapter 13A. KRS 335.070(3) authorizes the Board to promulgate administrative regulations to carry out KRS Chapter 335. This administrative regulation incorporates by reference the rules adopted by the Social Work Licensure Compact.
History: 201 KAR 023:012. 51 Ky.R. 1914; eff. 8-27-2025.

201 KAR 23:020 Fees {#sec-201-kar-23-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:020}

Section 1. The fee for the licensed clinical social worker examination shall be the amount set by the Association of Social Work Boards.

Section 2. The fee for the certified social worker examination shall be the amount set by the Association of Social Work Boards.

Section 3. The fee for the licensed social worker examination shall be the amount set by the Association of Social Work Boards.

Section 4. The initial license fee and the renewal fee for a licensed clinical social worker license shall be $200.

Section 5. The initial license fee and the renewal fee for a certified social worker license shall be $125.

Section 6. The initial license fee and the renewal fee for a licensed social worker shall be seventy-five (75) dollars.

History

RELATES TO: KRS 335.080(1)(d), (g), 335.090(1)(d), (g), 335.100(1)(c), (f), 335.130(1)
STATUTORY AUTHORITY: KRS 335.070(3), 335.080(1)(d), (g), 335.090(1)(d), (g), 335.100(1)(c), (f), 335.130(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.080(1)(d), 335.090(1)(d), and 335.100(1)(c) require the board to establish examination fees by promulgation of an administrative regulation. KRS 335.080(1)(g), 335.090(1)(g), and 335.100(1)(f) require the board to establish initial license fees by promulgation of an administrative regulation. KRS 335.130(1) requires the board to establish renewal fees by promulgation of an administrative regulation. This administrative regulation establishes these examination, license, and renewal fees.
History: 3 Ky.R. 263; eff. 10-6-1976; 4 Ky.R. 568; eff. 8-2-1978; 4 Ky.R. 933; eff. 5-4-1983; 19 Ky.R. 1100; eff. 12-11-1992; 23 Ky.R. 4201; eff. 10-13-1997; 37 Ky.R. 1330; 1971; eff. 3-4-2011; Crt eff. 6-21-2019; Crt to Am 5-28-2026; Am due 11-28-2027.

201 KAR 23:025 Application for licensure {#sec-201-kar-23-025 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:025}

Section 1. Definitions.

(1) "Additional supervisor" is defined by 201 KAR 23:070, Section 1(1).

(2) "Board" is defined by KRS 335.020(1).

(3) "Social worker" is defined by KRS 335.158(4)(b).

(4) "Supervisor of record" is defined by 201 KAR 23:070, Section 1(6).

Section 2. Application for licensure.

(1) An applicant for licensure as a social worker shall submit the Licensure Application Form or use the electronic portal established by the Board for application purposes. The application for licensure and electronic portal shall include:

(a) The full legal name of the applicant along with any other name used by the applicant;

(b) The social security number of the applicant;

(d) A telephone number for the applicant;

(e) The email address of the applicant;

(f) A statement of whether the applicant is currently employed;

(g) If employed, the name of the applicant's current employer along with the street address, telephone number, and email address of the agency where the applicant is employed;

(h) If employed, the applicant's official job description signed by the head of the employing agency;

(i) If employed, a statement of whether the employer is a 26 U.S.C. Section 501(c)(3) tax-exempt agency under the Internal Revenue Code and, if so, a copy of the Internal Revenue Service determination letter approving the tax-exempt status of the agency;

(j) A statement of whether the applicant is or has ever been licensed to practice social work in Kentucky;

(k) A statement of whether the applicant is or has ever been licensed to practice social work in any other jurisdiction and, if so, a listing of the jurisdiction license category and license number associated with the license;

(l) An official verification of each license the applicant holds or has ever held in a jurisdiction other than Kentucky. A licensed clinical social worker (LCSW) applicant licensed as a certified social worker (CSW) in Kentucky need not provide official license verification;

(m) A statement of whether the applicant has taken and passed a social work licensure exam through the Association of Social Work Boards (ASWB) and, if so, a statement of which exam was taken. An applicant for CSW licensure who is licensed in a jurisdiction other than Kentucky shall provide an ASWB Exam Official Score Transfer Report. An applicant for an LCSW license who is not licensed as a CSW in Kentucky shall provide an ASWB Exam Official Score Transfer Report;

(n) A statement of whether the applicant has ever applied for and failed to receive a license in social work or any other profession in Kentucky or another jurisdiction and, if so, an explanation of why the application for licensure was denied;

(o) A statement of whether the applicant has ever had a social work or other professional license suspended, revoked, or otherwise disciplined in Kentucky or another jurisdiction and, if so, an explanation and certified copies of the final order of the licensure entity from a jurisdiction other than Kentucky;

(p) A statement of whether the applicant has ever been convicted of, or entered a plea of no contest to, a felony and, if so, a statement of the offense along with certified copies of the police report or grand jury indictment, judgment of conviction, and the judgment or sentencing order. If the sentence was probated, diverted, or paroled the applicant shall include a signed release authorizing the probation or parole officer to provide a written statement or report to the Board that confirms the probation, diversion, or parole was successfully completed. An applicant convicted of a felony shall provide proof that any fines, fees, or court costs were paid in full;

(q) A statement of the undergraduate and graduate education the applicant has completed, including the name and location of the school, dates attended, month and year of graduation, number of credits or hours completed, and degrees obtained;

(r) Copies of official transcripts with the degree conferred or awarded. A CSW applicant shall not be required to submit undergraduate transcripts. An LCSW applicant who holds a CSW license in Kentucky shall not be required to submit a master's degree transcript;

(s) A list of three (3) individuals qualified to document the applicant's professional competency including the name, address, email address, and telephone number of each individual;

(t) A statement that the applicant has read KRS 335.010 to 335.160 and 201 KAR Chapter 23, including 201 KAR 23:080, the Kentucky Code of Ethical Conduct;

(u) A statement that the applicant affirms the application is true and correct to the best of the applicant's knowledge and belief;

(v) A statement that the applicant voluntarily consents to a thorough investigation of the applicant's present and past employment and other activities for the purpose of verifying the applicant's qualifications for licensing;

(w) A statement that the applicant agrees to furnish to the Board any information that may subsequently be requested for the purpose of verifying the applicant's qualifications;

(x) Payment of the required twenty-five (25) dollar nonrefundable application fee that is in addition to any fees as established in 201 KAR 23:020;

(y) A statement of the license for which the applicant is applying; and

(z) The signature of the applicant.

(2) Denial. The Board may disapprove an application for licensure for the following reasons:

(a) The applicant's failure to comply with KRS 335.010-335.160 or 201 KAR Chapter 23;

(b) Any information required by KRS 335.010-335.160 or this administrative regulation is missing, inaccurate, incomplete, or cannot be independently verified;

(d) A finding against, or admission of liability by, the applicant in any legal proceeding or disciplinary action involving a violation of KRS 335.010-335.160 or 201 KAR Chapter 23; or

(e) The denial, discipline of, refusal to renew, revocation, or suspension of the applicant's professional licensure in any jurisdiction.

(3) Approval. If the applicant has complied with the provisions of KRS 335.010-335.160 and this administrative regulation the application may be approved.

Section 3. Additional requirements for LCSW licensure.

(1) An in-state applicant for licensure as an LCSW shall provide documentation of two (2) years of post-master's degree supervised clinical social work experience, including 150 hours documented on the Supervised Experience Documentation Form as confirmed by the applicant's supervisor of record and each LCSW additional supervisor.

(2) An LCSW applicant licensed in another jurisdiction shall, if licensed for less than two (2) years, document two (2) years of post-master's supervised clinical practice experience and 150 hours of clinical supervision provided by a licensed social worker who:

(a) Was licensed as an LCSW, or the equivalent, for a minimum of two (2) years at the time supervision was provided as documented by official verification of the supervisor's license and a copy of a resume for each LCSW supervisor;

(b) Documents the supervision on the Kentucky Supervised Experience Documentation Form; or

(c) Documents the supervision on an out-of-state form which provides necessary details about qualifications of hours of supervision, names and credentials of supervisors, clinical practice, and time period of supervision.

(3) An LCSW applicant licensed in another jurisdiction shall, if licensed for two (2) years or more, document the two (2) year period by providing:

(a) An official job description on agency letterhead signed and dated by the head of the employing agency; or

(b) Standard employment forms including documentation of Federal civilian employment on the Standard Form 50 for Federal civilian employees as available at https://www.opm.gov/forms/pdfimage/sf50.pdf or documentation of active duty as a member of the U.S. Armed Services.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Licensure Application Form", 7/2025; and

(b) "Supervised Experience Documentation Form", 7/2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Social Work, 125 Holmes Street, Suite 310, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., or online at bsw.ky.gov.

History

RELATES TO: KRS 335.010-335.160, 335.990, 26 U.S.C. 501(c)(3)
STATUTORY AUTHORITY: KRS 335.070(1), (3), 335.080(1), 335.090(1), 335.100(1)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.070(1) requires the Board to issue licenses to qualified applicants. KRS 335.070(3) authorizes the Board to promulgate administrative regulations to carry out the provisions of KRS 335.010 to 335.160 and 335.990, including evaluating applications and issuing licenses. KRS 335.080 sets forth licensing requirements for a certified social worker. KRS 335.090 sets forth licensing requirements for a licensed social worker. KRS 335.100 sets forth the licensing requirements for a licensed clinical social worker. This administrative regulation establishes requirements and procedures for the licensing of a certified social worker, a licensed social worker, and a licensed clinical social worker.
History: 201 KAR 023:025. 51 Ky.R. 1915; 52 Ky.R. 175; eff. 8-27-2025.

201 KAR 23:051 Renewal, expiration, termination, and reinstatement of license {#sec-201-kar-23-051 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:051}

Section 1. Definitions.

(1) "Expiration" means the license has not been renewed.

(2) "Grace period" means the time allowed to renew after the expiration date of the license.

(3) "Licensee" means a person licensed under KRS 335.010 through 335.160 as:

(a) A certified social worker;

(b) A licensed social worker; or

(4) "Reinstatement" means the reinstatement of a license due to an action of the board.

(5) "Renewal" means renewing by the expiration date of the license.

(6) "Termination" means the expiration of the license because of disciplinary action in accordance with 201 KAR 23:150.

Section 2. Renewal.

(1)

(a) Pursuant to KRS 335.130(1), a licensee shall renew the licensee's license on a three (3) year basis to continue practicing social work in Kentucky.

(b) The three (3) year renewal cycle shall be calculated based on the date of the issuance of the initial license.

(2) An Application for Renewal shall be submitted with the appropriate fee and continuing education requirements as established in 201 KAR 23:020 and 201 KAR 23:075.

(3) A licensee shall update the licensee's contact information with the board within ten (10) days of the changes by:

(a) The United States Postal Service;

(b) Email;

(d) The self-service portal via the board's Web site at bsw.ky.gov.

(4) Each licensee shall maintain current contact information with the board, which includes, name, physical address, phone number (business or personal), and email address (business or personal).

Section 3. Grace Period. If a licensee reapplies after the date of expiration and before the three (3) months, the licensee shall:

(1) Cease and desist the practice of social work immediately;

(2) Submit an Application for Renewal along with documentation of completed continuing education requirements pursuant to 201 KAR 23:075, Section 2;

(3) Pay a penalty of $100;

(4)

(a) Submit official documentation of employment beginning with the date of expiration of the license; and

(b) Submit the job description with an affirmation that the practice of social work had not taken place during or after the end date of the license and ceased when discovered during the grace period of the renewal of the license;

(5) If reimbursement for services occurred during the grace period, the licensee shall reconcile the matter with the licensee's employer or each specific payer; and

(6) Upon payment of the license renewal fee and the late renewal penalty, the date of the license will be retroactive to the date of expiration.

Section 4. Expiration and Termination.

(1) If a licensee has not renewed the licensee's license at the end of three (3) months, the license shall be considered expired, and the licensee shall submit a new application in accordance with existing requirements for initial applicants under KRS Chapter 335 and 201 KAR Chapter 23.

(2)

(a) Section 3(5) of this administrative regulation is applicable to this section; and

(b) If a licensee is subject to disciplinary action and the result of that action is revocation of the license or an agreement to surrender the license as if revoked, the licensee's license shall be terminated effective the date of the action.

Section 5. Reinstatement.

(1) The board may reinstate a license from disciplinary action in accordance with 201 KAR 23:150.

(2) The board's reinstatement shall be based on:

(a) The request by the former licensee;

(b) The length of time the license was inactive; and

(c) Any extenuating circumstance creating the need for reinstatement that shall be made in writing to the board by the licensee, but shall not be related to disciplinary action or renewal of the license.

(3) The board may require an application fee in accordance with existing requirements for initial applicants under KRS Chapter 335 and 201 KAR Chapter 23 at the time of reinstatement.

(4) The board shall set the date of reinstatement for license renewal.

Section 6. Incorporation by Reference.

(1) "Application For Renewal", 01/2023, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Social Work, 125 Holmes St Suite 310, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at bsw.ky.gov.

History

RELATES TO: KRS 335.010-335.160, 335.990
STATUTORY AUTHORITY: KRS 335.070(1), (3), (6), (7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.070(1) requires the board to administer and enforce the provisions of KRS 335.010 to 335.160 and 335.990, and to evaluate and approve the qualifications of applicants for licensure. KRS 335.070(3) authorizes the board to promulgate administrative regulations to carry out the provisions of KRS 335.010 to 335.160 and 335.990, including establishing requirements for license renewal. KRS 335.070(6) authorizes the board to renew licenses. KRS 335.130 authorizes fees. This administrative regulation establishes the requirements for license renewal, expiration, termination, and reinstatement of a license to engage in the practice of social work.
History: 49 Ky.R. 1374, 1803, 1910; eff. 7-5-2023.

201 KAR 23:055 Inactive status of license {#sec-201-kar-23-055 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:055}

Section 1. Request for Inactive Status.

(1) A licensee may request that their license be placed on inactive licensure status by submitting to the board:

(a) A written request for their license to be placed on inactive status, received by the board no sooner than ninety (90) days before the license expiration date;

(b) Payment of an inactive license status fee of fifty (50) dollars made payable to the Kentucky State Treasurer; and

(c) A copy of certificates of attendance or completion to show proof of continuing education requirements for renewal as established in 201 KAR 23:075.

(2) The licensee shall be relieved of their obligation to pay the license renewal fee established in 201 KAR 23:020 for their license level.

Section 2. Additional Extension of Inactive Status. A licensee whose license is on inactive status may request an additional extension of the inactive license status and shall submit to the board:

(1) A written request to continue the license on inactive status, received by the board no sooner than ninety (90) days before the license expiration date;

(2) Payment of an inactive status fee of fifty (50) dollars made payable to the Kentucky State Treasurer; and

(3) A copy of continuing education certificates of completion or attendance, awarded to the licensee during the period of inactive status, to show proof of continuing education requirements for renewal as established in 201 KAR 23:075.

Section 3. License Expiration. If a licensee does not submit a request for an extension of the inactive status or a licensee fails to renew their license before the license expiration date, the license shall expire.

Section 4. Return to Active License Status. At any time within the three (3) year period of being granted inactive licensure status, a licensee may request their license be returned to active status by submitting to the board:

(1) A written request to return their license to active status;

(2) Payment of the current license renewal fee as set forth in 201 KAR 23:020; and

Section 5. Renewal of Expired License. Following the expiration of a license under Section 3 of this administrative regulation, a licensee who desires to practice social work in Kentucky shall follow the requirements for reinstatement established in 201 KAR 23:051.

History

RELATES TO: KRS 335.070(3)
STATUTORY AUTHORITY: KRS 335.070(3), (6)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.070(3) authorizes the board to promulgate administrative regulations pursuant to KRS Chapter 13A to carry out the provisions of KRS 335.010 to 335.160 and KRS 335.990. This administrative regulation establishes the requirements relating to inactive licenses, extension of inactive status, return to active status, and reinstatement.
History: 42 Ky.R. 2845; 43 Ky.R. 234; 395; eff. 9-21-2016; 50 Ky.R. 424, 1486; eff. 1-11-2024.

Section 1. A person who possesses a valid, unsuspended or unrevoked licensed social worker license may:

(1) Engage in a social work activity except the practice of clinical social work as defined in 201 KAR 23:070, Section 1(2); and

(2) Use the abbreviation "LSW."

Section 2. A person who possesses a valid, unsuspended or unrevoked certified social worker license may:

(1) Engage in a social work activity that:

(a) Except as provided in paragraph (b) of this subsection, does not include the practice of clinical social work as defined in 201 KAR 23:070, Section 1(2); or

(b) Includes the practice of clinical social work as defined in 201 KAR 23:070, Section 1(2), if the conditions established in KRS 335.080(3) are met; and

(2) Use the abbreviation "CSW."

Section 3. A person who possesses a valid, unsuspended or unrevoked licensed clinical social worker license may:

(1) Engage in the practice of social work, including the practice of clinical social work as defined in 201 KAR 23:070, Section 1(2);

(2) Hold himself out to the public as engaging in the practice of clinical social work as defined in 201 KAR 23:070, Section 1(2);

(3) Use the abbreviation "LCSW"; and

(4) Employ a certified social worker under the conditions established in KRS 335.100(3).

History

RELATES TO: KRS 335.030, 335.080, 335.090, 335.100
STATUTORY AUTHORITY: KRS 335.070(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.030 prohibits unlicensed social work practice and using social work titles except as authorized by law. KRS 335.080, 335.090, and 335.100 establish licensed social worker, certified social worker, and licensed clinical social worker licenses, and KRS 335.080(3) establishes the conditions in which a certified social worker may engage in the practice of clinical social work. This administrative regulation establishes the scope of practice for each license and the permissible use of license abbreviations.
History: 3 Ky.R. 264; eff. 10-6-1976; 10 Ky.R. 341; eff. 10-5-1983; 14 Ky.R. 168; eff. 8-5-1987; 23 Ky.R. 4202; 24 Ky.R. 860; eff. 10-13-1997; Crt eff. 6-21-2019; Crt eff. 5-28-2026.

201 KAR 23:070 Qualifying education and clinical practice experience under supervision {#sec-201-kar-23-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:070}

Section 1. Definitions.

(1) "Additional supervisor" means the supervisor who holds a licensed clinical social worker license issued by this board, and who assumes responsibility for the practice of a certified social worker pursuant to KRS 335.080(3), 335.100(3), and this administrative regulation.

(2) "Educational institution approved by the board" means a graduate school of social work accredited by the Council on Social Work Education.

(3) "Electronic supervision" means the use of computers and other electronic means by which the supervisor and supervisee use interactive video technology, in real-time, with video and audio interaction for individual and group supervision.

(4) "Practice of clinical social work" means the practice of social work that focuses on the evaluation, diagnosis, and treatment of a mental disorder as related to the total health of the individual and that meets the requirements of Section 3 of this administrative regulation.

(5) "Supervision" means the educational process of utilizing a partnership between an LCSW supervisor and a CSW supervisee aimed at enhancing the professional development of the supervisee in providing clinical social work services.

(6) "Supervisor of record" means the supervisor who holds a licensed clinical social worker license issued by this board, and who assumes responsibility for the practice of a certified social worker pursuant to KRS 335.080(3), 335.100(3), and this administrative regulation.

Section 2. Education Requirements. An applicant for a certified social worker license or a licensed clinical social worker license shall have a Master of Social Work degree or Doctorate of Social Work degree from an educational institution approved by the board.

Section 3. Practice of Clinical Social Work.

(1) The practice of clinical social work shall be based on knowledge of psychodynamics, human relations, crisis intervention, psychopathology, and group dynamics.

(2) A practitioner of clinical social work shall:

(a) Possess competencies including skills necessary for:

Individual, marital, family, and group psychotherapy; and
Other recognized treatment modalities; and

(b) Establish a therapeutic relationship with his or her client that includes:

Assessment and diagnosis of mental disorders using professionally recognized clinical nomenclature;
Safe and appropriate treatment planning that includes development, implementation, modification of the plan, and coordination of treatment with other clinicians who may be involved in the client's care;
Evaluation of progress;
Termination of the treatment process; and
Face-to-face contact with the client throughout the treatment process, and which may include telehealth in accordance with KRS 335.158 and 201 KAR Chapter 23.

Section 4. Supervision.

(1) A supervisor shall be a licensed clinical social worker who:

(a) Provides supervision to a certified social worker pursuant to KRS 335.080(3) and 335.100(3);

(b) Does not have:

An unresolved citation filed against him or her by the board;
A suspended or probated license; or
A previous or existing personal relationship with a supervisee; and

Been engaged in the practice of clinical social work for two (2) years following licensure in Kentucky or another jurisdiction as an independent licensed clinical social worker; or
Been engaged in the practice of clinical social work in another jurisdiction pursuant to Section 9 of this administrative regulation; and

(d)

Completed an initial board-approved six (6) hour training course on supervisory practices and methods for licensed clinical social workers relating to the requirements in KRS 335.010 to 335.160 and 335.990, and 201 KAR Chapter 23; and
The initial supervisory training course on supervisory practice and methods for licensed clinical social workers shall be completed no later than January 1, 2022 for supervisors currently approved as of the effective date of this administrative regulation; and

(e) In addition to the initial board-approved six (6) hour training course established in paragraph (d) of this subsection, each supervisor shall complete a board-approved three (3) hour refresher supervisory training course each licensure renewal period thereafter to maintain supervisory status with the board.

(2) Supervisory experience obtained in Kentucky with a supervisor who has not completed the courses required by subsection (1)(d)1. and paragraph (e) of this section shall not be approved by the board.

(3) A licensed clinical social worker shall not serve as a supervisor of record for more than six (6) certified social workers with whom he or she has a contract to be held accountable to the board at the same time.

(4) To be approved as a supervisor, a licensed clinical social worker who meets the requirements of this section shall submit a Request to Provide Supervision form to become a supervisor in Kentucky along with a copy of the initial supervisory training course certificate.

Section 5. Clinical Social Work Supervision Contract. The Clinical Social Work Supervision Contract required by KRS 335.080(3) and 335.100(3) shall be submitted to the board for approval before the certified social worker begins supervision and shall contain:

(1) The name and license number of the certified social worker supervisee;

(2) The name and license number of the supervisor of record;

(3) The name and license number of additional supervisors;

(4) The agency, institution, or organization where the experience will be received;

(5) A detailed description of the nature of the practice including the type of:

(a) Clients who will be seen;

(b) Therapies and treatment modalities that will be used including the prospective length of treatment; and

(6) The nature, duration, and frequency of the supervision, including the:

(a) Number of hours of supervision per week;

(b) Amount of individual and group supervision; and

(7) The conditions or procedures for termination of the supervision including a provision that the terminating party shall provide at least thirty (30) days' written notice of termination to the certified social worker, supervisor of record, additional supervisor, and certified social worker's employer by the terminating party;

(8) The conditions and procedures for evaluation of the supervision process every six (6) months in which both the certified social worker and the supervisor of record evaluate areas of strength, areas of improvement, and overall satisfaction with the supervision process by the supervisor and the supervise;

(9) A statement that:

(a) The supervisor of record understands and agrees that he or she shall be held accountable to the board for the care given to the supervisee's clients;

(b) The certified social worker is an employee of an agency, institution, or organization, and has Social Security and income tax deducted from his or her salary;

(c) The supervisor of record and additional supervisors meet the criteria established in Section 4(1) through (4) of this administrative regulation;

(d) The certified social worker supervisee has completed the training course described in Section 12 of this administrative regulation; and

(e) The supervisor and supervisee agree to use electronic supervision, in accordance with KRS 335.158 and 201 KAR Chapter 23;

(10) An individualized job description attached to the Clinical Social Work Supervision Contract that:

(a) Describes the nature of the clinical social work services the certified social worker supervisee shall provide to a client including assessment, evaluation, diagnosis, and treatment of a mental disorder;

(b) Describes in detail how the requirements of Sections 6 and 7 of this administrative regulation shall be met; and

(c) Is on office or agency letterhead and is signed by the executive director, the agency director, or the individual who heads the office; and

(11) Each supervisor of record and additional supervisor shall record and submit to the board documentation of the hours of individual or group supervision completed during the period of supervised clinical practice experience or upon termination of the Clinical Social Work Supervision Contract, whichever occurs first.

Section 6. Notice to Client. If an employee is practicing clinical social work under the supervision of a licensed clinical social worker, the employee shall notify in writing each client at the start of treatment during the period of the supervision. The notification shall contain:

(1) The name, office address, telephone number, email address, and license number of the supervisor of record; and

(2) A statement that the employee is licensed by the board.

Section 7. Experience under Supervision. Experience under supervision shall consist of:

(1) At least sixty (60) percent of the required experience in a direct client-professional relationship;

(2) Direct responsibility for providing clinical social work services to a specific individual or group of clients; and

(3) Broad exposure and opportunity for skill development with a variety of mental disorders, diagnoses, acuity levels, and population groups.

Section 8. Supervision Requirements.

(1) Supervision shall relate specifically to the qualifying supervised clinical practice experience and shall focus on:

(a) The accurate assessment and diagnosis of a client's mental disorder leading to proficiency in applying professionally recognized clinical nomenclature;

(b) The development and modification of the treatment plan;

(d) Ethical problems in the practice of clinical social work and application of the Code of Ethical conduct established in 201 KAR 23:080; and

(e) The development and use of the professional self in the therapeutic process.

(2)

(a) Supervision shall total a minimum of 150 hours, which shall include individual supervision of at least two (2) hours during every two (2) weeks of supervised clinical social work practice, over the two (2) year minimum time period of supervised practice experience under supervision described in KRS 335.100(3).

(b) Virtual supervision may be utilized for supervision hours, if the supervisor and supervisee can see each other, face-to-face, via electronic means.

(c) Electronic supervision shall conform to state and federal laws governing electronic practice or telehealth to ensure that confidentiality of client records and personal health information shall be maintained as required by KRS 335.158, the Code of Ethical Conduct established in 201 KAR 23:080, and other applicable state and federal laws.

(d) A supervisee shall obtain a minimum of 100 hours of the required supervision by individual supervision.

(e) A supervisee may obtain up to fifty (50) hours of group supervision.

(f) Group supervision shall be in groups of not more than six (6) supervisees and shall not include supervisees from other behavioral health professions who are attaining supervised clinical practice experience.

Section 9. A licensed clinical social worker from another jurisdiction requesting approval to provide clinical supervision.

(1) An applicant who holds or has held a license to practice clinical social work or an equivalent license in another jurisdiction and has been engaged in the active practice of clinical social work for at least two (2) years prior to the filing of a Request to Provide Supervision form with the board shall meet the requirements for supervision established in this administrative regulation unless the license, certificate, registration, or other authorization issued by the other jurisdiction:

(a) Has been expired for more than two (2) years;

(b) Is not in good standing; or

(2) An applicant who receives clinical practice experience under supervision in another jurisdiction shall demonstrate that:

(a) His or her clinical practice experience under supervision met the legal requirements of that jurisdiction; and

(b) The board shall give credit for supervision hours obtained in accordance with the legal requirements of the other jurisdiction.

(3) An applicant from another jurisdiction shall submit proof of issuance of a valid license, permit, certificate, registration, or other authorization issued by another jurisdiction that is in good standing

Section 10. . Evaluation by the Board.

(1) The supervised experience required by KRS 335.100(1)(b) shall be evaluated by the board according to one (1) of the methods established in this subsection.

(a) Post experience evaluation. An applicant who obtained his or her supervised experience while licensed in another jurisdiction shall submit his or her Request to Provide Supervision form along with documentation of supervision and qualifications of his or her supervisor.

(b) Transitional evaluation. An applicant who has accumulated an amount less than the full amount of qualifying experience while licensed in another jurisdiction or while working in a clinical social work setting that does not meet the requirements under Section 7(3) of this administrative regulation shall submit his or her Request to Provide Supervision form along with documentation of supervision completed prior to the date of his or her Request to Provide Supervision form. The applicant shall also submit with his or her Request to Provide Supervision form a Clinical Social Work Supervision Contract under paragraph (c) of this subsection for the remainder of the supervised experience.

(c) Preapproved evaluation. Prior to beginning supervised practice experience, an applicant shall submit a Clinical Social Work Supervision Contract for the supervised experience and the applicant shall have the contract approved by the board. This contract shall be evaluated by the board to determine whether or not it is compliant with Section 4 and Section 5 of this administrative regulation and shall be approved or denied within ninety (90) days of its submission.

(2) A certified social worker who desires to practice clinical social work that does not qualify as supervised experience pursuant to KRS 335.100(1)(b) shall submit a Clinical Social Work Supervision Contract pursuant to KRS 335.080(3). This contract shall be evaluated by the board to determine whether or not it is compliant with Section 4 and Section 5 of this administrative regulation and shall be approved or denied within ninety (90) days of its submission.

(3) A certified social worker who desires to practice clinical social work that meets all the other supervised experience requirements, other than the requirement established in Section 7(3) of this administrative regulation, shall submit a Clinical Social Work Supervision Contract pursuant to KRS 335.080(3). The supervision hours obtained in this clinical setting may be considered by the board.

Section 11. Modification of Existing Contract.

(1) Changes to Section A of the Plan of Clinical Social Work Activities of the Clinical Social Work Supervision Contract that describes the clinical setting and nature of the practice and experience that the supervisee is to obtain, as required by Section 5(5) of this administrative regulation, shall be submitted to the board for approval, and approved, prior to implementation.

(2) A new Clinical Social Work Supervision Contract shall be submitted to the board immediately for approval if the supervisee changes his or her:

(a) Supervisor of record; or

(b) Place of employment.

(3) A supervisee shall notify the board in writing of changes of additional supervisors who are not the supervisor of record, but who are identified in the Clinical Social Work Supervision Contract pursuant to Section 5(3) of this administrative regulation and attach a copy of the supervisor's supervisory training certificate.

Section 12. Supervision Training Course for a Certified Social Worker Under Supervision.

(1) Prior to beginning supervised clinical social work practice, a certified social worker supervisee shall complete a one (1) hour board-approved training course on supervised clinical practice experience, provided at no cost by the board, and relating to the requirements in KRS 335.010 to 335.160 and 335.990, and 201 KAR Chapter 23; and.

(2) Submit a copy of the certificate of completion with his or her Clinical Social Work Supervision Contract.

Section 13. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Clinical Social Work Supervision Contract," 4/2021; and

(b) "Request to Provide Supervision", 4/2021.

History

RELATES TO: KRS 335.010, 335.080(1)(c), (3), 335.100(1)(a), (b), (3)
STATUTORY AUTHORITY: KRS 335.070(3), 335.080(1)(c), (3), 335.100(1)(a), (b), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.080(1)(c) and 335.100(1)(a) require an applicant for a certified social worker license or a licensed clinical social worker license to have a master's degree or a doctoral degree in social work from an educational institution approved by the board. KRS 335.080(3) authorizes a certified social worker to engage in the practice of clinical social work under the supervision of a licensed clinical social worker as directed by the board by promulgation of an administrative regulation. KRS 335.100(1)(b) requires an applicant for a licensed clinical social worker license to have acquired post-master's experience under approved supervision as established by the board by promulgation of an administrative regulation. KRS 335.100(3) requires a licensed clinical social worker (LCSW) to assume responsibility for and supervise the certified social worker's (CSW) practice of clinical social work as directed by the board by promulgation of an administrative regulation. This administrative regulation establishes the educational institutions approved by the board, the content of a Clinical Social Work Supervision Contract, the content of a Request to Provide Supervision form, and the requirements for qualifying experience under supervision for in state and out-of-state applicants.
History: 3 Ky.R. 264; eff. 11-3-1976; Am. 8 Ky.R. 155; eff. 12-2-1981; 10 Ky.R. 342; eff. 10-5-1983; 1005; eff. 3-31-1984; 14 Ky.R. 168; eff. 8-5-1987; 18 Ky.R. 733; 1838; eff. 11-22-1991; 21 Ky.R. 485; eff. 10-19-1994; 23 Ky.R. 4203; 24 Ky.R. 861; eff. 10-13-1997; 27 Ky.R. 196; 740; eff. 9-11-2000; 34 Ky.R. 2424; 35 Ky.R. 782; eff. 10-15-2008; 37 Ky.R. 1332; 1972; eff. 3-4-2011; 42 Ky.R. 2251, 2591, 2888, eff. 6-15-2016; 47 Ky.R. 1247, 1744, 1933; eff. 6-16-2021.).

201 KAR 23:075 Continuing education for renewal {#sec-201-kar-23-075 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:075}

Section 1. Definitions.

(1) "Academic course" means a course offered by an accredited board-approved postsecondary institution that is:

(a) Designated by a social work title or content; or

(b) A graduate level academic course relevant to social work.

(2) "Approved" means recognized by the Kentucky Board of Social Work.

(3) "Continuing education hour" and "instruction" means fifty (50) continuous clock minutes of participation in continuing education programs.

(4) "Extension" means granting additional time for a licensee to complete the required continuing education hours for renewal.

(5) "In-person learning" means courses or programs attended in person before a live presenter.

(6) "Program" means an organized educational experience, which is:

(a) Planned and evaluated to meet behavioral objectives; and

(b) Presented in one (1) session or a series.

(7) "Provider" means a person or an organization approved by the Kentucky Board of Social Work to provide a single continuing education program.

(8) "Relevant" means having content applicable to the practice of social work.

(9) "Sponsor" means a person or an organization approved by the Kentucky Board of Social Work to provide a continuing education program or programs over the course of one (1) year from the date of approval.

(10) "Technology-mediated learning" means courses or programs delivered through electronic media or technology, including:

(a) Distance learning programs;

(b) Online or web-based platforms;

(d) Self-paced online or self-study courses, provided mechanisms to assess comprehension, engagement, and completion are included, such as real-time quizzes or post-tests; or

(e) Other technology-assisted learning methods approved by the board.

(11) "Training program in suicide assessment, treatment, and management" means an empirically supported training program approved by the board that is at least six (6) hours in length and contains suicide assessment including screening and referral, suicide treatment, and suicide management as required by KRS 210.366.

(12) "Undue hardship" means a verifiable condition that imposes a significant and demonstrable barrier to compliance, such as, severe financial hardship, serious health issues, or other exceptional circumstances as substantiated by appropriate documentation.

(13) "Waiver" means a formal exception that releases a licensee from having to complete the specified continuing education requirements.

Section 2. Accrual and Computation of Continuing Education Hours for Renewal.

(1) Each certified social worker and licensed clinical social worker shall complete a minimum of thirty (30) continuing education hours during the three (3) year period for renewal, which shall be completed in person or through technology-mediated learning.

(2) Each licensed social worker shall complete a minimum of fifteen (15) continuing education hours during the three (3) year period for renewal, which shall be completed in person or through technology-mediated learning.

(3) All continuing education hours shall be relevant to the licensee's level of licensure.

(4) Kentucky Code of Ethical Conduct. Each renewal period, as part of the required continuing education hours, each licensee shall complete a board approved minimum three (3) hour course on the Kentucky Code of Ethical Conduct established in 201 KAR 23:080, which shall be taken in person or through technology-mediated learning.

(a) The required course shall utilize 201 KAR 23:080 in whole or in part for the course and shall be a minimum of three (3) instruction hours.

(b) All courses shall provide a framework for ethical decision-making and provide a copy of 201 KAR 23:080.

Maintaining Professional Boundaries: Recognizing and establishing boundaries to ensure professional integrity;
Dual Relationships and Conflicts of Interest: Identifying and managing situations if personal and professional roles may overlap;
Self-Disclosure: Understanding when, how, and if sharing personal information is appropriate;
Client Engagement and Welfare: Prioritizing the client's best interests while fostering ethical and effective relationships;
Confidentiality in Non-Clinical Practice: Ethical considerations for maintaining privacy in diverse social work settings;
Mandatory Reporting, Duty to Warn, Subpoenas, and Court Orders: Balancing confidentiality with legal obligations and ethical considerations;
Documentation and Record Keeping: Ensuring ethical accuracy, transparency, and confidentiality in professional records;
Ethical Use of Technology in Social Work: Navigating telehealth, social media, and digital tools ethically;
Ethical Decision-Making Models: Applying structured approaches to resolve ethical dilemmas effectively;
Ethics in addressing implicit bias and promoting equity in social work practice;
Practicing across state lines; or
Other board approved topics related to 201 KAR 23:080.

(5) Each renewal period, as part of the required continuing education hours, each licensed clinical social worker who is a board approved supervisor pursuant to 201 KAR 23:070, Section 4(1)(e), shall complete a three (3) hour, board approved clinical social work supervision course, which shall be taken in person or through technology-mediated learning.

(6) Training Program in Suicide Assessment, Treatment, and Management. Every six (6) years, as part of the required continuing education hours, each licensee shall complete a minimum of six (6) hours of continuing education in a board approved training program in suicide assessment, treatment, and management as required by KRS 210.366(2).

(a) The training program in suicide assessment, treatment, and management shall be approved by the board, by a pre-approved provider or sponsor identified in Section 3(1) of this administrative regulation, or by one (1) of the following boards:

Kentucky Board of Licensure of Marriage and Family Therapists;
Kentucky Board of Licensed Professional Counselors;
Kentucky Board of Licensure for Pastoral Counselors;
Kentucky Board of Alcohol and Drug Counselors;
Kentucky Board of Examiners of Psychology; or
Kentucky Board of Licensure for Occupational Therapy.

(b) Exemptions. A licensee shall be exempted from completion of the training program in suicide assessment, treatment, and management if he or she:

Teaches or taught a graduate-level counseling course in suicide assessment, treatment, and management at least once during the six (6) year period; or
Teaches or taught a six (6) hour continuing education course in suicide assessment, treatment, and management at least once during the six (6) year period.

(7) Domestic Violence and Elder Abuse, Neglect, and Exploitation. During the three (3) year renewal period following initial licensure, as part of the required continuing education hours, each licensee shall complete a three (3) hour course in domestic violence, and elder abuse, neglect, and exploitation as defined by KRS 194A.540.

(8) Pediatric Abusive Head Trauma. At least one (1) time every six (6) years, as part of the required continuing education hours, each licensee shall complete one and one-half (1.5) hours of continuing education covering the recognition and prevention of pediatric abusive head trauma as defined in KRS 620.020.

(9) Academic Credit Equivalency. Academic credit equivalency for continuing education hours shall be based on one (1) credit hour equals fifteen (15) continuing education hours.

Section 3. Methods of Acquiring Continuing Education Hours. Continuing education hours for renewal shall be directly related to the professional growth and development of the licensee. The hours may be earned by completing any of the continuing education programs listed in this section.

(1) Preapproved programs not requiring board review and approval. Except for courses on the Kentucky Code of Ethical Conduct under Section 2(4) of this administrative regulation, and courses on clinical social work supervision under 201 KAR 23:070, Section 4(1)(d) and (e), which require separate review and approval by the board, an educational program from any of the following providers shall be relevant to the practice of social work and shall be approved without further review by the board if it is:

(a) Sponsored or approved by:

The Association of Social Work Boards (ASWB);
The National Association of Social Workers (NASW) or any of its affiliated state chapters;
The National Association of Black Social Workers (NABSW) or any of its affiliated state chapters;
The North American Association of Christians in Social Work or any of its affiliated state chapters; or
The Clinical Social Work Association or any of its affiliated state chapters;

(b) Sponsored by:

The American Psychological Association or any of its affiliated state chapters;
The American Counseling Association or any of its affiliated state chapters;
The National Board for Certified Counselors or any of its affiliated state chapters;
The American Psychiatric Association or any of its affiliated state chapters; or
A college, school, department, or program of social work in Kentucky, which is accredited by the Council on Social Work Education (CSWE); or

(c) An academic course offered by an accredited postsecondary institution directly related to social work, counseling, or psychology.

(2) Programs requiring board review and approval.

(a) A program that is not provided or sponsored by a preapproved provider or sponsor identified in subsection (1) of this section shall be reviewed by the board and approved for continuing education credit if the board determines that it is:

Relevant to the practice of social work; and
Contributes to the continuing professional competency of licensees.

(b) The board may approve various methods in which a continuing education program is presented including:

Technology-mediated learning; and
In-service training, conferences, or workshops provided by other organizations, educational institutions, or other service providers.

(c) Board approval for technology-mediated learning shall be obtained each year unless the continuing education program does not require board approval under subsection (1) of this section.

(3) Relevant programs or academic courses presented by the licensee. A licensee who presents relevant programs or academic courses shall earn full continuing education credit for each contact hour of instruction, not to exceed one-half (1/2) of the continuing education renewal requirements. Credit shall not be issued for repeated instruction of the same course content or program within the same renewal period unless substantially revised or updated versions of a course or program can be clearly documented and approved by the board.

(4) Relevant articles authored by the licensee. A licensee who is an author of a relevant article, which is published in a professionally recognized or juried publication, shall earn seven and a half (71/2) hours of the continuing education requirements for renewal if a certified social worker or fifteen (15) hours of the continuing education requirements for renewal if a licensed social worker or licensed clinical social worker, if the article was published within one (1) year immediately preceding his or her renewal date.

(5) Continuing education courses shall be submitted to the board for approval and shall not be automatically preapproved under subsection (1) of this section that cover the:

(a) Kentucky Code of Ethical Conduct required by Section 2(4) of this administrative regulation; and

(b) Clinical social work supervision for board-approved supervisors required by 201 KAR 23:070, Section 4(1)(d) and (e).

(6) A licensee or board member may earn continuing education hours for renewal by attending a board meeting, in person, at the rate of one (1) hour of continuing education per board meeting up to a maximum of six (6) hours per three (3) year renewal period.

Section 4. Procedures for Approval and Renewal of Continuing Education Providers and Programs.

(1) Provider Approval. A provider seeking approval of a continuing education program shall apply to the board at least thirty (30) days in advance of the commencement of the program, and provide the information required by subsection (3) of this section.

(2) The board shall approve a continuing education program if it determines that the program being presented:

(a) Is relevant to the practice of social work;

(b) Contributes to the continuing professional competency of a licensee; and

(c) Has competent instructors with appropriate academic training, professional license or certification, or professionally recognized experience.

(3) The board may approve a provider of a continuing education program for one (1) year if the provider:

(a) Files a completed Provider or Sponsor Application for Continuing Education Approval, which includes:

A published program outline that includes an explanation of the program objectives;
The names and qualifications of the instructors presented in the form of resumes or curriculum vitae;
A copy of the evaluation sheet by which the licensee can assess and comment on the program;
A copy of the program agenda stating the number of continuing education credit hours, including all breaks;
The number of continuing education credit hours requested;
A copy of the official certificate of completion or attendance from the provider; and
A statement whether the provider is requesting approval to meet the requirements of courses on the:

a. Kentucky Code of Ethical Conduct required by Section 2(4) of this administrative regulation; or

b. Clinical social work supervision for board-approved supervisors required by 201 KAR 23:070, Section 4(1)(d) and (e); and

(b) Pays an initial application fee, payable to the Kentucky State Treasurer, of:

$100 for each one (1) day program of eight (8) hours or less; and
$100 for each additional one (1) day program of eight (8) hours or less.

(4) If the provider is requesting approval to meet the requirements of the Kentucky Code of Ethical Conduct course required for renewal by Section 2(4) of this administrative regulation, a minimum of one (1) presenter or instructor for the course shall:

(a) Hold a degree in social work;

(b) Hold an active license to practice social work in the Commonwealth of Kentucky;

(d) Not be practicing social work under terms or conditions of supervision imposed by the board.

(5) If the provider is requesting approval for the clinical social work supervision course, whether the initial six (6) hour course or the three (3) hour renewal course required for board approved supervisors, each presenter or instructor shall meet all qualifications for board-approved supervisors as established in 201 KAR 23:070

(6) A provider of continuing education shall be responsible for providing documentation in the form of a certificate of attendance or completion directly to the licensee, as established in Section 7(5) of this administrative regulation.

(7) A provider of a continuing education program requiring board approval shall not advertise that a course has been approved before written board approval has been received.

(8) Provider Renewal. An approved provider shall submit a Provider or Sponsor Application for Continuing Education Approval for a subsequent one (1) year period by:

(a) Notifying the board that the original information required in this section for each program remains current; and

(b) Paying a renewal fee, payable to the Kentucky State Treasurer, of:

Fifty (50) dollars for each one (1) day program of eight (8) hours or less; and
$100 for each additional one (1) day program of eight (8) hours or less.

Section 5. Procedures for Approval and Renewal of Continuing Education for Sponsors and Programs.

(1) Sponsor Approval. A sponsor seeking approval of continuing education programs shall apply to the board at least thirty (30) days in advance of the commencement of the program, and provide the information required by subsection (3) of this section.

(2) The board shall approve a continuing education program if it determines that the program being presented:

(a) Is relevant to the practice of social work;

(b) Contributes to the professional competency of the licensee; and

(c) Has competent instructors with appropriate academic training, professional licenses or certifications, or professionally recognized experience.

(3) The board may approve a sponsor of continuing education programs for one (1) year if the sponsor:

(a) Files a completed Provider or Sponsor Application for Continuing Education Approval, which includes:

A published program outline that includes an explanation of the program objectives;
The names and qualifications of each presenter and instructor documented in the form of resumes or curriculum vitae;
A copy of the evaluation sheet by which the licensee can assess and comment on the program;
A copy of the program agenda stating the number of continuing education credit hours, including all breaks;
The number of continuing education credit hours requested;
A copy of the official certificate of completion and attendance from the sponsor; and
A statement whether the sponsor is requesting approval to meet the requirements of courses on the:

a. Kentucky Code of Ethical Conduct required by Section 2(4) of this administrative regulation; or

b. Clinical social work supervision for board-approved supervisors required by 201 KAR 23:070, Section 4(1)(d) and (e); and

(b) Pays an initial application fee of $250 made payable to the Kentucky State Treasurer.

(4) If the sponsor is requesting approval to meet the requirements of the Kentucky Code of Ethical conduct course required for renewal by Section 2(4) of this administrative regulation, a minimum of one (1) presenter or instructor for the course shall:

(a) Hold a degree in social work;

(b) Hold an active license to practice social work in the Commonwealth of Kentucky;

(d) Not be practicing social work under terms or conditions of supervision imposed by the board.

(5) If the sponsor is requesting approval for the clinical social work supervision course, whether the initial six (6) hour or the three (3) hour renewal course required for board-approved supervisors, each presenter or instructor shall meet all qualifications for board-approved supervisors as established in 201 KAR 23:070.

(6) The board shall periodically review the programs that a sponsor has provided to determine if the sponsor continues to meet the requirements of this administrative regulation.

(7) An approved sponsor shall submit an annual report to the board of the continuing education programs offered during that calendar year and shall include copies of attendance sheets and evaluations (or evaluation summaries) for each program.

(8) A sponsor of a continuing education program shall be responsible for providing documentation in the form of a certificate of attendance or completion directly to the licensee, so that the licensee can comply with the requirements as established in Section 7(5) of this administrative regulation.

(9) A sponsor of a continuing education program requiring board approval shall not advertise that the course has been approved before written board approval has been received.

(10) Sponsor Renewal. An approved sponsor shall submit a Provider or Sponsor Application for Continuing Education Approval for a subsequent one (1) year period by notifying the board that the original information required in this section for each program remains current and by paying $150 renewal fee made payable to the Kentucky State Treasurer.

(11) A sponsor may request to add a program after being approved as a sponsor if the program meets the requirements of this section, and the sponsor submits:

(a) A Provider or Sponsor Application for Continuing Education Approval as required in this section; and

(b) Pays a fee of twenty-five (25) dollars.

Section 6. Individual Request for Board Review and Approval of Continuing Education Courses.

(1) A licensee may request an individual review of a continuing education program that was otherwise not approved if it was completed during the three (3) year renewal period if the individual licensee:

(a) Applies for individual review by submitting the Individual Application for Continuing Education Approval that includes the:

Certificate of completion or attendance;
Resume of each instructor; and
Program agenda indicating hours of instruction; and

(b) Pays a fee of ten (10) dollars made payable to the Kentucky State Treasurer.

(2) The board's review shall be based on the standards for continuing education established by this administrative regulation.

(3) The board's approval of a continuing education program under this section shall:

(a) Qualify as if it has been obtained from an approved provider or sponsor; and

(b) Be limited to the particular program upon which the request for individual review is based.

Section 7. Responsibilities and Reporting Requirements of Licensees. Each licensee shall be responsible for obtaining the required continuing education hours for her or his renewal. The licensee shall identify his or her own continuing education needs, seek continuing professional education activities to meet those needs, and develop ways to integrate new knowledge, skills, and attitudes. Each licensee shall:

(1) Select approved programs by which to earn continuing education hours for renewal;

(2) Submit to the board, if applicable, a request for continuing education programs requiring approval by the board as established in Section 3 of this administrative regulation;

(3) Maintain her or his records of continuing education hours;

(4) At the time of renewal, list the continuing education hours obtained during that licensure renewal period; and

(5) If requested by the board, furnish documentation of continuing education courses completed at the time of his or her renewal.

(a) In each calendar year, the board shall require up to fifteen (15) percent of all licensees to furnish documentation of the completion of continuing education hours for the current renewal period;

(b) Documentation of continuing education hours shall not otherwise be reported to the board;

Transcripts;
Certificates of completion or attendance;
Affidavits signed by instructors; or
Receipts for fees paid to the provider or sponsor; and

(d) Each licensee shall retain copies of his or her documentation for a period of one (1) year following the date of his or her last renewal.

Section 8. Board to Approve Continuing Education Hours; Appeal if Approval Denied. If an Individual Application for Continuing Education Approval for hours is denied, in whole or part, the applicant may submit an appeal in writing within thirty (30) days of receipt of a denial. This decision shall include a clear justification for the outcome. The appeal process shall not suspend the applicant's obligation to meet the continuing education requirements.

Section 9. Waiver or Extensions of Continuing Education Requirements.

(1) If a licensee is unable to meet the minimum continuing education requirements or make the required reports of continuing education credits due to a documented medical disability, illness, or undue hardship, the board may grant a waiver, or an extension of up to one (1) calendar year to fulfill the requirements for renewal or to make the required reports of continuing education requirements. A licensee shall submit a written request including all relevant supporting evidence as established in subsection (3) of this section. The board reserves the right to request additional documentation if necessary.

(2) Waivers and extensions shall apply only to continuing education requirements established by administrative regulation. Continuing education requirements established by KRS 194A.540, 210.366, 335.130, and 620.020 shall not be waived or extended.

(3) A licensee submitting a written request to the board for a waiver or extension of time involving medical disability, illness, or undue hardship shall include relevant supporting evidence as established in paragraph (a) through (c) of this subsection.

(a) If the request is based on medical disability or illness, the licensee shall include a written statement signed by a licensed physician.

(b) If the request is based upon undue hardship, the licensee shall submit a written explanation of the nature of the undue hardship.

(4) If the medical disability, illness, or undue hardship upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the licensee may reapply for the waiver or extension.

(a) If the reapplication is based on medical disability or illness, the licensee shall include a written statement signed by a licensed physician.

(b) If the reapplication is based upon undue hardship, the licensee shall submit a written explanation of the nature of the undue hardship.

(c) The board may request that a licensee provide additional information and verification by a third party to support the reapplication.

Section 10. Continuing Education Requirements for Reinstatement of Expired License.

(1) A certified social worker or a licensed clinical social worker who requests reinstatement of an expired license shall submit documentation of completion of thirty (30) hours of continuing education within the three (3) year period immediately preceding the date he or she submits the request for reinstatement to the board on the Application for Renewal, as incorporated by reference in 201 KAR 23:051.

(2) A licensed social worker who requests reinstatement of an expired license shall submit documentation of completing fifteen (15) hours of continuing education within the three (3) year period immediately preceding the date he or she submits the request for reinstatement to the board on the Application for Renewal, as incorporated by reference in 201 KAR 23:051.

(3) If the licensee requesting reinstatement cannot provide evidence of completion of the required hours of continuing education, the board may reinstate the license for six (6) months on the condition that the licensee obtain the required hours of continuing education for his or her level of licensure within six (6) months of the date the license is reinstated.

(a) The continuing education hours completed for reinstatement shall be in addition to the continuing education requirements for renewal established in Section 2 of this administrative regulation and shall not be used to comply with the requirements of that section.

(b) Failure to obtain the required continuing education hours within the approved six (6) month period shall result in termination of the reinstated license.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Provider or Sponsor Application for Continuing Education Approval", 7/2025; and

(b) "Individual Application for Continuing Education Approval", 7/2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at Kentucky Board of Social Work,125 Holmes Street, Suite 310, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or on the board's website at bsw.ky.gov.

History

RELATES TO: KRS 194A.540, 210.366, 335.070(3), 335.130, 620.020
STATUTORY AUTHORITY: KRS 335.070(3), (6), 335.130(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.070(3) authorizes the board to promulgate administrative regulations pursuant to KRS Chapter 13A to carry out the provisions of KRS 335.010 to 335.160 and 335.990. KRS 335.070(6) and 335.130(4) allow the board to require continuing education as a condition of license renewal. This administrative regulation describes the requirements for continuing education for renewal and prescribes methods and standards for the board to approve continuing education courses.
History: 201 KAR 023:075. 26 Ky.R. 277; Am. 720; eff. 10-20-1999; 29 Ky.R. 505; 981; eff. 10-16-2002; 36 Ky.R. 635; 1195; eff. 1-4-2010; 37 Ky.R. 1335; 1692; 1974; eff. 3-4-2011; 38 Ky.R. 818; eff. 12-7-2011; 42 Ky.R. 2812; 43 Ky.R. 235, 1021, 1580, 1716; eff. 5-5-2017; 51 Ky.R. 1901; 52 Ky.R. 407, 711; eff. 11-12-2025.

201 KAR 23:080 Code of ethical conduct {#sec-201-kar-23-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:080}

Section 1. Definitions.

(1) "Client" means:

(a) An individual, family, or group who directly receives social work services from a social worker;

(b) A corporate entity or other organization if the contract is to provide a social work service of benefit directly to the corporate entity or organization; or

(c) A legal guardian who is responsible for making decisions relative to the provision of services for a minor or legally incompetent adult.

(2) A person identified as a client pursuant to subsection (1) of this definition shall be deemed to continue to be a client for a period of five (5) years following the last date of service rendered to the person.

(3) "Dual relationship" means a social, business, or personal relationship between a social worker and a client that coexists with the professional-client relationship between the social worker and the client.

Section 2. Client Relationships.

(1) A legal guardian of a minor or legally incompetent adult shall be considered the client for the purpose of making decisions relative to the provision of services for the minor or legally incompetent adult.

(2) The minor or legally incompetent adult shall be considered the client for an issue that:

(a) Directly affects the physical or emotional safety of the individual, including a prohibited relationship; or

(b) Is specifically reserved to the individual and agreed to by the guardian prior to the rendering of the service.

(3) A client who directly receives the social work service shall be deemed to continue to be a client for a period of five (5) years following the last date of service actually rendered.

Section 3. Responsibility to Clients.

(1) A social worker shall promote the well-being of a client and, if required by law, the safety and well-being of an individual whose life might be affected by the client's behavior or circumstance.

(2) A social worker shall not illegally discriminate against an individual.

(3) A social worker shall not provide a service outside his scope of practice as established in 201 KAR 23:060.

(4) A social worker shall notify a client of the regulatory authority of the board by displaying a written notice in public view in the social worker's office or service site. The notice shall contain the:

(a) Name of the social worker;

(b) Type of social work license;

(d) Name, address, and telephone number of the board.

(5) A social worker shall confine his practice to a condition imposed upon his license by a state or federal authority and shall not practice as a social worker as defined in KRS 335.020 if his license has been suspended or revoked.

(6) A social worker shall provide a service to a client in a manner that is respectful and appreciative of the client's culture.

(7) A social worker shall not refer a client or delegate a service to a provider whom the social worker has reason to believe is not qualified to perform a professional service.

(8) A social worker shall provide a service to a client in the least restrictive mode of care.

Section 4. Informed Consent.

(1) A social worker shall obtain informed consent from the client or his legal guardian in writing to provide a social work service. To obtain informed consent, a social worker shall inform the client of the following:

(a) The client's condition;

(b) The recommended social work service;

(d) Possible foreseeable risks or negative consequences of the service;

(e) Possible alternative services; and

(f) The right to refuse a service.

(2) A social worker shall obtain written informed consent from the client or his legal guardian before audiotaping or videotaping the client.

(3) A social worker shall inform a client of the social worker's duties and obligations to a third party if the third party has referred the client and has a continuing interest in the client's participation in a service plan.

(4) A social worker who provides a collateral service to a family member of a client shall inform the family member about the social worker's duties and obligations to the primary client and the possible limitations of service to the family member.

(5) Informed consent required by this section shall be obtained in writing and shall expressly state the nature of the informed consent.

Section 5. Professional Integrity.

(1) A social worker shall not provide a social work service if under the influence of alcohol, another mind-altering or mood-altering drug, or physical or psychological illness which impairs delivery of the services.

(2) A social worker shall not possess or distribute the board's examination material without authorization by the board.

(3) A social worker shall not interfere with a board investigation of a social worker through a willful means including:

(a) Misrepresentation of a fact;

(b) Undue influence of a witness;

(d) Harassing communication toward a person.

(4) A social worker shall not verbally abuse or harass or physically threaten or assault a client, supervisee, employee, board member, or agent of the board.

Section 6. Responsibility to Students and Supervisees.

(1) A social worker shall promote the educational and training interests of his students and supervisees.

(2) A social worker shall not engage in a social, business, or personal relationship with his student or supervisee if that relationship might:

(a) Impair the social worker's professional judgment;

(b) Incur the risk of exploitation of the student or supervisee; or

(3) If a social, business, or personal relationship cannot be avoided and if it does not impair the social worker's professional judgment, incur a risk of exploitation of the student or supervisee, or otherwise violate a provision of this administrative regulation, the social worker shall take appropriate professional precautions to ensure that judgment is not impaired and exploitation does not occur.

(4) A social worker shall not obtain or engage the service of his student or supervisee in an activity except an activity that promotes a student's or supervisee's academic, educational, or training interest.

(5) A social worker shall not engage in sexual intimacy or contact with his student or supervisee.

(6) A social worker shall not enter into a professional-client relationship with his student or supervisee.

(7) A social worker shall not permit a student or supervisee to perform or to hold himself out as competent to perform a professional service beyond his level of training, experience, or competence.

Section 7. Advertising.

(1) A social worker shall accurately present his services, education, professional credentials, qualifications, and license level to the public.

(2) A social worker shall not display a license issued by the board which has expired, or has been suspended or revoked.

(3) A social worker shall not use professional identification, including a business card, office sign, letterhead, telephone directory listing, or electronic listing, if it includes a statement that is false, fraudulent, misleading, or deceptive. A statement shall be deemed false, fraudulent, misleading or deceptive if it:

(a) Contains a material misrepresentation of fact; or

(b) Is intended to, or is likely to, create an unjustified expectation by the public or by a client.

Section 8. Payment for Services.

(1) A social worker shall ensure that a client is informed of the fee and billing arrangement before rendering a service.

(2) A social worker shall not bill, or permit a client or third party to be billed, for a social work service if he knows that the service was:

(a) Not provided;

(b) Improperly provided;

(d) Unnecessary.

(3) A social worker shall not offer or accept payment or other compensation for referral of a client.

(4) A social worker shall not accept a form of remuneration for a service that involves the bartering of services.

(5) A social worker may take legal measures to collect a fee if:

(a) A client does not pay the agreed fee for a rendered service; and

(b) The social worker:

Gives reasonable advance notice to the client; and
Does not release more information about the client than is necessary to collect the fee.

Section 9. Confidentiality.

(1) A social worker shall hold communications with a client in confidence and shall maintain a record of client information in a confidential manner.

(2) A social worker may disclose client information if:

(a) The client has signed an authorization to release information;

(b) The social worker is required by law to disclose essential information out of a duty to protect, warn, or report;

(d) A client has raised his mental condition as an element in a civil action and the court has ordered the release of the client's information.

(3) A social worker shall not disclose more client information than is necessary to meet the requirements of law.

(4) A social worker shall remove identifying information about the client from a training manual, professional writing, or classroom presentation.

(5) A social worker shall protect the confidentiality of a deceased client.

Section 10. Client Records.

(1) A social worker shall not deceptively alter a client record.

(2) A social worker shall retain and secure a client record in a manner than maintains confidentiality and, if authorized by subsection (3) of this section, shall destroy a record in a manner that ensures confidentiality.

(3) A social worker shall maintain a client record for at least five (5) years from the date of termination of a service, or until a client reaches the age of twenty (20) years, whichever is longer.

Section 11. Dual Relationships.

(1) A social worker shall not enter into a dual relationship with a client if the relationship might:

(a) Impair the social worker's professional judgment;

(b) Incur the risk of exploitation of the client; or

(2) If a dual relationship cannot be avoided and if it does not impair the social worker's professional judgment, incur a risk of exploitation of the client, or otherwise violate a provision of this administrative regulation, the social worker shall take appropriate professional precautions to ensure that judgment is not impaired and exploitation does not occur.

(3) A social worker shall not obtain or engage the service of a client if obtaining or engaging the service might:

(a) Impair the social worker's professional judgment;

(b) Incur the risk of exploitation of the client; or

(4) A social worker shall not engage in sexual intimacy or contact with a client or former client.

(5) A social worker shall not engage in a personal relationship or engage in sexual intimacy or contact with a member of a client's immediate family or an individual who is otherwise an intimate of the client.

(6) A social worker shall not use his professional relationship with a client or a former client to further his personal interest or personal gain.

(7) A social worker shall not enter into a professional-client relationship with a member of the social worker's immediate family, an intimate, or a personal friend unless this relationship does not pose a risk of harm to the client or to a member of the client's immediate family.

(8) A social worker shall be solely responsible for acting appropriately in regard to a relationship with a client or former client. A client or a former client's initiation of a personal, sexual, or business relationship shall not justify, excuse, or provide a defense for a violation of this section.

Section 12. Referral and Termination.

(1) A social worker shall make a timely and appropriate referral of a client for a social work or other service if:

(a) The social worker is unable to provide the work or service; or

(b) The client's need exceeds the competency of the social worker.

(2) A social worker shall terminate a social work service if a client:

(a) Has attained his stated goal or objective; or

(b) Fails to benefit from the social work service.

(3) A social worker shall communicate the referral or the termination of a social work service to a client.

(4) A social worker shall not terminate a social work service or refer a client for the purpose of entering into a personal relationship with the client, including:

(a) A sexual, romantic relationship;

(b) A financial or business relationship; or

Section 13. Research.

(1) A social worker shall obtain written informed consent from a client or a client's guardian if the client is a subject of a research project.

(2) A client's consent shall comply with the requirements of federal and state law regulating research with a human subject and shall include at least the following:

(a) The scope and purpose of the research;

(b) The procedures used to protect the client's confidentiality interests;

(d) The possible risks and benefits of participation; and

(e) The client's right to withdraw from participation without negative consequence to service delivery.

(3) A social worker shall protect the privacy and anonymity of a client who is a research subject and shall inform a client of a limitation on confidentiality that might arise from participation in the research project.

Section 14. Duty to Report. A social worker who has personal knowledge of a violation of the code of ethical conduct shall report to the board the name of the offending social worker and the nature of the ethical violation. The social worker shall not report the name of the client or client identifying information unless the client has given informed consent to him.

History

RELATES TO: KRS 335.150(1)(g)
STATUTORY AUTHORITY: KRS 335.070(3), 335.150(1)(g)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.150(1)(g) provides that the board may take disciplinary action against an applicant or licensee who has violated the code of ethical conduct as set forth by the board by promulgation of an administrative regulation. This administrative regulation establishes the code of ethical conduct.
History: 3 Ky.R. 266; eff. 10-6-1976; 9 Ky.R. 732; eff. 1-6-1983; 23 Ky.R. 4206; 24 Ky.R. 864; eff. 10-13-1997; 27 Ky.R. 198; 741; eff. 9-11-2000; Crt eff. 6-21-2019; Crt to Am 5-28-2026; Am due 11-28-2027.

201 KAR 23:120 Equivalency standard {#sec-201-kar-23-120 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:120}

Section 1. In determining equivalency, the board will compare any program to that of a master's or bachelor's degree from a CSWE (council of social work educators) accredited school. In determining equivalency, the board will require that the educational content of a program shall include:

(1) Human behavior and the social environment;

(2) Social welfare policy and service;

(3) Research;

(4) Social work practice; and

(5) Educational practicum.

Section 2.

(1) In human behavior and the social environment emphasis should be placed on the psychosocial situation. Six (6) hours of such courses should be at the upper division, or three (3) hours if such is built on a base of psychological and sociological courses.

(2) Social welfare policy and service courses shall include at least three (3) hours at the upper division social work or social welfare courses, built on courses in political science and economics. In the absence of political science and economics, there shall be at least six (6) hours in the social welfare policies and services area.

(3) Research courses shall be one three (3) hour social research course based on some kind of basic research.

(4) Social work practicum shall include six (6) hours of social work practice courses taught by an individual with an advanced degree in social work. In the absence of classes in lower division social work methods, three (3) additional hours shall be required in a lower division course, totaling nine (9) hours.

(5) Practicum shall be taught by an individual with an advanced degree in social work for at least 450 hours. Two (2) hours per week of supervision shall be required by an individual with an advanced degree in social work.

History

RELATES TO: KRS 335.090
STATUTORY AUTHORITY: KRS Chapter 13A, 335.070
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation clarifies what the board will consider as equivalent education to that of a baccalaureate degree in social work or a social welfare program.
History: 11 Ky.R. 1710; eff. 6-4-1985; 12 Ky.R. 1157; eff. 1-4-1986; Crt eff. 6-21-2019; Crt to Am 5-28-2026; Am due 11-28-2027.

201 KAR 23:140 Per diem compensation for board members {#sec-201-kar-23-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:140}

Section 1. The per diem compensation for a board member shall be $100.

History

RELATES TO: KRS 335.060
STATUTORY AUTHORITY: KRS 335.060, 335.070(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.060 provides that a board member shall receive per diem compensation, not to exceed $125, to be established by administrative regulation promulgated by the board. This administrative regulation establishes this per diem compensation.
History: 23 Ky.R. 4252; 24 Ky.R. 866; eff. 10-13-1997; Crt eff. 6-21-2019; Crt to Am 5-28-2026; Am due 11-28-2027.

201 KAR 23:150 Complaint procedure, disciplinary action, and reconsideration {#sec-201-kar-23-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:150}

Section 1. Definitions.

(1) "Board" is defined by KRS 335.020(1).

(2) "Charge" means a specific allegation contained in a document issued by the board or hearing panel alleging a violation of a specified provision of KRS 335.010 to 335.160 or 201 KAR Chapter 23.

(3) "Complaint committee" means a committee of the board that:

(a) Reviews an initiating complaint; and

(b)

Recommends dismissal or further investigation of the complaint; or
Determines the existence of sufficient evidence to bring a formal complaint.

(4) "Formal complaint" means a formal administrative pleading or notice of administrative hearing authorized by the board that sets forth charges against a license holder, an applicant, or an unlicensed person engaging in the practice of social work or holding himself or herself out to the public by any title regulated by the board, and commences a formal disciplinary proceeding in accordance with KRS Chapter 13B.

(5) "Initiating complaint" means an allegation alleging misconduct by a licensee or applicant or alleging that an unlicensed person is engaging in the practice of social work, or is using the title "Certified Social Worker", "Licensed Social Worker", or "Licensed Clinical Social Worker".

(6) "Order" means the whole or part of a final disposition of a hearing.

(7) "Respondent" means the person against whom an initiating or formal complaint has been made.

Section 2. Composition of Complaint Committee.

(1) The complaint committee shall consist of at least two (2) board members appointed by the board chair, one (1) of whom may be the board chair; and

(2) The complaint committee may be assisted by the board staff and counsel to the board.

Section 3. Initiating Complaint.

(1) An initiating complaint may be made by:

(a) An individual;

(b) An individual who is authorized to act on the behalf of an employer of a licensee or applicant;

(d) The board.

(2) An initiating complaint shall be:

(a) Made by a complainant in writing to the board on a Kentucky Board of Social Work Complaint Form along with an Authorization for Release of Medical and Hospital Records form, if applicable and describe with sufficient detail the alleged violations or violations of KRS Chapter 335 or 201 KAR Chapter 23; and

(b) Received in the board office by mail, hand delivery, fax, electronic mail, or by an online complaint submitted through the board's Web site at https://bsw.ky.gov.

(3) The board may conduct an investigation and initiate any necessary complaint on its own initiative without receipt of a written complaint if the board has reasonable cause to believe that there may be a violation of KRS 335.010 to 335.160 or 201 KAR Chapter 23.

(4) A certified copy of a court record for conviction of a misdemeanor or felony shall be considered a valid initiating complaint against a licensee or temporary permit holder.

(5) Redaction.

(a) Upon recommendation of the complaint committee and consent by majority vote of the board, the board may direct that an initiating complaint be redacted of personal names, identification numbers, and contact information.

(b) The board shall keep the original initiating complaint free of redactions and store the document in the complaint case file.

Section 4. Notice to Respondent.

(1)

(a) The board shall notify a respondent in writing of the receipt of an initiating complaint and send a copy of the initiating complaint to the respondent at his or her mailing address or electronic mail address provided to the board.

(b) The board shall send a redacted copy of an initiating complaint to the respondent. A respondent may inspect records related to him or her, or in which he or she is mentioned by name pursuant to KRS 61.884.

(c) The board may keep the complainant's name and contact information confidential until completion of the investigation if any.

(2) A respondent shall file a written response to an initiating complaint with the board by mail, hand delivery, fax, or electronic mail within twenty (20) days after receipt of notice of the initiating complaint, unless an extension is requested and granted in accordance with subsection (4) of this section.

(3) Failure of a respondent to file a timely response to the initiating complaint shall constitute a violation of a board order and this administrative regulation and shall be grounds for disciplinary action under KRS 335.150(1)(f).

(4) Request for extension of time.

(a) A respondent, or his or her legal representative may request an extension of time or additional time to file a response by submitting a written request to the board on or before the expiration of the twenty (20) day due date established in subsection (2) of this section.

(b) The complaint committee or the board administrator may grant an extension of time if requested to obtain legal counsel, provide ample time for preparation of a detailed response, or for other good cause shown.

Section 5. Recommendations of Complaint Committee.

(1) Based on consideration and review of the initiating complaint, the response, and any other relevant information or material available, the complaint committee may recommend that the board:

(a) Dismiss the initiating complaint and find the matter closed if:

a. The board lacks jurisdiction over the person named in the initiating complaint;

b. There is insufficient evidence to support the initiating complaint;

c. There are no violations of laws, rules, or administrative regulations governing the practice of social work; or

d. The conduct complained of does not warrant disciplinary or other remedial action.

Upon reaching a decision to dismiss the initiating complaint, the board shall notify the respondent and complainant of the disposition of the matter in writing, by personal service, regular mail, or electronic mail address provided to the board.
Dismissal of an initiating complaint shall be a final board action and shall not be subject to further investigation by the board or appeal under KRS 335.155.

(b) Further investigation of the initiating complaint. If the board approves an investigation, the board may be assisted by board staff, an agent of the board, the Office of the Attorney General, or other appropriate local, state, or federal agency;

(d) Request an Authorization for Release of Medical and Hospital Records form from a party;

(e) Resolve the initiating complaint through informal proceedings pursuant to KRS 335.150(4);

At any time during the complaint process, the board may authorize the board attorney or executive director of the board to enter into discussions or negotiations with a respondent and his or her attorney, if any, for the purpose of settling and informally dispensing with the initiating complaint.
An agreed order or assurance of voluntary compliance shall be approved by a majority vote of the board and be signed by the chairperson of the board, the respondent, and the respondent's attorney, if any. Copies shall be placed in the licensee's file, and be provided to the complainant.
The board may employ mediation as a method of resolving the matter informally.
A mediated agreement shall be handled in the same manner as an agreed order in subsection (1) of this section.

(f) Issue a formal complaint and provide notice of hearing to the respondent in accordance with KRS Chapter 13B and KRS 335.155;

(g) Refer the matter to another government agency; or

(h) Initiate a proceeding in its own name in Franklin Circuit Court to restrain and enjoin a violation in accordance with KRS 335.160.

(2) If at any time a complaint committee member becomes aware of having a possible conflict of interest, the member shall disclose the existence of the conflict to the complaint committee and the member may be excused by the board.

Section 6. Board Action upon Recommendation of Complaint Committee.

(1) The board shall review the committee's recommendations and shall approve or reject by majority vote the recommendations in whole or in part.

(2) A board member having a known conflict of interest or if at any time becomes aware of a possible conflict of interest shall disclose the existence of the conflict in writing to the board and may be excused, if warranted.

(3) The board shall notify a respondent and complainant of the resolution of the complaint in writing, by personal service, by the regular mail, or electronic mail address provided to the board.

Section 7. Motion to Reconsider.

(1) A respondent may file a motion to reconsider, modify, or reverse the final disposition of a disciplinary hearing to the board within thirty (30) days of notification of final disposition, in writing, and received in the board office by mail, hand delivery, fax, or electronic mail.

(2) The motion to reconsider shall provide evidence of the following:

(a) Grounds and reasons for reconsideration, modification, or reversal;

(b) Rehabilitation or restitution, if applicable; and

(3) The complaint committee shall consider any such motion to reconsider at the next regularly scheduled committee meeting and any change in disposition shall be approved by a majority vote of the board.

(4) The board shall notify a respondent and complainant of the disposition of the reconsideration in writing, by personal service, by the regular mail, or electronic mail address provided to the board.

(5) The board shall consider no more than one (1) motion to reconsider from a respondent in a final matter.

Section 8. Formal Response.

(1) Within twenty (20) days of service of the notice of administrative hearing, the respondent shall file with the board a written response to the specific allegations set forth in the notice of administrative hearing.

(2) Allegations not properly responded to shall be deemed admitted.

(3) The board shall, if there is good cause, permit the late filing of a response.

Section 9. Composition of the Hearing Panel. Disciplinary actions shall be heard by a hearing officer and:

(1) The full board or a quorum of the board;

(2) A hearing panel consisting of at least one (1) board member appointed by the board; or

(3) The hearing officer alone in accordance with KRS 13B.030(1).

Section 10. Administrative Disciplinary Fine. If the board finds against the respondent on a charge, an administrative disciplinary fine in accordance with KRS 335.150 shall be assessed against the respondent.

Section 11. Unlicensed Practice.

(1) If the complaint committee concludes that an initiating complaint is substantiated to show that a person is practicing social work without a license, or is holding himself or herself out to the public by any title regulated by the board, then the committee shall prepare a letter signed by the board chair or an authorized representative, and notify the person of the committee's belief that the person is engaging in this behavior and request that the person cease practicing without a license, or from holding himself or herself out by utilizing a regulated title.

(2) The board may forward the complaint to the appropriate county attorney or Commonwealth's attorney with a request that appropriate action be taken in accordance with KRS 335.990.

(3) The board may initiate an action for injunctive relief in Franklin Circuit Court to restrain and enjoin violations in accordance with KRS 335.160.

Section 12. Incapacity of Respondent.

(1) If the board receives an initiating complaint alleging that a licensee or an applicant has been legally declared mentally incompetent or may be mentally incapable of providing social work services in a competent, safe, ethical, or professional manner, the board shall follow the procedures established in this administrative regulation;

(2) The board may order the licensee or applicant to submit to an examination by a psychologist, physician, or certified alcohol and drug counselor designated by the board to determine whether the licensee or applicant is capable of providing social work services in a competent, safe, ethical, or professional manner in accordance with KRS 335.010 to 335.160 and 201 KAR Chapter 23.

(3) The board shall pay the cost for an examination initiated and recommended by the board. The respondent shall pay the cost of the examination if he or she seeks an independent examination.

Section 13. Emergency Action. (1) Nothing in this administrative regulation shall be construed to prevent the board from taking emergency action if authorized by KRS 13B.125.

Section 14. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "KY Board of Social Work Complaint Form", 4/2021; and

(b) "Authorization for Release of Medical and Hospital Records", 4/2021.

History

RELATES TO: KRS 335.030, 335.070(1)(a), (2)-(8), 335.150, 335.155
STATUTORY AUTHORITY: KRS 335.070(1)(a), (2), (3), 335.150, 335.160
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.070(1)(a) requires the board to administer and enforce the provisions of KRS 335.010 to 335.160 and 335.990. KRS 335.070(3) authorizes the board to promulgate administrative regulations to carry out the provisions of KRS 335.010 to 335.160 and 335.990. KRS 335.070(2) authorizes the board to issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating KRS 335.010 to 335.160 and 335.190. KRS 335.150 authorizes the board to regulate the conduct of individuals, including to investigate alleged violations and take appropriate disciplinary action. KRS 335.160 authorizes the board to enjoin violations. This administrative regulation establishes the procedures to be followed in handling formal and informal disciplinary proceedings before the board in the imposition of sanctions and disciplinary action of a licensee or individual in violation of KRS 335.030 or KRS 335.150.
History: 47 Ky.R.1503, 2012, 2357; eff. 6-16-2021.

201 KAR 23:160 Temporary permission to practice {#sec-201-kar-23-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 23:160}

Section 1. Temporary Permits without the Examination.

(1) If requested, a temporary permit to engage in the practice of social work shall be granted to an applicant who has applied for licensure under the provisions of KRS 335.080 or 335.090 and completed all of the requirements for licensure except having passed the required examination.

(2) The application required by subsection (1) of this section shall be made to the board or to the online application management system and shall:

(a) Include a certification by the applicant that:

The information in the application is true, correct, and complete to the best of their knowledge and belief; and
The applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification; and

(b) Be accompanied by payment of the application fee that shall:

Be made payable to the Kentucky State Treasurer if the application is processed through the board; or
Be made to the online application management system as directed by the board.

(3) A person practicing social work under a temporary permit as a licensed social worker or a certified social worker shall be under the supervision of a certified social worker or licensed clinical social worker licensed in Kentucky, who becomes the supervisor of record.

(4) A supervisor of record for a temporary permit holder not practicing clinical social work shall have been licensed in Kentucky for two (2) years.

(5) Any changes to the terms of the temporary permit shall be submitted to the board and approved by the board before the temporary permit holder continues social work practice.

(6)

(a) Unless renewed, a temporary permit shall not extend for more than 180 days after the temporary permit is approved by the board.

(b) A person may re-apply for a temporary permit before the issued permit expires, and this permit shall not extend for more than 180 days after the temporary permit is approved by the board for a maximum of 360 days.

(7) Temporary permit holders shall not practice telehealth outside of Kentucky, which means that the location of the temporary permit holder and the client at the time of service shall be in Kentucky.

(8) The applicant shall pay the required fee for the permit and any renewal fees as established by 201 KAR 23:020.

(9) Receipt of applications, contracts, and notification of approvals may be done by mail or electronically.

Section 2. Temporary Permits to Practice Clinical Social Work without the Examination.

(1) In addition to the requirements established in Section 1(1), (2), (6), and (7) through (9) of this administrative regulation, a certified social worker who seeks to practice clinical social work under a temporary permit shall be under the supervision of a licensed clinical social worker who qualifies to provide supervision under 201 KAR 23:070.

(2) A person practicing under a temporary permit as a certified social worker to provide clinical social work shall not accumulate hours toward the supervision requirements of KRS 335.100(1)(b).

(3) The application for a temporary permit to practice clinical social work shall include a contract or letter signed by the proposed supervisor acknowledging the responsibility for supervision and for the practice of the person holding the temporary permit.

(4) A licensee shall not serve as the supervisor for more than two (2) persons holding a temporary permit at any one (1) time.

(5) A licensed clinical social worker who qualifies to provide supervision under 201 KAR 23:070 shall include temporary permit persons in the required limit of six (6) supervisees as supervisor of record.

(6) Supervision during the period of temporary permission to practice shall be a minimum of one (1) hour of individual supervision per week and in compliance with 201 KAR 23:070.

(7) A person practicing under a temporary permit as a certified social worker to provide clinical social work shall be valid until the applicant for the Certified Social Work license is denied under the provisions of KRS 335.080, or the temporary permit expires.

(8) The temporary permit to practice clinical social work shall only be issued with an approved contract as required in KRS 335.080(3).

(a) The temporary permit applicant shall complete the temporary permit application that includes a contract with an approved supervisor.

(b) The temporary permit remains in effect until a new contract is approved after the Certified Social Work license is issued under KRS 335.080, even when the maximum of 360 days of the permit is exceeded.

(c) A new application for a temporary permit shall be submitted to the board immediately for approval if the supervisee changes his or her:

Supervisor of record; or
Place of employment.

(9) A temporary permit holder shall cease and desist the practice of clinical social work if:

(a) The supervisor of record terminates supervision; or

(b) The temporary permit holder ceases employment listed on the application.

(10) Any changes to the terms of the temporary permit to practice clinical social work shall be submitted to the board and approved by the board before the temporary permit holder continues social work practice.

(11) Temporary permit holders who violate the provisions of this section shall be subject to disciplinary action by the board.

(12) A temporary permit holder and his or her supervisor shall comply with the supervision requirements of 201 KAR 23:070.

Section 3. Temporary Permits for Out-of-state Independent Clinical License Holders. If requested, a temporary permit may be issued for clinical social work practice in Kentucky.

(1) A temporary permit to provide clinical social work in Kentucky may be granted for not more than ninety (90) consecutive days in one (1) calendar year from the date the application is approved.

(2) A temporary permit holder under this section shall be subject to the complaint procedures of the Kentucky Board of Social Work. Complaints shall be reportable to the license board of the jurisdiction where the temporary permit holder or applicant is licensed.

(3) The temporary permit applicant shall not be a resident of Kentucky.

(4) The temporary permit holder shall inform clients of the limited nature of his or her services and that he or she is not currently licensed in Kentucky.

(5) The temporary permit holder or applicant shall have no complaints filed against their license in their current jurisdiction or in the National Practitioner Database or the Public Protection Database.

(6) A temporary permit holder or applicant may be required to submit billing records or other records to demonstrate compliance with the requirements of this section.

(7) The temporary permit holder applicant shall pay the required fee for the permit.

(8) The temporary permit holder shall maintain licensure in the other jurisdiction during the time period of the temporary license.

(9) The temporary permit holder shall inform clients of how to make a complaint to the board for improper practice.

(10) The temporary permit holder shall be allowed to practice telehealth in Kentucky if the permit holder:

(a) Provides evidence to the board of appropriate training for telehealth practice;

(b) Is complying with all telehealth laws and regulations of Kentucky; and

Section 4. Temporary Permits for Out-of-state Independent Non-Clinical License Holders. If requested, a temporary permit may be issued for social work practice in Kentucky for not more than ninety (90) consecutive days during any one (1) calendar year from the date of application approval.

(1) A temporary permit for an out-of-state social worker may be granted to a person who is currently licensed, certified, or regulated pursuant to another jurisdiction or pursuant to the laws of a federally recognized tribe and who provides social work services within the person's scope of practice.

(3) The temporary permit applicant shall seek permission to practice social work within the state of Kentucky.

(4) The temporary permit applicant shall not be a resident of Kentucky.

(5) The temporary permit applicant shall pay the required fee.

(6) The temporary permit applicant shall complete the required application and be approved.

(7) The temporary permit holder shall cease practicing when the permit expires.

(8) The temporary permit holder shall have no disciplinary actions against their license in their current jurisdiction.

(9) The temporary permit holder shall provide evidence to the board of appropriate training for social work telehealth practice.

(10) The temporary permit holder shall inform clients of the limited nature of his or her services and that he or she is only temporarily licensed in Kentucky.

(11) The temporary permit holder shall inform clients of how to make a complaint to the board for improper practice.

(12) A temporary permit holder shall not practice clinical social work.

(13) The temporary permit holder shall be allowed to practice telehealth in Kentucky if the permit holder:

(a) Provides evidence to the board of appropriate training for telehealth practice;

(b) Is complying with all telehealth laws and regulations of Kentucky; and

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Temporary Non-Clinical Social Work Application", 6/15/2023;

(b) "Temporary Clinical Social Work Application", 12/27/23;

(d) "Temporary Social Work Non-Clinical and Non-Resident Application", 12/27/23; and

(e) "Application for Temporary License Renewal", 7/19/2023.

History

RELATES TO: KRS 335.080, 335.090, 335.100
STATUTORY AUTHORITY: KRS 335.070(1), (3), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.070(1) requires the board to evaluate and approve the qualifications of applicants for licensure. KRS 335.070(3) authorizes the board to promulgate administrative regulations. KRS 335.070(9) authorizes the board to establish requirements for temporary permits to practice social work. This administrative regulation establishes the requirements for the granting of temporary permission to engage in the practice of social work.
History: 50 Ky.R. 524, 1487; eff. 2-20-2024.

Chapter 25 Board of Podiatry

201 KAR 25:011 Approved schools; licensure application; fees {#sec-201-kar-25-011 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:011}

Section 1.

(1) The board approves the following schools or colleges of podiatry as having standards and requirements adequate to satisfy the educational requirement for taking the podiatry examination for licensure:

(a) Barry University School of Podiatric Medicine, Miami Shores, Florida;

(b) California School of Podiatric Medicine at Samuel Merritt University, Oakland, California;

(d) Kent State University College of Podiatric Medicine, Independence, Ohio;

(e) Midwestern University Arizona School of Podiatric Medicine, Glendale, Arizona;

(f) New York College of Podiatric Medicine, New York, New York;

(g) Dr. William M. Scholl College of Podiatric Medicine at the Rosalind Franklin University of Medicine and Science, Chicago, Illinois;

(h) Temple University School of Podiatric Medicine, Philadelphia, Pennsylvania; and

(i) Western University of Health Sciences College of Podiatric Medicine, Pomona, California.

(2) All other schools or colleges of podiatry shall have academic standards and requirements equivalent to the schools or colleges listed above as evaluated by the board in order to be approved by the board. Evaluation of the academic standards and requirements shall be made by the board after an applicant has filed an Application for Podiatry License with the board.

Section 2.

(1) Every applicant, otherwise eligible to take the examination pursuant to the provisions of KRS 311.420, shall file a completed and notarized Application for Podiatry License with the board at its principal office at least forty (40) days prior to the date of the examination in order to be eligible to take the examination.

(2) The president of the board may permit a partially completed application to be filed if good cause is shown by the applicant. For the purposes of this subsection, good cause includes situations such as an applicant applying late, having to retake the board examination, or waiting for pending board examination results.

(3) The fee for the examination or reexamination shall be $300 and shall be paid when the Application for Podiatry License is filed with the board. The fee shall be made payable to the Kentucky State Treasurer in United States currency by certified check, cashier's check, or postal money order and shall not be refundable.

(4) Any applicant who fails to attain a passing score as required by the board may apply to the board for reexamination.

(5) The applicant along with the application shall:

(a) Have three (3) letters of recommendation sent to the board verifying good moral character and not addicted to alcohol or drugs;

(b) Have verification of licensure sent directly from the state or states from which the applicant has or has ever held a license;

(d) Have schools, colleges, or institutions send official transcripts directly to the board; and

(e) Have the Federal Bureau of Investigation background check results sent directly to the board.

Section 3. Prior to approval for licensure, an applicant shall:

(1) Submit to a nation-wide criminal background investigation by means of fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation;

(2) Submit to a query to the National Practitioner Data Bank of the United States Department of Health and Human Services; and

(3) Report to the board, with the Application for Podiatry License, any conviction or disciplinary action on a license held by the applicant relating to prescribing or dispensing controlled substances.

Section 4.

(1) Pursuant to KRS 218A.205(3)(f), an applicant for licensure by the board:

(a) Convicted after July 20, 2012 of any felony offense relating to controlled substances shall be permanently banned from prescribing or dispensing a controlled substance by the board;

(b) Convicted after July 20, 2012 of any misdemeanor offense relating to prescribing or dispensing a controlled substance shall have his or her authority to prescribe controlled substances suspended for at least three (3) months, and shall be further restricted as determined by the board; or

(c) Who has had any disciplinary limitation placed on an application or license by a licensing board of another state that resulted from improper, inappropriate, or illegal prescribing or dispensing of controlled substances shall be subject to a restriction on the license that is at least as restrictive in time and scope as that placed on the license by the licensing board of the other state.

(2) In addition to the actions listed in subsection (1) of this section, the board may take any other action provided for in KRS 311.480 against a licensee or applicant that comes under the provisions of that subsection.

Section 5. Requirements for a person issued a license by the board.

(1) A person who has been approved for a license from the board shall register with the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER) administered by the Cabinet for Health and Family Services after issuance of the license and immediately submit proof of the registration to the board.

(2) A person who has received a license from the board shall not prescribe any controlled substance before he or she is registered with KASPER.

(3)

(a) The board shall temporarily suspend a license pursuant to 201 KAR 25:051, Section 5, if a licensee:

Fails to register with KASPER after the approval for licensure by the board; or
Prescribes a controlled substance prior to registration with KASPER.

(b) In addition to the temporary suspension, the board may take additional disciplinary action against a license pursuant to KRS 311.480.

Section 6. Incorporation by Reference.

(1) "Application for Podiatry License", September 2020, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Podiatry, Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 218A.205, 311.420, 311.480
STATUTORY AUTHORITY: KRS 218A.202(2), 311.420(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.420 requires all persons engaging in the practice of podiatry in Kentucky to be licensed by the Board of Podiatry. KRS 311.420 provides that each applicant shall submit to an examination conducted by the board. KRS 218A.202(2) requires licensees that prescribe controlled substances to be registered with the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER). KRS 218A.205 requires the board to place restrictions on licensees and applicants that have specific convictions or restrictions related to prescribing or dispensing controlled substances. This administrative regulation establishes the procedures to be followed in obtaining an application, the fees to be charged, and the procedures relating to the examination and issuance of a license to practice podiatry in this state.
History: 4 Ky.R. 466; eff. 7-5-1978; Am. 7 Ky.R. 779; eff. 5-6-1981; 9 Ky.R. 12; eff. 8-11-1982; 11 Ky.R. 1448; eff. 5-14-1985; 14 Ky.R. 597; eff. 12-11-1987; 20 Ky.R. 2657; eff. 5-18-1994; 21 Ky.R. 1910; 2473; eff. 3-15-1995; 39 Ky.R. 543; 1388; eff. 2-1-2013; 42 Ky.R. 1289; 1713; eff. 12-16-2015; TAm eff. 5-2-2019; Crt eff.12-6-2019; 47 Ky.R. 136, 705; eff. 10-28-2020.

201 KAR 25:012 Licensing examinations {#sec-201-kar-25-012 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:012}

Section 1.

(1) The examination for licensure by the board shall be Part III of the National Board of Podiatric Medical Examiners (NBPME) examination.

(2) The examination shall be administered pursuant to NBPME's testing schedule.

(3) The passing score for the examination shall be seventy-one (71) percent on the entire examination.

History

RELATES TO: KRS 311.420
STATUTORY AUTHORITY: KRS 311.410(4), 311.420(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.410(4) authorizes the board to promulgate administrative regulations to implement KRS 311.390 to 311.510, relating to the practice of podiatry. KRS 311.420(2) requires the board to prescribe examination requirements. This administrative regulation establishes the scope of the licensing examination and the passing score for the examination.
History: 9 Ky.R. 77; eff. 8-11-1982; 14 Ky.R. 598; eff. 12-11-1987; 20 Ky.R. 2658; eff. 5-18-1994; 36 Ky.R. 857; 2035-A; eff. 5-7-2010; Crt eff.12-6-2019.

201 KAR 25:021 Annual renewal of licenses, fees {#sec-201-kar-25-021 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:021}

Section 1.

(1) The annual renewal fee in the amount of $200 shall be attached to the completed Kentucky Board of Podiatry Application for Annual License Renewal when the application is returned to the board by the podiatrist seeking licensure renewal.

(2) The annual renewal fee shall be made payable to the Kentucky State Treasurer in United States currency by certified check, cashier's check, postal money order, personal check, or credit card.

(3) All information requested on the annual renewal application form shall be furnished to the board when the completed annual renewal application form is returned to the board, together with a statement of compliance with the continuing education requirements in 201 KAR 25:031.

(4) Every renewal application shall include proof of current registration with the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER) administered by the Cabinet for Health and Family Services.

Section 2.

(1) Failure to complete the requirements for annual renewal of the license by July 1 of each year shall result in a delinquent penalty fee of $200 in addition to the renewal fee.

(2) A licensee shall immediately report to the board any conviction or disciplinary action on a license held by the applicant relating to prescribing or dispensing controlled substances.

Section 3.

(1) Pursuant to KRS 218A.205(3)(f), a licensee:

(a) Convicted after July 20, 2012 of any felony offense relating to controlled substances shall be permanently banned from prescribing or dispensing a controlled substance by the board;

(2) In addition to the actions listed in subsection (1) of this section, the board may take additional disciplinary action against a licensee pursuant to KRS 311.480.

Section 4. Incorporation by Reference.

(1) "Application for Annual License Renewal", 9/2020, is incorporated by reference

History

RELATES TO: KRS 218A.205, 311.450, 311.480
STATUTORY AUTHORITY: KRS 218A.202(2), 311.410(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.450 requires the board to send notices to all podiatrists licensed by the board to their last known address on or before June 1 of each year. KRS 218A.202(2) requires licensees that prescribe controlled substances to be registered with the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER). KRS 218A.205 requires the board to place restrictions on licensees and applicants that have specific convictions or restrictions related to prescribing or dispensing controlled substances. This administrative regulation requires all licensed podiatrists to complete the annual renewal application and return it, along with the annual renewal fee, to the board. This administrative regulation further establishes an annual license renewal fee and a delinquent penalty fee.
History: 4 Ky.R. 466; eff. 7-5-1978; 7 Ky.R. 780; eff. 5-6-1981; 11 Ky.R. 1449; eff. 5-14-1985; 14 Ky.R. 2036; eff. 7-1-1988; 20 Ky.R. 2659; eff. 5-18-1994; 39 Ky.R. 546; eff. 2-1-2013; 42 Ky.R. 1289; 1714; eff. 12-16-2015; TAm eff. 5-2-2019; Crt eff.12-6-2019; 47 Ky.R. 138, 706; eff. 10-28-2020.

201 KAR 25:031 Continuing education {#sec-201-kar-25-031 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:031}

Section 1.

(1) Each podiatrist licensed by the board shall annually complete twenty (20) hours of continuing education relating to the practice of podiatry.

(2) The twenty (20) hours shall include:

(a) At least fifteen (15) Category A continuing education hours; and

(b) Not more than five (5) Category B continuing education hours.

(3) A continuing education hour shall equal fifty (50) clock minutes of participating in continuing education instruction or presentation that meets the requirements of this administrative regulation for continuing education courses.

(4)

(a) Beginning on July 1, 2012, and annually thereafter, each podiatrist licensed by the board shall complete at least one and one-half (1.5) hours of continuing education related to the use of the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER), pain management, or addiction disorders.

(b) This requirement shall be included in the twenty (20) hours of continuing education required by this administrative regulation.

Section 2. Categories of Continuing Education Hours.

(1) A Category A continuing education hour shall specifically relate to podiatric medicine, surgery, or science and shall:

(a) Be earned by attendance at:

A professional seminar, including the Kentucky Podiatric Medical Association's annual conference;
An accredited school of podiatry continuing education program; or
Another program approved by the board under Section 6 of this administrative regulation; and

(b) Be approved by the American Podiatric Medical Association/Council on Podiatric Medical Education (APMA/CPME), except if the course provider or the licensee that intends to take a course has requested and received board approval of the course under Section 6 of this administrative regulation prior to the course's presentation.

(2) A Category B continuing education hour may relate to non-podiatric medical issues or general practice issues and may be earned by attendance at or participation in:

(a) Home study courses;

(b) Hospital, clinic, or in-house staff lectures; or

Section 3.

(1) A licensee shall keep a valid record of each continuing education program completed. The record shall:

(a) Include a receipt or certification received for the program;

(b) Be kept for three (3) years;

(c) Be presented upon request by the board for audit. If selected by the board for audit, the licensee shall submit the requested proof of continuing education to the board within fifteen (15) days of the request; and

(d) For Category A programs, include proof of APMA/CPME certification or a written letter of approval from the board.

(2) The period during which continuing education courses shall be completed shall be from July 1 of each year until June 30 of the following year.

Section 4.

(1) On application, the board shall consider granting a waiver of the continuing education requirements or an extension of time within which to fulfill the requirements in the following cases:

(a) Medical disability of the licensee;

(b) Illness of the licensee or an immediate family member; or

(2) A written request for waiver or extension of time involving medical disability or illness shall be:

(a) Submitted by the person holding the license; and

(b) Accompanied by a document verifying the illness or disability signed by the:

Licensee's personal physician; or
Immediate family member's personal physician.

(3) A waiver of or extension of time within which to fulfill the minimum continuing education requirements shall not exceed one (1) year.

(4) If the medical disability or illness upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the licensee shall reapply for the waiver or extension.

Section 5. Inactive Status.

(1) A licensee may apply for inactive status by submitting a written letter to the board.

(2) A licensee granted inactive status shall be relieved of the obligation to meet the requirements for continuing education established in this administrative regulation.

(3) A person on inactive status may use the term "podiatrist" but the licensee shall not engage in the practice of podiatry. Any person who practices podiatry while on inactive status shall be deemed to be practicing podiatry without a license in violation of KRS 311.400.

(4) A licensee seeking relicensure from inactive to active status shall fulfill the requirements established in this subsection.

(a) If the licensee has been inactive for no more than five (5) consecutive years, the licensee shall:

Provide written notice to the board requesting reactivation to active status by filing a Kentucky Board of Podiatry License Renewal Application, as incorporated by reference in 201 KAR 25:021, and requesting in writing that the license be made active;
Have completed twenty (20) hours of Category A continuing education requirements within a period of six (6) months preceding the request for active status; and
Pay:

a. The renewal fee of $200 established in 201 KAR 25:021, Section 1; and

b. A reactivation fee of $250.

(b) If a licensee has been in inactive status for more than five (5) consecutive years, the licensee shall:

File a completed Application for Podiatry License in accordance with 201 KAR 25:011, Section 2 and pay the required examination fee;
Be approved by the board to take the examination; and
Successfully complete a satisfactory examination before the board as provided by 201 KAR 25:012.

Section 6. Board Approval of Continuing Education.

(1) A course provider or a licensee shall submit a written request to the board for approval of a continuing education course.

(2) A written request for board approval shall contain:

(a) A brief summary of the continuing education;

(b) The educational objectives of the continuing education;

(d) The name and credentials of the individual providing the continuing education; and

(e) The name of the organization providing the continuing education, if applicable.

(3) In determining whether to approve continuing education, the board shall consider whether the continuing education:

(a) Is designed to provide current developments, skills, procedures, or treatments related to the practice of podiatry;

(b) Is developed and provided by an individual with knowledge and experience in the subject area; and

History

RELATES TO: KRS 218A.205, 311.450(2)
STATUTORY AUTHORITY: KRS 218A.205(3)(i), 311.410(4), 311.450(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.450(2) requires the board to promulgate an administrative regulation to establish continuing education requirements for a podiatrist. KRS 218A.205(3)(i)requires the board to mandate continuing education related to the use of the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER). This administrative regulation establishes those continuing education requirements.
History: 7 Ky.R. 790; eff. 5-6-81; . 9 Ky.R. 13; eff. 8-11-82; 10 Ky.R. 780; eff. 1-4-84; 20 Ky.R. 389; eff. 10-13-93; 25 Ky.R. 1947; 2838; eff. 6-16-99; 26 Ky.R. 1696; 1945; eff. 5-10-2000; 28 Ky.R. 1453; 1798; eff. 2-7-2002; 32 Ky.R. 2072; 33 Ky.R. 80; eff. 7-24-06; 39 Ky.R. 546; eff. 2-1-2013; 42 Ky.R. 1292; 1715; eff. 12-16-2015; Crt eff.12-6-2019; 47 Ky.R. 140, 706; eff. 10-28-2020.

201 KAR 25:051 Procedure for complaints and hearings involving licensees: temporary suspension {#sec-201-kar-25-051 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:051}

Section 1. Definitions.

(1) "Board" means the Kentucky State Board of Podiatry.

(2) "Complaint review committee" means a committee of the board members appointed by the board that:

(a) Reviews an initiating complaint;

(b) Determines whether an investigation should be conducted; and

(3) "Contested case" means an adjudicatory proceeding before the board in which the legal rights, duties, or privileges of any person are required by law to be determined after an opportunity for a hearing, without regard to whether the proceeding is instituted by the board or by some other person.

(4) "Order" means the whole or any part of a final disposition of an adjudication.

(5) "Party" means any person or agency named or admitted as a party to any proceedings of the board and shall include only persons who have a real interest in a matter before the board.

(6) "Person" means any individual, partnership, corporation, association, or public or private organization of any character other than an agency.

(7) "Respondent" means the licensee against whom a complaint has been filed.

Section 2. Form of Complaints.

(1) The complaint shall be sent to the last known address of the licensee that the board has on file.

(2) The licensee shall file a response within twenty (20) days from the date of the board's letter and include with the response a copy of the relevant podiatric medical records.

(3) Upon receipt of the response or after the twenty (20) day period has passed without a response, the complaint review committee shall review the complaint and the licensee's response, if any, and make a recommendation to the board whether the nature and quality of the allegations warrant dismissal, further investigation or the initiation of a hearing.

(4) In making its determination, the board shall consider whether the charges if proven would warrant sanction by the board.

(5) If the complaint involves the improper, inappropriate, or illegal prescribing of controlled substances, the board shall proceed under Section 4(2) of this administrative regulation.

(6) The board may at any time proceed against a licensee on its own initiative either on the basis of information contained in its own records or on the basis of information obtained through its own investigation.

(7) The filing of formal charges shall require the affirmative vote of a majority of the board.

(8)

(a) If the board finds that allegations against a licensee are insufficient for initiation of a formal disciplinary procedure, it shall dismiss the matter and notify all interested parties.

(b) If the board determines that disciplinary proceedings are appropriate, the board shall set the matter for hearing and shall notify the licensee of the charges against him and the time and place of the hearing in accordance with KRS Chapter 13B.

(c)

The board is also entitled to resolve the matter informally through mediation or negotiation.
Any agreed order reached through mediation or negotiation shall be approved by the board and signed by the individual who is the subject of the complaint, the individual's attorney, and the chair of the board.

Section 3. Investigations.

(1) Upon the receipt of a complaint and following the expiration of the twenty (20) days provided for in Section 2(3) of this administrative regulation, the board or its appointed committee may cause an investigation to be made by an individual board member, by any investigation committee, or by any agent or representative appointed by the board. The board may also cause an investigation to be made on its own initiative at any time without a complaint.

(2) If a complaint involves the improper, inappropriate, or illegal prescribing of controlled substances, the board shall:

(a) Inform the Department of Kentucky State Police, the Office of the Attorney General, and the Cabinet of Health and Family services with three (3) days of the receipt of the complaint;

(b) Commence an investigation within seven (7) days of the filing of the complaint; and

(c) Complete the investigation and determine whether to proceed with adjudicatory proceedings against the respondent within 120 days of receipt of the complaint, unless an extension for a definite period of time is requested by a law enforcement agency due to an ongoing criminal investigation.

Section 4. Commencement of Adjudicatory Proceedings.

(1) Upon completion of the investigation referred to in Section 4 of this administrative regulation or after the expiration of the twenty (20) day period referred to in Section 2(3) of this administrative regulation where an investigation is not made or whenever the board has completed an investigation made on its own initiative, the board may begin formal adjudicatory proceedings in accordance with KRS Chapter 13B.

(2) In any case in which the board has denied an application for a license or failed to renew a license, a hearing shall only be scheduled upon receipt by the board of a written request submitted by or on behalf of the person whose application for license was denied or not renewed.

Section 5. Temporary Suspension.

(1) The board chair or the board as a whole may issue an emergency order for the immediate temporary suspension of a license or certificate against which disciplinary action or an investigation is pending if it determines that there is a substantial likelihood that the licensee's practice constitutes a danger to patients or the public.

(2) The emergency order shall be made in accordance with KRS 13B.125 and shall be based upon a finding by the board that the emergency order is in the public interest and there is substantial evidence of immediate danger to the health, welfare, and safety of any patient or the general public.

(3) A licensee may appeal the emergency order by a written request to the board for an emergency hearing in accordance with KRS 13B.125 within thirty (30) days after receipt of the order.

Section 6. The board shall immediately submit all disciplinary and other reportable information to the National Practitioner Data Bank of the United States Department of Health and Human Services or any successor entity.

History

RELATES TO: KRS 218A.205, 311.490
STATUTORY AUTHORITY: KRS 218A.205(3), 311.410(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.410 authorizes the board to promulgate administrative regulations that are necessary to implement the provisions of KRS 311.390 to 311.510. KRS 218A.205(3)(c) requires the board to establish a procedure for temporarily suspending, limiting, or restricting a license. KRS 218A.205(3)(d) requires the board to establish a procedure for the expedited review of complaints pertaining to improper prescribing or dispensing of controlled substances. This administrative regulation establishes the administrative adjudication procedure for all proceedings before the board.
History: 9 Ky.R. 78; eff. 8-11-82; 20 Ky.R. 2660; eff. 5-18-95; 39 Ky.R. 548; 1389; eff. 2-1-2013; Crt eff.12-6-2019.

201 KAR 25:061 Reciprocity {#sec-201-kar-25-061 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:061}

Section 1. An applicant seeking licensure by reciprocity shall file a completed application with the board, together with a nonrefundable fee of $250 and three (3) affidavits attesting to the applicant's good moral character.

Section 2. The board may require the personal attendance of the applicant before the board, or one (1) of its members designated for that purpose, to interview the applicant to ascertain the applicant's fitness for licensing in this state.

History

RELATES TO: KRS 311.475(2)
STATUTORY AUTHORITY: KRS 311.410(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.475(2) authorizes the board to issue licenses by reciprocity and to waive examination. This administrative regulation establishes the procedure and fee to obtain a license by reciprocity.
History: 9 Ky.R. 80; eff. 8-11-82; 20 Ky.R. 2662; eff. 5-18-94; Crt eff.12-6-2019.

201 KAR 25:080 HIV/HBV infection control for podiatrists {#sec-201-kar-25-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:080}

Section 1. Definitions.

(1) "HIV" means the human immunodeficiency virus.

(2) "HBV" means the hepatitis B virus.

(3) "Universal precautions" means the appropriate use of hand and skin washing, protective barriers, care in the use of and disposal of needles and other sharp instruments, and those other techniques recommended in U.S. Centers for Disease Control Morbidity and Mortality Weekly Report, June 24, 1988, Volume 37, Number 24, hereby incorporated by reference. A copy may be inspected or copied at the board's office during business hours.

Section 2. HIV or HBV Serostatus Determination. A podiatrist who is HIV or HBV seropositive and "e" antigen positive, and who performs patient care procedures which pose a significant risk of transmission of HIV or HBV to patients, may seek counsel from the Kentucky State Board of Podiatry.

Section 3. Review and Monitoring of HIV or HBV Positive Podiatrists.

(1) The Kentucky State Board of Podiatry may convene a review panel to:

(a) Monitor the adherence of a HIV or HBV positive podiatrist to:

Universal precautions;
Clinical competency; and
Practice limitations or restrictions established by the review panel to monitor compliance with universal precautions; and

(b) Periodically evaluate the effects of the disease on the competency of the HIV or HBV positive podiatrist.

(2) The review panel shall include the:

(a) Primary care physician of the HIV or HBV positive podiatrist;

(b) A clinical infectious disease specialist;

(d) One (1) or more licensed podiatrists.

Section 4. Disciplinary Action. Any podiatrist who does not comply with universal precautions, the requirements of this administrative regulation or the limitations and restrictions established by the review panel, pursuant to administrative regulation, shall be subject to disciplinary action by the Kentucky State Board of Podiatry as set forth in KRS 311.480.

Section 5. Confidentiality. Information obtained by the Kentucky State Board of Podiatry pursuant to this administrative regulation is personal in nature as set forth in KRS 61.878(1)(a) and is excluded from the application of KRS 61.870 to 61.884.

History

RELATES TO: KRS 311.410(4)
STATUTORY AUTHORITY: KRS 311.410(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.410(4) empowers the Kentucky State Board of Podiatry to promulgate administrative regulations as necessary to implement and enforce the provisions of KRS 311.390 to 311.510. The purpose of this administrative regulation is to encourage and promote infection control among all Kentucky podiatrists.
History: 20 Ky.R. 1726; 2325; eff. 2-10-94; Crt eff.12-6-2019.

201 KAR 25:090 Prescribing and dispensing controlled substances {#sec-201-kar-25-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 25:090}

Section 1. Prescribing or Dispensing Authority.

(1) A podiatrist licensed by the board may prescribe and dispense controlled substances necessary for the treatment of a patient that comes within the practice of podiatry as defined by KRS 311.380(2) if the licensee:

(a) Has obtained a registration number from the Drug Enforcement Administration;

(b) Registers with and uses the Kentucky All-Schedule Prescription Electronic Reporting System (KASPER) as required by KRS 218A.202 and related administrative regulations promulgated by the Cabinet for Health and Family Services; and

(2) A podiatrist licensed by the board shall not prescribe or dispense:

(a) With the intent or knowledge that a medication will be used or is likely to be used for any purpose other than one that is necessary for medical treatment or therapeutic use;

(b) With the intent to evade any law governing the sale, use, or disposition of the medication;

(c) When the licensee knows or has reason to know that the abuse of the controlled substance is occurring or may result therefrom; or

(d) In amounts the licensee knows or has reason to know is excessive, under the circumstances.

Section 2. Prescribing or Dispensing Process.

(1) This administrative regulation governs the prescribing and dispensing of controlled substances listed in Schedule II through V as classified in 902 KAR 55:015.

(2) All prescribing or dispensing pursuant to this section shall be documented in the patient's file as required by Section 4 of this administrative regulation.

(3) If initially prescribing or dispensing a controlled substance, a licensee shall:

(a) Obtain a complete medical history and conduct a physical examination of the patient;

(b) Complete a written treatment plan which states the objectives of the treatment and includes an outline of any further diagnostic examinations, therapeutic, and laboratory results that may be required;

(c) Discuss the risks and benefits of the use of controlled substances with the patient or the patient's legal guardian or health care surrogate, including the risk of tolerance and drug dependence;

(d) Educate the patient or the patient's legal guardian or health care surrogate regarding proper use and disposal of any unused controlled substances;

(e) Verify that the patient is the person that he or she has identified himself or herself as being by requiring the person to produce proper government issued identification;

(f) QueryKASPER for all data available on the patient for the twelve (12) month period immediately preceding the patient encounter and appropriately use that data in the evaluation and treatment of the patient; and

(g) Obtain consent for the treatment from the patient in writing.

(4) If continuing a prescription or dispensing a controlled substance for the same medical complaint and related symptoms following completion of the initial supply, a podiatrist licensed by the board shall:

(a) Review the patient's plan of care at reasonable intervals applying clinically indicated protocols, based on the patient's individual circumstances;

(b) Provide any new information about the treatment to the patient; and

(5) If the course of a patient's treatment with a controlled substance extends beyond three (3) months, the podiatrist licensed by the board shall, in addition to the requirements of subsection (3) of this section:

(a) Obtain and review a KASPER report for the patient no less than once every three (3) months for all available data on the patient for the twelve (12) month period immediately preceding the query; and

(b) Modify or terminate the treatment as appropriate.

Section 3. Limitations for Schedule II or Schedule III controlled substances containing hydrocodone.

(1) A podiatrist licensed by the board shall not issue a prescription for a Schedule II or Schedule III controlled substance containing hydrocodone for more than a three (3) day supply if the prescription is intended to treat pain as an acute medical condition, except as provided in KRS 218A.205(3)(b).

(2) A podiatrist licensed by the board shall not directly dispense more than a forty-eight (48) hour supply of a Schedule II or Schedule III controlled substance containing hydrocodone.

(3) If a patient continues to present with pain after the initial supply has been completed and the podiatrist licensed by the board believes that an additional amount of a Schedule II or Schedule III controlled substance containing hydrocodone is medically appropriate, the licensee shall follow the process established in Section 2 of this administrative regulation.

Section 4. Records. Podiatric medical records for patients being prescribed or dispensed controlled substances shall include, at a minimum:

(1) The patient's name;

(2) The patient's date of birth;

(3) The information concerning the patient's medical history and physical examination required by this administrative regulation;

(4) The diagnosis of the patient's condition;

(5) The procedures and treatments to be undertaken and their objectives;

(6) The date of the procedures or treatments;

(7) Whether local or general anesthetics were used, including the type and the amount administered;

(8) Diagnostic, therapeutic, and laboratory results;

(9) The findings and recommendations of any other evaluations or consultations;

(10) All medications prescribed or dispensed by the podiatrist licensed by the board, including the date, type, dosage, and quantity;

(11) Any post-treatment instructions from the podiatrist licensed by the board; and

(12) Documentation that the KASPER query required by this administrative regulation was completed.

Section 5. Exceptions. The professional standards established in this administrative regulation shall not apply to a podiatrist licensed by the board prescribing or dispensing a controlled substance to a patient:

(1) In an emergency situation;

(2) As part of the patient's hospice or end of life treatment;

(3) As part of the patient's treatment of cancer or pain associated with cancer;

(4) Admitted to a licensed hospital as an inpatient, outpatient, or observation patient, during and as part of a normal and expected part of the patient's course of care at that hospital;

(5) Admitted to a long-term care facility licensed under KRS Chapter 216B;

(6) For a single dose to relieve anxiety, pain, or discomfort related to a diagnostic test or procedure; or

(7) Qualifying under exemptions set forth in KRS 218A.172.

Section 6. Violations. Any violation of the professional standards established in this administrative regulation shall constitute a violation of KRS 311.480, which may result in the imposition of disciplinary sanctions including suspension, revocation, or fines by the board, pursuant to KRS 311.490 and 201 KAR 25:051.

History

RELATES TO: KRS 218A.172, 218A.202, 218A.205
STATUTORY AUTHORITY: KRS 218A.205(3)(a), 311.410(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311.410 establishes the Kentucky Board of Podiatry and authorizes it to make all rules and regulations, not inconsistent with KRS 311.390 to 311.510, as may be necessary to carry out KRS 311.390 to 311.510. KRS 218A.205(3)(a) requires the board to establish standards for prescribing and dispensing controlled substances. KRS 218A.172 requires the board to promulgate administrative regulations governing the prescribing or dispensing of any Schedule II controlled substance or a Schedule III controlled substance containing hydrocodone. This administrative regulation establishes the standards for board licensees prescribing or dispensing controlled substances.
History: 39 Ky.R. 676; 1391; eff. 2-1-2013; 45 Ky.R. 3472, 46 Ky.R. 421; eff. 8-19-2019; Crt eff.12-6-2019; Crt eff. 9-1-2026.

Chapter 26 Board of Psychology

201 KAR 26:115 Definition of psychological testing {#sec-201-kar-26-115 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:115}

Section 1. Definition. "Psychological testing" means the use of one (1) or more standardized measurement instruments, devices, or procedures including the use of computerized psychological tests, to observe or record human behavior, and which require the application of appropriate normative data for interpretation or classification and includes the use of standardized instruments for the purpose of the diagnosis and treatment of mental and emotional disorders and disabilities, the evaluation or assessment of cognitive and intellectual abilities, personality and emotional states and traits, and neuropsychological functioning.

Section 2. Psychological Tests. Psychological tests may include a version or reformulation of the following:

(1) Individual tests for the evaluation of cognitive and intellectual abilities, examples of which are:

(a) The Wechsler intelligence scales;

(b) The Stanford-Binet intelligence scales; and

(2) Individual, objective, and projective tests of personality and emotional states and traits, examples of which are:

(a) The Minnesota Multiphasic Personality Inventory;

(b) The Millon Clinical Multiaxial Inventory;

(d) Projective techniques including:

The Rorschach Ink Blots;
Thematic Apperception Test; and
The Holtzman Ink Blots; and

(3) Individual tests of neuropsychological functioning, examples of which are:

(a) The Halstead-Reitan Battery;

(b) The Luria-Nebraska Battery;

(d) The NEPSY (A Developmental Neuropsychological Assessment).

Section 3. Services that are described as psychological testing shall only be administered and interpreted by persons credentialed by this board or who meet the formal academic training and experience qualifications established in KRS Chapter 319 and these administrative regulations and who are otherwise exempt by statute.

(1) Persons credentialed by this board, as well as other licensed or certified professionals, may also use tests of language, education, and achievement, as well as tests of abilities, interests, and aptitudes. With the exception of the test categories and psychological tests listed in Section 2 of this administrative regulation, the use of these other tests is not exclusively within the scope of this administrative regulation.

(2) Persons not credentialed by this board shall not train or supervise any person in performing psychological testing.

(3) Services that are described as psychological testing shall be administered to minor children only upon the notification of and the granting of written permission by the parent or legal guardian(s), unless otherwise required by the courts subject to specific state or federal law.

History

RELATES TO: KRS 319.010
STATUTORY AUTHORITY: KRS 319.032(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(b) requires the Board of Examiners of Psychology to promulgate administrative regulations to establish and define the scope of practice within the field of psychology. This administrative regulation establishes parameters of psychological testing.
History: 20 Ky.R. 671; 931; eff. 10-21-1993; 28 Ky.R. 1455; 1799; eff. 2-7-2002; 37 Ky.R. 1511; 1976; eff. 3-4-2011; 47 Ky.R. 2037; 48 Ky.R. 312; eff. 8-26-2021; 48 Ky.R. 1859, 2568; eff. 6-2-2022.

201 KAR 26:121 Scope of practice and dual licensure {#sec-201-kar-26-121 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:121}

Section 1. A license holder shall not practice or present himself or herself outside the area or areas of competency specified in the application for a license and approved by the board based upon examination and review of qualifications, training, and experience, unless the credential holder has obtained additional education, training, experience, or supervision appropriate to the new practice area.

Section 2. Scope of Practice.

(1) A licensed psychologist who holds the health service provider designation, a licensed psychologist, a certified psychologist with autonomous functioning, a certified psychologist, a licensed psychologist associate, or a licensed psychological practitioner may:

(a) Work in various health care service delivery settings; and

(b) Provide one (1) or more of the following direct or supportive services:

Diagnosis of an emotional, mental, nervous, or addictive disorder, including mental health conditions or an adjustment problem of an individual or group through the use of psychological testing or other techniques;
Evaluation or assessment of the functioning of an individual, group, or organization;
Treatment of an emotional, mental, nervous, or addictive disorder, including mental health conditions, or an adjustment problem of an individual or group;
Intervention or a preventive technique that facilitates the functioning of an individual, group, or organization;
Consultation services;
Program planning or development services;
Evaluation of a psychological or human service program; or
Supervision of health service delivery by a licensed psychologist who holds the health service provider designation, as established in 201 KAR 26:171.

(2) The practice of psychology shall be construed within the meaning of the definition contained in KRS 319.010(7) without regard to whether payment is received for services rendered.

(3) All license holders from this board shall restrict their practice to the delivery of specific services for which they are competent based on professional education, training, and experience.

Section 3. Dual Credentialing.

(1) An individual who holds both a license to practice psychology from this board and a mental health credential from another regulatory board authorized by a Kentucky statute shall:

(a) Inform the recipient of a particular service under which license the provider is practicing; and

(b) Not participate in the practice of psychology, as defined by KRS 319.010, under the auspices of another credential, recognizing that some activities are exempted by KRS 319.015.

(2) Psychological testing, as defined by 201 KAR 26:115, shall not be delivered under a credential other than a license issued by the Board of Examiners of Psychology.

History

RELATES TO: KRS 319.010, 319.015, 319.032(1)(b), 319.050(7)
STATUTORY AUTHORITY: KRS 319.032(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(b) requires the board to promulgate administrative regulations establishing and defining scope of practice within the field of psychology. This administrative regulation establishes the required scope of practice for licensed psychologists who hold the health service provider designation, licensed psychologists, certified psychologists, certified psychologists with autonomous functioning, licensed psychological associates, and licensed psychological practitioners.
History: 15 Ky.R. 1727; 2010; eff. 3-10-1989; 20 Ky.R. 577; 931; eff. 10-21-1993; 25 Ky.R. 403; 820; eff. 9-16-1998; 28 Ky.R. 1456; 1800; eff. 2-7-2002; 37 Ky.R. 1513; eff. 3-4-2011; 42 Ky.R. 503; 1716; eff. 12-16-2015; Crt eff. 9-5-2019; 47 Ky.R. 2039; 48 Ky.R. 313; eff. 8-26-2021.

201 KAR 26:125 Health service provider designation {#sec-201-kar-26-125 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:125}

Section 1.

(1) The designation of health service provider shall refer to a licensed psychologist who is authorized under KRS 319.050(7) and this administrative regulation to clinically supervise a certified psychologist, temporarily licensed psychologist, licensed psychological associate, temporary licensed psychological associate, licensed psychologist, a graduate-level psychology student in providing psychological health care services, or any credential holder under discipline.

(2)

(a) Except as provided by paragraph (b) of this subsection, a licensed psychologist who does not have the designation of health service provider shall not clinically supervise psychological health care services.

(b) A temporarily licensed psychologist or a licensed psychologist may provide concurrent clinical supervision to graduate students while under clinical supervision of a psychologist with a health service provider designation.

Section 2. Psychological health care services shall include delivery of diagnosis, assessment, psychotherapy, treatment, or other therapeutic services to individuals, couples, families, or groups whose growth, adjustment, or functioning is impaired or who otherwise seek psycho-logical health care services.

Section 3.

(1) A health service provider shall be a licensed psychologist who has completed appropriate training and clinically supervised experience in psychological health service delivery at the doctoral level. The training and experience may occur in a variety of psychological health care delivery sites. The training and supervised experience shall include:

(a) 1,800 hours of clinically supervised experience as established in subsection (2) of this section; or

(b) Certification as established in subsection (3) of this section.

(2) 1,800 Hours of Clinically Supervised Experience.

(a) The 1,800 hours of clinically supervised experience shall be within one (1) or more health care settings in which the licensed psychologist delivered direct psychological health care services, pursuant to Section 2 of this administrative regulation, in addition to the 3,600 supervised experience hours required for licensure as a li-censed psychologist under 201 KAR 26:190.

(b) The clinical supervision shall be provided by a licensed psychologist with the health service provider designation approved by the board and shall consist of one (1) hour of individual supervision each week.

(3) Certification. The licensed psychologist shall:

(a)

Hold a Certificate of Professional Qualification (CPQ) issued by the Association of State and Provincial Psychology Boards (ASPPB) or a successor organization;
Be board-certified by the American Board of Professional Psychology (ABPP) or a successor organization; or
Hold a Certificate from the National Register of Health Service Providers in Psychology or a successor organization;

(b) Have a minimum equivalent of five (5) years of full time practice at the independent practice level; and

History

RELATES TO: KRS 319.050
STATUTORY AUTHORITY: KRS 319.032(2), 319.050(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.050(7) requires that the designation of health service provider shall be required for a licensed psychologist who supervises a psychological health care service. KRS 319.032(2) authorizes the board to promulgate administrative regulations necessary to administer KRS Chapter 319. This administrative regulation establishes the requirements for the granting of that designation.
History: 20 Ky.R. 672; 933; eff. 10-21-1993; 25 Ky.R. 406; 823; eff. 9-16-1998; 28 Ky.R. 1458; 1802; eff. 2-7-2002; 37 Ky.R. 1514; 1977; eff. 3-4-2011; 43 Ky.R. 1805; 44 Ky.R. 18; eff. 7-17-2017; Crt eff. 9-5-2019; 47 Ky.R. 2041; eff. 8-26-2021; 48 Ky.R. 1861, 2568; eff. 6-2-2022.

201 KAR 26:130 Grievances and administrative complaints {#sec-201-kar-26-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:130}

Section 1. Definitions.

(1) "Administrative complaint" means a formal administrative pleading authorized by the board that sets forth charges against a credential holder or applicant and commences a formal disciplinary proceeding in accordance with KRS Chapter 13B.

(2) "Board" is defined in KRS 319.010(2), and for purposes of this administrative regulation, shall also mean a hearing panel.

(3) "Charge" means a specific allegation contained in any document issued by the board or hearing panel alleging a violation of a specified provision of the KRS Chapter 319 or 201 KAR Chapter 26.

(4) "Grievance" means any allegation alleging misconduct by a license holder or applicant or alleging that an unlicensed person is engaging in the practice of psychology or using the title of psychologist.

(5) "Order" means the whole or any part of a final disposition of a hearing.

(6) "Person" means any individual, partnership, corporation, association, or public or private organization of any character other than an agency.

(7) "Respondent" means the person against whom a grievance or administrative complaint has been made.

Section 2. Grievance.

(1) Source. A grievance may be initiated by:

(a) The board;

(b) The public; or

(2) Form.

(a) A grievance shall:

Be in writing through use of hard copy or digital forms provided by the board;
Clearly identify the licensee against whom the grievance is being made;
Contain the date the grievance is initiated;
Clearly identify the complainant through printed name, contact information, and signature;
Contain a clear and concise statement of the facts giving rise to the grievance, including the relationship of the complainant to the licensee;
Indicate if the grievance arises out of a court-involved evaluation, consultation, treatment, or psychoeducation of a person;
Provide consent, or a means of acquiring consent, from the legal guardian for investigations involving minors or adults under guardianship; and
Provide a waiver of confidentiality for the complainant and the complainant's minor children or wards, if applicable.

(b) A certified copy of a court record for a misdemeanor or felony conviction relating to the practice of psychology shall be considered a valid grievance.

(3) A grievance shall be filed with the board at its designated office or place of business, or by e-mail.

(4) Response. The board shall provide a copy of the grievance to the respondent in a timely manner along with additional information and documents supplied by the complainant throughout the administrative process.

(5) The respondent shall have twenty (20) days to file with the board a written response to the grievance.

(6) Initial review of the grievance by the complaint screening committee:

(a) All grievances shall be assigned an identification number and be referred to as such to ensure anonymity.

(b) At the next subsequent regularly-scheduled meeting of the board's designated complaint screening committee, or as soon thereafter as practicable, the complaint screening board or a panel committee of the board shall review the grievance and response as well as determine if the matter is within the board's jurisdiction. At that time, and if all necessary information for decision making is available, the complaint screening committee may recommend:

Dismissal of the grievance if the complaint screening committee determines there is no evidence of a violation of law or ethics as provided by the statutes or administrative regulations pertaining to the practice of psychology or if it is determined that the facts alleged in the grievance or investigative report do not constitute a prima facie violation. If the complaint screening committee recommends dismissal, and the board approves, the complaint screening committee shall notify the complainant and the respondent that no further action shall be taken at the present time.
Investigation;
Tabling the decision to allow for acquisition of additionally requested information, which may include a fitness for duty evaluation;
Referral of the grievance to the full board for further review and action; or
Issuing a voluntary assurance of compliance to unlicensed individuals whom engage in the practice of psychology.

(7) Investigation. The board shall provide investigators to explore the ethical and professional conduct of respondents related to the filing of grievances.

(a) The investigator shall review the factors and variables within the grievance that are pertinent to the practice of psychology and consider the circumstances for which the board's review is required.

(b) The respondent shall be contacted by the investigator or board administrator to begin the investigation. With the consent of the respondent, a meeting may be scheduled at which time the respondent may further respond to the allegations of the grievance. The board and the respondent shall have the right to be represented at the meeting by legal counsel.

(c)

If the grievance pertains to a minor or any person under legal guardianship as a consumer, collateral, or participant of the investigation, the investigator shall acquire consent from all-involved legal guardians of the minor or ward prior to proceeding with the investigation, unless otherwise ordered by a court of law.
If the grievance arises out of a court-involved evaluation, treatment, or psychoeducation of a person whereby the respondent's engagement was affiliated with a legal action, the investigator shall secure information from all involved parties, as well as judicial officers and other involved professionals, concerning the role of the respondent and the purpose and scope of the respondent's court-affiliation. The investigator shall also secure information from opposing parties and other stakeholders in the legal process when assessing the role of the respondent in legal proceedings and how the role is related to the grievance.
Investigators shall consider information from multiple data-gathering methods to increase accuracy and objectivity.
Investigators shall strive to use a balanced and fair process of investigation through collection of valid collateral source information that demonstrates sufficiency and reliability.
In the investigation of the grievance, the investigator shall review all data provided from both the complainant and the respondent as well as answer to all requested information from the board.
Investigators shall perform reasonable inquiry when confronted with information about a possible violation of law or ethics; however, the scope of the investigation shall be delineated by grievance.
Investigators shall be free from multiple relationships and conflicts of interest prior to acceptance and through completion of the investigation.
If the investigator is a member of the board, the investigating member shall not vote on disposition of the grievance.
Investigators shall complete the investigation in less than sixty (60) days from the respondent's final interview. If an extension is needed, the investigator shall inform the complaints screening committee of the reason for the extension as well as an estimated date of completion in fourteen (14) day intervals.

(8) Report of investigation. Upon the completion of the investigation, the person or persons making the investigation shall submit a written report to the complaints screening committee containing a succinct statement of the facts disclosed or discovered by the investigation. The investigator shall also acknowledge incomplete, unreliable, or missing data.

(9) After consideration of the grievance and investigative report by the complaint screening committee, the committee may consider the options in paragraph (6)b of this section. If referred to the board, the board shall determine, with the weight it sees fit, if there has been a prima facie violation of KRS 319.082 based on consideration of the:

(a) Grievance;

(b) Response;

(d) Fitness for duty examination, if an examination was warranted

(10) If it is determined that the facts alleged in the grievance or investigative report do not constitute a prima facie violation, the board shall notify the person making the grievance and the respondent that no further action shall be taken at the present time.

(11) If it is determined that there is a prima facie violation, the board shall:

(a) Issue an administrative complaint against the credential holder or applicant;

(b) File suit to enjoin the violator; or

Section 3. Administrative Complaint. If the board determines that the grievance shall be made an administrative complaint, the administrative complaint shall be adjudicated pursuant to KRS Chapter 13B.

Section 4. Administrative Response. Within twenty (20) days of service of the formal administrative complaint, the respondent shall file with the board a written response to the specific allegations set forth in the administrative complaint. Allegations not properly responded to shall be deemed admitted, and may form the basis for a default adjudication against the respondent subject to the administrative complaint if the requisite elements of a violation are admitted. The board may, for good cause, permit the late filing of a response.

Section 5. Allegations of Sexual Misconduct by a License Holder.

(1) To assure confidentiality for the complainant, the alleged victim's name shall not be used in any written document. This individual shall be identified by initials only or by some other mechanism for identification adopted by the board.

(2) Upon request, the testimony of the alleged victim may be taken by deposition to assure his or her confidentiality.

(3) To protect the confidentiality of all parties, the board may issue an order restraining all parties and their representatives, including counsel, from any discussion or release of information about the allegations outside of the investigative and hearing processes.

(4) In accordance with the provisions of KRS 319.032(1)(d), the board may hold some or all of the hearing procedures in closed session.

Section 6. Fitness for Duty Examination.

(1) If there is reasonable cause to believe that a credential holder or applicant for a license is physically or mentally incapable of practicing psychology with reasonable skill and safety to clients, the board may order the credential holder or applicant to submit to an examination by a psychologist or other health care provider designated by the board to determine the credential holder's or applicant's fitness and competence to practice psychology.

(2) The expense of this examination shall be borne by the board.

(3) The board shall then consider the findings and conclusion of the examination.

(4) The board shall provide a copy of the examination to the respondent. The respondent may file with the board a written response to the examination within fifteen (15) days of the date on which the findings and conclusion of the examination was provided to the respondent.

(5)

(a) Based on consideration of the psychological or physical examination, the board shall determine if there has been a prima facie violation of KRS 319.082.

(b) If it is determined that the findings and conclusion of the examination do not constitute a prima facie violation of KRS 319.082, the board shall notify the respondent and complainant, if any.

(c) If it is determined that there is a prima facie violation of KRS 319.082, the board shall issue an administrative complaint against the credential holder or applicant.

Section 7. Board Member Training for Cases of Sexual Misconduct.

(1) Within six (6) months of their appointment, all board members and investigators shall undergo specialized training to cover the content specified by KRS 319.032(1)(e).

(2) An investigator shall not be assigned to cases where sexual misconduct has been alleged until the required training has been completed.

(3) Training shall consist of a three (3) hour course that includes the content specified by KRS 319.032(1)(e) and may be delivered by means of either live presentation, individual tutorial, or electronic media.

History

RELATES TO: KRS 319.005, 319.032, 319.082, 319.118, 319.990
STATUTORY AUTHORITY: KRS 319.032(1)(k)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(k) requires the board to promulgate administrative regulations that establish the procedure for investigating complaints or suspected violations of KRS Chapter 319 and notifying proper law enforcement authorities. KRS 319.005 prohibits unlicensed persons from engaging in the practice of psychology or using the title of psychologist, licensed psychologist, certified psychologist, licensed psychological practitioner, or licensed psychological associate. KRS 319.082 delineates the causes for which disciplinary action may be taken against a credential holder. KRS 319.118 authorizes the board to institute and maintain actions to restrain or enjoin violations of applicable statutes, administrative regulations, and orders of the board. KRS 319.990 sets forth the criminal penalty for violations and authorizes prosecution of violators. KRS 319.032 authorizes the board to develop guidelines for use in complaints involving alleged sexual misconduct by a license holder, and for training of investigators in these matters. This administrative regulation is established to protect and safeguard the health and safety of the citizens of Kentucky and to provide procedures for filing, evaluating, and disposing of administrative complaints asserted against credential holders or applicants for licenses.
History: 13 Ky.R. 2162; eff. 7-2-1987; 20 Ky.R. 579; 933; eff. 10-21-1993; 28 Ky.R. 1459; 1802; eff. 2-7-2002; 37 Ky.R. 1516; 1977; eff. 3-4-2011; 43 Ky.R. 1807; 44 Ky.R. 19; eff. 7-17-2017; 45 Ky.R. 1324, 2073; eff. 1-23-2019; Crt eff. 9-5-2019; 47 Ky.R. 2042, 48 Ky.R. 313; eff. 8-26-2021; 48 Ky.R. 1863, 2569; eff. 6-2-2022.

201 KAR 26:140 Procedures for disciplinary hearings {#sec-201-kar-26-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:140}

Section 1. Composition of the Hearing Panel. Disciplinary actions may be heard by a hearing panel consisting of either a hearing officer and at least one (1) board member appointed by the board, or upon unanimous decision of the board, only by a hearing officer.

Section 2. Right of Administrative Hearing from a Denial of Initial Licensure or Refusal to Renew, Restore, or Reinstate a License.

(1) The board shall issue written notice of the denial of a license informing the applicant:

(a) Of the specific reason for the board's action, including:

The statutory or regulatory violation; and
The factual basis on which the denial is based; and

(b) That the applicant may appeal the pending denial to the board within twenty (20) calendar days after receipt of this notification, excluding the day he or she receives notice.

(2) A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the date of the board's notice of the denial of a license. The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

(3) If the request for an appeal is not timely filed, the notice of the denial of a license shall become a final order of the board upon the expiration of the time for the certificate holder to request an appeal.

(4) Documentary evidence for an appeal shall be limited to the application and supporting documents submitted to the board during the application process.

(5) A renewal applicant may petition the board, in writing, for a stay of the denial of the license until completion of the administrative hearing process.

Section 3. Revocation of Probation.

(1) If the board moves to revoke probation of a probationee, the board shall issue written notice of the revocation of probation and inform the probationee:

(a) Of the factual basis on which the revocation is based;

(b) Of each probation term violated;

(d) That the probationee may appeal the revocation to the board within twenty (20) calendar days of the date of notification of revocation, excluding the day he or she receives notice. The notification shall be sent to the last known address on file with the board for the credential holder.

(2) A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the date of the board's notice of the revocation of probation. The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

(3) If the request for an administrative hearing is not timely filed, the notice of the revocation of probation shall become a final order of the board upon the expiration of the time for the credential holder to request an appeal.

Section 4. A request for an administrative hearing shall be sent to the Kentucky Board of Examiners of Psychology by mail to P.O. Box 1360, Frankfort, Kentucky 40602 or by hand-delivery to 911 Leawood Drive, Frankfort, Kentucky 40601.

Section 5. An administrative hearing shall be governed in accordance with KRS Chapter 13B.

Section 6. Hearing Fee. If the final order of the board is adverse to a credential holder or applicant, or if the hearing is scheduled at the request of a credential holder or applicant for relief from sanctions previously imposed by the board pursuant to the provisions of KRS Chapter 319, a hearing fee in an amount equal to the costs of stenographic services, the costs of the services of a hearing officer, if any, and the board's attorney fees shall be assessed against the credential holder or applicant. In case of financial hardship, the board may waive all or part of the fee.

Section 7. Notification of Action Taken. A public notification describing all final disciplinary actions taken by the board to suspend, revoke, or refuse to issue or renew a license, restrict, or place a credential holder on probation shall be provided as mandated by KRS 319.092(6) and to the Association for State and Provincial Psychology Boards for publication in their data base.

History

RELATES TO: KRS Chapter 13B, 319.092
STATUTORY AUTHORITY: KRS 319.032
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.092 mandates a hearing upon the filing of a grievance alleging a violation of KRS Chapter 319 to be conducted in accordance with the provisions of KRS Chapter 13B. KRS 319.032(2) authorizes the board to promulgate administrative regulations necessary to administer KRS Chapter 319. This administrative regulation establishes procedures which supplement the provisions of KRS Chapter 13B.
History: 13 Ky.R. 2162; eff. 7-2-1987; 20 Ky.R. 580; 934; eff. 10-21-1993; 28 Ky.R. 1461; 1803; eff. 2-7-2002; 43 Ky.R. 1809; 44 Ky.R. 21; eff. 7-17-2017; 45 Ky.R. 1326, 2075; eff. 1-23-2019; Crt eff. 9-5-2019; Crt to Am. 9-1-2026; Am. due 3-1-2028.

201 KAR 26:145 Code of conduct {#sec-201-kar-26-145 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:145}

Section 1. Definitions.

(1) "Client" means a person who meets the requirements established in Section 3 of this administrative regulation.

(2) "Confidential information" means information revealed by a client or clients or otherwise obtained by a credential holder in a professional relationship

(3) "Court order" means the written or oral communication of a member of the judiciary, or other court magistrate or administrator, if the authority has been lawfully delegated to the magistrate or administrator.

(4) "Credential holder" is defined by KRS 319.010(3).

(5) "Professional relationship" means a mutually agreed upon relationship between a credential holder and a client for the purpose of the client obtaining the credential holder's professional expertise.

(6) "Professional service" means all actions of the credential holder in the context of a professional relationship with a client.

(7) "Supervisee" means a person who functions under the extended authority of the credential holder to provide psychological services.

Section 2. Responsibility to Clients.

(1) A credential holder shall promote the well-being of a client and, if required by KRS 202A.400 or 645.270, the safety and well-being of an individual whose life might be affected by the client's behavior or circumstance.

(2) A credential holder shall not verbally abuse or harass or physically threaten or assault a client, supervisee, board member, or agent of the board.

Section 3. Client Requirements.

(1) Identification of a client. A client shall be a person who receives:

(a) An evaluation, assessment, or psychological testing;

(b) Other professional psychological services for the treatment or amelioration of an emotional, mental, nervous, addictive or behavioral disorder or distress, or a mental health condition; or

(2) A corporate entity or other organization shall be considered the client if the professional contract is to provide a psychological service of benefit to the corporate entity or organization.

(3) A legal guardian of a minor or legally incompetent adult shall be considered the client for a decision-making purposes.

(4) A person identified as a client pursuant to subsections (1)-(3) of this section shall be deemed to continue to be a client for a period of two (2) years following the last date of service rendered to the person.

Section 4. Competence.

(1) Limits on practice. The credential holder shall limit practice and supervision to the areas of competence in which proficiency has been gained through education, training, and experience.

(2) Maintaining competency. The credential holder shall maintain current competency in the areas in which he or she practices, through continuing education, consultation, or other procedures, in conformance with current standards of scientific and professional knowledge.

(3) Adding new services and techniques. The credential holder, if developing competency in a service or technique that is new either to the credential holder or new to the profession, shall engage in ongoing consultation with other psychologists or relevant professionals and shall obtain appropriate education and training. The credential holder shall inform a client of the innovative nature and the known risks associated with the service, so that the client can exercise freedom of choice concerning the service.

(4) Referral. The credential holder shall make or recommend referral to other professional, technical, or administrative resources if a referral is clearly in the best interests of the client.

(5) Sufficient professional information. A credential holder rendering a formal professional opinion in a report, letter, or testimony about a person shall not do so without direct and substantial professional contact with or a formal assessment of that person.

(6) Maintenance and retention of records.

(a) The credential holder rendering professional services to an individual client, or services billed to a third-party payor, shall maintain professional records that include:

The presenting problem, purpose, or diagnosis;
The fee arrangement;
The date and substance of each professional contact or service;
Test results or other evaluative results obtained and the basic test data from which the results were derived;
Notation and results of a formal consult with another provider; and
A copy of all test or other evaluative reports prepared as part of the professional relationship.

(b) The credential holder shall ensure that all records are maintained for a period of not less than six (6) years after the last date that services were rendered.

(c) The credential holder shall store and dispose of written, electronic, and other records in a manner which shall ensure their confidentiality.

(d) For each person supervised pursuant to KRS Chapter 319, the credential holder shall maintain for a period of not less than six (6) years after the last date of supervision a record of each supervisory session that shall include the type, place, date, and general content of the session.

(7) Continuity of care. The credential holder shall make arrangements for another appropriate professional or professionals to provide for an emergency need of a client, as appropriate, during a period of his or her foreseeable absence from professional availability.

Section 5. Impaired Objectivity and Dual Relationships.

(1) Impaired credential holder.

(a) The credential holder shall not undertake or continue a professional relationship with a client if the objectivity or competency of the credential holder is impaired due to a mental, emotional, physiologic, pharmacologic, or substance abuse condition.

(b) If an impairment develops after a professional relationship has been initiated, the credential holder shall:

Terminate the relationship in an appropriate manner;
Notify the client in writing of the termination; and
Assist the client in obtaining services from another professional.

(2) Prohibited dual relationships.

(a) The credential holder shall not undertake or continue a professional relationship with a client if the objectivity or competency of the credential holder is impaired because of the credential holder's present or previous familial, social, sexual, emotional, financial, supervisory, administrative, or legal relationship with the client or a relevant person associated with or related to the client.

(b) The credential holder, in interacting with a client, shall not:

Engage in verbal or physical behavior toward the client which is sexually seductive, demeaning, or harassing;
Engage in sexual intercourse or other physical intimacy with the client; or
Enter into a potentially exploitative relationship with the client.

(c) The prohibitions established in paragraph (b) of this subsection shall extend indefinitely if the client is clearly vulnerable, by reason of emotional or cognitive disorder, to exploitative influence by the credential holder.

(3) A credential holder shall not engage in the practice of psychology if under the influence of alcohol, another mind-altering or mood-altering drug, or physical or psychological illness which impairs delivery of the services.

Section 6. Client Welfare.

(1) Providing explanation of procedures. The credential holder shall give a truthful, understandable, and appropriate account of the client's condition to the client or to those responsible for the care of the client. The credential holder shall keep the client fully informed as to the purpose and nature of an evaluation, treatment, or other procedure, and of the client's right to freedom of choice regarding services provided.

(2) Termination of services.

(a) If professional services are terminated, the credential holder shall offer to assist the client in obtaining services from another professional.

(b) The credential holder shall:

Terminate a professional relationship if the client is not benefiting from the services; and
Prepare the client appropriately for the termination.

(3) Stereotyping. The credential holder shall not impose on the client a stereotype of behavior, values, or roles related to age, gender, religion, race, disability, nationality, sexual preference, or diagnosis which would interfere with the objective provision of psychological services to the client.

(4) Solicitation of business by clients. The credential holder providing services to an individual client shall not induce that client to solicit business on behalf of the credential holder.

(5) Referrals on request. The credential holder providing services to a client shall make an appropriate referral of the client to another professional if requested to do so by the client.

Section 7. Welfare of Supervisees and Research Subjects.

(1) Welfare of supervisees. The credential holder shall not exploit a supervisee.

(2) Welfare of research subjects. The credential holder shall respect the dignity and protect the welfare of his or her research subjects, and shall comply with 920 KAR 1:060 and 45 C.F.R. 46.101 - 46.409.

Section 8. Protecting the Confidentiality of Clients.

(1) General. The credential holder shall safeguard the confidential information obtained in the course of practice, teaching, research, or other professional services. Except as provided in this section, the credential holder shall obtain the informed written consent of the client prior to disclosing confidential information.

(2) Disclosure without informed written consent. The credential holder shall disclose confidential information without the informed consent of the client if the credential holder has a duty to warn an intended victim of the client's threat of violence pursuant to KRS 202A.400 or 645.270.

(3) Disclosure if the client is a corporation or other organization. If the client is a corporation or other organization, the requirements for confidentiality established in this section shall:

(a) Apply to information that pertains to:

The corporation or organization; or
An individual, including personal information, if the information is obtained in the proper course of the contract; and

(b) Not apply to personal information concerning an individual if the individual had a reasonable expectation that the information was:

Obtained in a separate professional relationship between the credential holder and the individual; and
Subject to the confidentiality requirements established in this section.

(4) Services involving more than one (1) interested party. If more than one (1) party has an appropriate interest in the professional services rendered by the credential holder to a client or clients, the credential holder shall clarify to all parties prior to rendering the services the dimensions of confidentiality and professional responsibility that shall pertain in the rendering of services.

(5) Multiple clients. If service is rendered to more than one (1) client during a joint session, the credential holder shall at the beginning of the professional relationship clarify to all parties the manner in which confidentiality shall be handled.

(6) Legally dependent clients. At the beginning of a professional relationship the credential holder shall inform a client who is below the age of majority or who has a legal guardian, of the limit the law imposes on the right of confidentiality with respect to his or her communications with the credential holder.

(7) Limited access to client records. The credential holder shall limit access to client records to preserve their confidentiality and shall ensure that all persons working under the credential holder's authority comply with the requirements for confidentiality of client material.

(8) Release of confidential information. The credential holder shall release confidential information upon court order or to conform with state law, including KRS 422.317, or federal law or regulation.

(9) Reporting of abuse or neglect of children and adults. The credential holder shall be familiar with the relevant law concerning the reporting of abuse or neglect of children and adults, and shall comply with those laws, including KRS 620.030 and KRS 209A.030.

(10) Discussion of client information among professionals. If rendering professional services as part of a team or if interacting with other appropriate professionals concerning the welfare of the client, the credential holder may share confidential information about the client if the credential holder takes reasonable steps to ensure that all persons receiving the information are informed about the confidential nature of the information and abide by the rules of confidentiality.

(11) Disguising confidential information. If case reports or other confidential information is used as the basis of teaching, research, or other published reports, the credential holder shall exercise reasonable care to ensure that the reported material is appropriately disguised to prevent client identification.

(12) Observation and electronic recording. The credential holder shall ensure that diagnostic interviews or therapeutic sessions with a client are observed or electronically recorded only with the informed written consent of the client.

(13) Confidentiality after termination of professional relationship. The credential holder shall continue to treat as confidential information regarding a client after the professional relationship between the credential holder and the client has ceased.

Section 9. Representation of Services.

(1) Display of credentials. The credential holder shall display his or her current credential to practice psychology on the premises of his or her professional office.

(2) Misrepresentation of qualifications. The credential holder shall not misrepresent directly or by implication his or her professional qualifications such as education, experience, or areas of competence.

(3) Misrepresentation of affiliations. The credential holder shall not misrepresent directly or by implication his or her affiliations, or the purposes or characteristics of institutions and organizations with which the credential holder is associated.

(4) False or misleading information. The credential holder shall not include false or misleading information in a public statement concerning professional services offered.

(5) Misrepresentation of services or products. The credential holder shall not associate with or permit his or her name to be used in connection with a service or product in a way which misrepresents:

(a) The service or product;

(b) The degree of his or her responsibility for the service or product; or

(6) Correction of misrepresentation by others. The credential holder shall correct others who misrepresent the credential holder's professional qualifications or affiliations.

Section 10. Disclosure of Cost of Services. The credential holder shall not mislead or withhold from a client, prospective client, or third party payor, information about the cost of his or her professional services.

Section 11. Assessment Procedures.

(1) Confidential information. The credential holder shall treat as confidential assessment results or interpretations regarding an individual.

(2) Protection of integrity of assessment procedures. The credential holder shall not disseminate a psychological test in a way that may invalidate it.

(3) Information for professional users. The credential holder offering an assessment procedure or automated interpretation service to another professional shall accompany this offering by a manual or other printed material which describes the development of the assessment procedure or service, the rationale, evidence of validity and reliability, and characteristics of the normative population. The credential holder shall state the purpose and application for which the procedure is recommended and identify special qualifications required to administer and interpret it properly. The credential holder shall ensure that advertisements for the assessment procedure or interpretive service are factual.

Section 12. Aiding Illegal Practice.

(1) Delegating professional responsibility. The credential holder shall not delegate professional responsibilities to a person not appropriately credentialed or otherwise appropriately qualified to provide psychological services.

(2) Providing supervision. The credential holder shall exercise appropriate supervision over a supervisee, as required by 201 KAR 26:171.

History

RELATES TO: KRS 202A.400, 209A.030, 319.032, 319.082, 422.317, 620.030, 645.270
STATUTORY AUTHORITY: KRS 319.032(1)(c), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(c) requires the board to promulgate administrative regulations to establish requirements for disciplining a credential holder of this board, whether a licensed psychologist, certified psychologist, certified psychologist with autonomous functioning, licensed psychological practitioner, licensed psychological associate, an applicant, or a holder of a temporary license. This administrative regulation establishes a code of conduct for a person practicing psychology.
History: 20 Ky.R. 672; eff. 10-21-1993; 24 Ky.R. 1117; 1655; eff. 2-17-198; 28 Ky.R. 1463; 1805; eff. 2-7-2002; 31 Ky.R. 998; 1508; eff. 3-8-2005; 43 Ky.R. 1811; 44 Ky.R. 22; eff. 7-17-2017; Crt eff. 9-30-2019; Crt to Am 9-1-2026; Am due 3-1-2028.

201 KAR 26:155 Licensed psychologist: application procedures and temporary license {#sec-201-kar-26-155 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:155}

Section 1. Application.

(1) After the requirements established in KRS 319.050(2) are met, an application for a credential as a licensed psychologist or a temporarily licensed psychologist may be submitted to the board, to an online application management system contracted by the board for the purposes of application screening, or as the board directs.

(2) The application made to the board or to the online application management system shall include:

(a) A certification by the applicant that the:

Information in the application is true, correct, and complete to the best of their knowledge and belief; and
Applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification;

(b) Payment of the application fee established in 201 KAR 26:160, Section 1, which shall be:

Made payable to the Kentucky State Treasurer if the application is processed through the board; or
Made to the online application management system as directed by the board;

(c) Three (3) recommendations from persons qualified to evaluate the applicant's professional ability within five (5) years from the date of application, including two (2) persons who have received a doctorate in psychology (Ph.D., PsyD., Ed.D.). The recommendations shall be submitted on the Recommendation Form for Licensure as a Psychologist; and

(d) An official transcript for all levels of education required for licensure. Transcripts shall be received in sealed envelopes or electronically directly from the school or a third-party clearinghouse.

Section 2. Temporary Licensure.

(1) Pending successful completion of required examinations, an applicant may request permission to practice psychology at the doctoral level on a temporary basis pursuant to KRS 319.050(3). The request for a temporary credential shall be cosigned by the candidate and the proposed supervisor, who shall be a licensed psychologist with health service provider certification approved by the board.

(2) Supervision during the period of temporary licensure shall be a minimum of one (1) hour of individual, face-to-face supervision on a weekly basis.

(3) A report of supervision shall be submitted on a regular basis as required by 201 KAR 26:171, Section 6.

(4) The candidate shall take the national Examination for Professional Practice in Psychology (EPPP) within one (1) year of the board's written approval of temporary licensure.

(5)

(a) A temporary license shall be valid for one (1) year from the date of the notice of approval by the board.

(b) During the period of temporary licensure, a candidate shall:

Successfully complete all credentials and examination procedures;
Pass the EPPP; and
Pass the Kentucky examinations as outlined in 201 KAR 26:230, Section 1(2), within one (1) year of the date of the notice of approval by the board for a temporary license.

(6)

(a) Under exceptional circumstances and upon written request cosigned by the board-approved supervisor, the board may approve an extension of the period of temporary licensure.

Exceptional circumstances include unforeseen events beyond the control of the temporary licensee that have a significant impact upon the temporary licensee's ability to complete the requirements in subsection (5)(b) of this section.
Some examples of exceptional circumstances include instances such as natural disasters, or illness or disability of the temporary licensee, or that of a family member of the temporary licensee.

(b) If a temporary licensee requires an extension after one (1) year, the licensee may request a six (6) month extension.

(d) After a total of two (2) years of temporary licensure, the licensee may request a second temporary license.

(e) If after two (2) years on the second temporary license another extension is requested, the licensee may request a third temporary license.

(f) Licensees shall not exceed a total of six (6) years of extensions for all temporary licenses nor hold a temporary license for longer than six (6) years.

(g) A licensee shall submit a completed Request for Extension of Temporary Licensure as a Psychologist to request an extension under this subsection.

Section 3.

(1) An individual who submits an Application for Licensure as a Psychologist and has been approved by another state to take the EPPP shall submit:

(a) The official notice of the results of the EPPP from the state psychology regulatory board that approved the applicant to take the EPPP; or

(b) A request to the Association of State Provincial Psychology Boards (ASPPB) to release the results of the EPPP to the board and notify the board of the submission of the request.

(2) The applicant shall submit the official notice or notification of the request to the ASPPB to the board within thirty (30) days of taking the examination.

Section 4. Grace Period for Submission of Credentials. To allow for processing of the candidate's materials by the board, there shall be a grace period not to exceed ninety (90) days within which candidates who have completed their degree requirements may begin to practice psychology under supervision of a board-approved supervisor, as established in 201 KAR 26:190.

(1) Upon acceptance of employment or the beginning of the required period of supervision, the candidate and the licensed psychologist who shall serve as his or her supervisor shall immediately submit a letter of notice to the board indicating that he or she has begun to practice in Kentucky and that application materials are forthcoming. Failure to submit this notice shall be deemed as grounds for disciplinary action against the candidate and the supervisor.

(2) The candidate shall ensure that all materials are forwarded to the board within thirty (30) days from the date of employment or supervision. Once the application is complete, the board shall review the material at its next scheduled meeting and, if appropriate, issue either a temporary or permanent credential. If the candidate does not meet the requirements for the credential, or if the application material is insufficient to take any action, he or she shall be notified by the board and directed to cease practice until the requirements are met or the necessary documentation has been submitted.

(3) The grace period shall not be extended beyond ninety (90) days. Candidates who fail to achieve approval within this timeframe shall not practice psychology until credentialed by the board.

(4) Upon filing the notice set forth in Section 3(1) of this administrative regulation, the candidate is deemed to be practicing psychology under the jurisdiction of the board, and shall comply with KRS Chapter 319 and 201 KAR Chapter 26.

Section 5. Incomplete Application. An incomplete application shall be determined to be expired one (1) year from the date of filing, and may be destroyed.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure as a Psychologist", October 2025;

(b) "Recommendation Form for Licensure as a Psychologist", October2025; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material is also available on the Board's Web site and the address is: https://psy.ky.gov.

History

RELATES TO: KRS 319.050
STATUTORY AUTHORITY: KRS 319.032(1) (a), (c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) and (c) require the board to promulgate administrative regulations establishing the requirements for an applicant for licensure as a psychologist. This administrative regulation establishes the requirements for applicants for licensure and the conditions for a temporary license.
History: 201 KAR 026:155. 20 Ky.R. 674; 936; eff. 10-21-1993; 24 Ky.R. 1121; 1658; eff. 2-17-1998; 28 Ky.R. 1466; 1807; eff. 2-7-2002; 31 Ky.R. 1001; eff. 3-8-2005; 37 Ky.R. 1518; 1978; eff. 3-4-2011; 43 Ky.R. 1814; 44 Ky.R. 24; eff. 7-17-2017; Crt eff. 9-5-2019; 47 Ky.R. 2046; 48 Ky.R. 316; eff. 8-26-2021; 48 Ky.R. 1866, 2571; eff. 6-2-2022; 52 Ky.R. 854, 1330; eff. 2-12-2026.

201 KAR 26:160 Fee schedule {#sec-201-kar-26-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:160}

Section 1.

(1) Except as provided in subsection (3) of this section, an applicant for licensure as a psychologist shall pay:

(a) A $150 application review fee;

(b) The fee for taking the Examination for Professional Practice in Psychology (EPPP), which shall be paid directly to the Association of State Provincial Psychology Boards (ASPPB) examination contractor; and

(2) Except as provided in subsection (3) of this section, an applicant for licensure as a psychological associate shall pay:

(a) A $150 application review fee; and

(b) The fee for taking the EPPP, which shall be paid directly to the ASPPB examination contractor.

(3) The examination fee established in subsection (1)(b) or (2)(b) of this section shall be waived if a candidate has:

(a) Previously taken the EPPP in another state; and

(b) Achieved a score which would be considered as passing in Kentucky.

(4) Upon successful completion of the application and examination processes, the initial licensure fees shall be as established in paragraphs (a) and (b) of this subsection.

(a) An applicant for licensure as a psychologist or psychological practitioner shall pay $795 for the first three (3) year period.

(b) An applicant for licensure as a psychological associate shall pay $525 for the first three (3) year period.

(5) Every three (3) years a licensed psychologist, certified psychologist with autonomous functioning, or licensed psychological practitioner shall pay to the board a renewal fee of $795.

(6) Every three (3) years a certified psychologist or licensed psychological associate shall pay to the board a renewal fee of $525.

Section 2. The late renewal fee for late renewal during the three (3) month period shall be $100.

Section 3. The reinstatement fee for licensure shall be $300.

Section 4. The fee for registration as a nonresident psychologist shall be $300.

Section 5.

(1) If the applicant fails the EPPP and applies to retake the examination, the applicant shall submit the examination fee as established by the ASPPB examination contractor directly to the contractor.

(2) If the applicant fails either the jurisprudence or competency examination and applies to retake the examination, the fee shall be $250 for each attempt.

Section 6. An application for licensure by reciprocity shall be accompanied by a fee of $150.

Section 7. All fees required by this administrative regulation shall be nonrefundable.

History

RELATES TO: KRS 319.050(2)(a), 319.064(2)(a), 319.071(1)
STATUTORY AUTHORITY: KRS 319.032(1)(n), 319.071(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.050(2)(a) and 319.064(2)(a) require an applicant to pay a fee for applying for licensure. KRS 319.071(1) requires a credential holder to pay a renewal fee established by the board. KRS 319.032(1)(n) requires the board to promulgate administrative regulations increasing or decreasing the fees for an applicant or credential holder as the board deems necessary. This administrative regulation establishes the application, licensure, and renewal fees for credential holders.
History: 201 KAR 026:160. 13 Ky.R. 1964; eff. 6-9-1987; 15 Ky.R. 1678; eff. 3-10-1989; 17 Ky.R. 101; eff. 8-17-1990; 24 Ky.R. 1123; 1660; e ff. 2-17-1998; 28 Ky.R. 1468; 1809; eff. 2-7-2002; 29 Ky.R. 507; eff. 10-16-2002; 43 Ky.R. 1816; 44 Ky.R. 25; eff, 7-17-2017; Crt eff. 9-5-2019; 48 Ky.R. 1868, 2572; eff. 6-2-2022; 52 Ky.R. 608, 1331; eff. 2-12-2026.

201 KAR 26:165 Inactive status {#sec-201-kar-26-165 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:165}

Section 1. Inactive status may be granted to a credential holder pursuant to KRS 319.071(3) by submitting a completed Request for Change of License Status.

(1) The credential holder shall be relieved of his or her obligation to pay the renewal fee and of maintaining supervision of his or her practice, but shall continue to meet the requirements for continuing education.

(2) The credential holder may return to active status within the three (3) year period upon:

(a) Notification to the board;

(b) Payment of the current renewal fee;

(d) Demonstration of compliance with all continuing education requirements during the period of inactive status.

(3) The three (3) consecutive year period of inactive status shall begin at the date of expiration of the current period of licensure.

(4) If the credential holder does not reactivate his or her credential at the end of the three (3) year period of inactive status, then the credential shall be forfeited and the credential holder shall make a new application to the board and be reexamined by the board before a new credential may be issued. If the credential holder returns to active status within the three (3) year period, his or her new renewal date shall be the date of return to active status.

(5) A credential holder shall submit a Renewal Application, incorporated by reference in 201 KAR 26:225, to be reinstated from an inactive status.

Section 2. Incorporation by Reference.

(1) "Request for Change of License Status", October 2016, is incorporated by reference.

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

History

RELATES TO: KRS 319.071
STATUTORY AUTHORITY: KRS 319.032(2), 319.071(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.071(3) authorizes the board to grant inactive status for a credential holder for a period of up to three (3) consecutive years. KRS 319.032(2) authorizes the board to promulgate administrative regulations necessary to administer KRS Chapter 319. This administrative regulation establishes the requirements for inactive status.
History: 20 Ky.R. 675; 937; eff. 10-21-1993; 28 Ky.R. 1469; eff. 2-7-2002; 31 Ky.R. 1003; 1511; eff. 3-8-2005; 43 Ky.R. 1818; 44 Ky.R. 26; eff. 7-17-2017; Crt eff. 9-5-2019; Crt eff. 9-1-2026.

201 KAR 26:171 Requirements for clinical supervision {#sec-201-kar-26-171 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:171}

Section 1. Board Approval Required.

(1) Except for graduate students as provided in Section 14 of this administrative regulation, a supervisory arrangement shall have the prior approval of the board, with both clinical supervisor and supervisee petitioning the board in writing.

(2) If there is a change in clinical supervision or in the supervisory arrangement, the clinical supervisor and supervisee shall:

(a) Proceed with the change as soon as practicable so as to avoid a lapse of clinical supervision for the supervisee; and

(b) Notify the board within thirty (30) days of the change for approval of the change of clinical supervision or supervisory arrangement.

(3) It shall be the joint responsibility of the clinical supervisor and the supervisee to ensure that all reports, plans and goals, or other records of a supervisory relationship required by KRS Chapter 319, or Sections 6, 8, 9, 11, and 12 of this administrative regulation, are complete and filed with the board in a timely manner.

Section 2. Clinical and Supervision Requirements.All clinical supervision requirements shall:

(1) Be met with individual, weekly contact either in person or via 2-way interactive video between clinical supervisor and supervisee; and

(2) Include additional clinical supervision sessions as needed.

Section 3. Relief from Clinical Supervision Requirements During Inactive Period.

(1) A certified psychologist or licensed psychological associate may petition the board to be relieved of his or her obligation to maintain clinical supervision during which period he or she shall not practice psychology.

(2) The certified psychologist or licensed psychological associate shall obtain a clinical supervisor approved by the board before the resumption of practice.

(3) Upon resumption of practice, the certified psychologist or licensed psychological associate shall:

(a) Document compliance with continuing education requirements; and

(b) Report on his or her activities and employment related to psychology during the period without clinical supervision.

Section 4. Training and Continuing Education for Clinical Supervisors.

(1) A licensed psychologist with health service provider designation who has been approved by the board as a clinical supervisor shall attend a board-approved training session in clinical supervisory practices within twelve (12) months of obtaining approval as a supervisor.

(2) A board-approved clinical supervisor shall obtain a minimum of three (3) continuing education hours in clinical supervision theory or techniques in each three (3) year renewal cycle as required by 201 KAR 26:175, Section 2(4)(a). The board shall suspend its approval of a clinical supervisor if the clinical supervisor does not complete the required continuing education.

Section 5. Clinical Supervision Obligations.

(1) The clinical supervisor shall make all reasonable efforts to be ensured that each supervisee's practice complies with this administrative regulation.

(2) The clinical supervisor shall report to the board an apparent violation of KRS 319.082(1) on the part of the supervisee.

(3) The clinical supervisor shall inform the board immediately of a change in the ability to clinically supervise, or in the ability of a supervisee to function in the practice of psychology in a competent manner.

(4) The clinical supervisor shall control, direct, or limit the supervisee's practice as appropriate to ensure that the supervisee's practice of psychology is competent.

(5) The clinical supervisor of record shall be responsible for the practice of psychology by the supervisee. If the board initiates an investigation concerning a supervisee, the investigation shall include the clinical supervisor of record.

(6) For each person supervised pursuant to KRS 319.050(3), (6), 319.056(4), (5), 319.064(3), (5), or 319.092(3)(d), the clinical supervisor shall maintain a record of each supervisory session that shall include the type, place, and general content of the session. This record shall be maintained for a period of not less than six (6) years after the last date of clinical supervision.

Section 6. Clinical Supervision Reports.

(1) In calculating the amount of time spent in full-time practice while under clinical supervision, 1,800 hours of supervised practice shall be equivalent to one (1) year of experience.

(2) The clinical supervisor shall submit a Supervisory Report to the board of the clinical supervision of each supervisee according to the following schedule:

(3) The report shall include:

(a) A description of the frequency, format, and duration of clinical supervision;

(b) An assessment of the functioning of the supervisee, including the strengths and weaknesses of the supervisee; and

Section 7. Multiple Clinical Supervisors.

(1) If a supervisee has more than one (1) board-approved clinical supervisor, the clinical supervisors shall be in direct contact with each other at least once every six (6) months, and they shall provide Supervisory Plans and Goals to the board and copies to each other.

(2) A request to have more than two (2) clinical supervisors at one (1) time shall require a special application to the board that shall include detailed information as to how the clinical supervisors shall communicate and coordinate with each other in providing the required clinical supervision.

Section 8. Clinical Supervisor Responsibilities. The clinical supervisor shall:

(1) Review and countersign psychological assessments as appropriate based on the supervisee's level of experience;

(2) Review treatment plans, progress notes, and correspondence as needed to assess the competency of the supervisee to render psychological services;

(3) Jointly establish with the supervisee Supervisory Plans and Goals that shall be submitted to the board at the beginning of the supervisory relationship. The Supervisory Plans and Goals shall:

(a) Be updated or revised and submitted to the board with the regular report of clinical supervision;

(b) Include intended format and goals to be accomplished through the supervisory process; and

(4) Have direct observation of the supervisee's work:

(a) For a licensed psychological associate or a certified psychologist with less than four (4) years of full-time, post-licensure practice, or its equivalent, or a licensure candidate with temporary permission to practice, direct observation shall take place at least once every two (2) months;

(b) For a licensed psychological associate or certified psychologist with more than four (4) years of full-time, post-licensure practice, or its equivalent, direct observation shall take place as needed; and

(c) Direct observation may be accomplished through audiotaping, video camera, videotaping, one (1) way mirror, or as a co-therapist.

(5) Have direct knowledge of the size and complexity of the supervisee's caseload;

(6) Limit and control the caseload as appropriate to the supervisee's level of competence;

(7) Have knowledge of the therapeutic modalities and techniques being used by the supervisee; and

(8) Have knowledge of the supervisee's physical and emotional well-being when it has a direct bearing on the supervisee's competence to practice.

Section 9. Supervisee Responsibilities.

(1) The supervisee shall:

(a) Keep the clinical supervisor adequately informed at all times of his or her activities and ability to function; and

(b) Seek clinical supervision as needed in addition to a regularly scheduled supervisory session.

(2) The supervisee shall:

(a) Participate with the clinical supervisor in establishing Supervisory Plans and Goals and in completing the regular Supervisory Reports;

(b) Be jointly responsible with the clinical supervisor for ensuring that a Supervisory Report has been sent to the board in accordance with the reporting schedule established in Section 6(2) of this administrative regulation; and

Section 10. Identification of Provider. The actual deliverer of a service shall be identified to the client. A billing for a rendered service shall identify which service was performed by the certified psychologist, licensed psychological associate, temporary licensed psychologist, trainee, or other provider and supervised by the licensed psychologist.

Section 11. Frequency of Clinical Supervision.

(1) A licensed psychological associate or certified psychologist shall have a minimum of one (1) hour of individual clinical supervision on a weekly basis for the first two (2) years of full-time practice or its equivalent following licensure.

(2) After two (2) years of full-time, post-licensure practice, or its equivalent, the clinical supervisor and supervisee may petition the board using a Request for Change of Supervisor and/or Frequency form to alter the format, frequency, or duration of supervision if the proposed change includes a minimum of two (2) one (1) hour individual meetings every four (4) weeks, and the total amount of clinical supervision is not less than four (4) hours per four (4) week period. This petition may include a request to change the format from individual to group clinical supervision. Clinical Supervision requirements for part-time practice may be modified at the discretion of the board upon approval of the submitted plan.

(3)

(a) After four (4) years of full-time, post-licensure practice, or its equivalent, the clinical supervisor and supervisee may petition the board for further modification of the format, frequency, or duration of supervision using a Request for Change of Supervisor and/or Frequency form, if the proposed change includes a minimum amount of one (1) hour of clinical supervision per month. Additional modifications of the format, frequency, or duration of clinical supervision may be submitted for approval by the board.

(b) Upon a change of clinical supervisor, a new Supervisory Plans and Goals shall be submitted by the clinical supervisor and supervisee to the board for approval. This plan may require additional clinical supervision than was previously approved by the board.

(c) Upon termination of the supervisor-supervisee relationship, the final Supervisory Report shall be submitted to the board within thirty (30) days of the termination.

(4) Any change in the frequency or duration of clinical supervision under this section may not occur automatically, but only upon a written request to the board and approval of the request by the board.

Section 12. Clinical Supervision of a Disciplined Credential Holder.

(1) The board shall appoint an approved clinical supervisor to supervise a disciplined credential holder for the period of time defined by the board.

(2) The disciplined credential holder shall be responsible for paying the fee for clinical supervision.

(3) The clinical supervisor shall have completed the board approved training course in supervision.

(4) The clinical supervisor shall:

(a) Review the originating complaint, agreed order, or findings of the disciplinary hearing:

(b) Meet with the disciplined credential holder and the board liaison to:

Summarize the actions and concerns of the board;
Review the goals and expected outcomes of clinical supervision submitted by the board liaison;
Develop a specific plan of clinical supervision; and
Review the reporting requirements that shall be met during the period of clinical supervision.

(c) Meet with the disciplined credential holder at least weekly, on an individual basis (as described in Section 2 of this administrative regulation) for a minimum of one (1) hour unless modified by the board;

(d) Submit a quarterly report to the board which reflects progress, problems, and other in-formation relevant to the need for board-mandated supervision;

(e) Make all reasonable efforts to ensure that the disciplined credential holder's practice complies with KRS Chapter 319 and 201 KAR Chapter 26;

(f) Report to the board any apparent violation of KRS 319.082(1) on the part of the disciplined credential holder;

(g) Immediately report to the board in writing a change in the ability to clinically supervise, or in the ability of the disciplined credential holder to function in the practice of psychology in a competent manner;

(h) Review and countersign psychological assessments as needed or appropriate;

(i) Review treatment plans, notes, and correspondence as needed or appropriate;

(j) Have direct observation of the disciplined credential holder's work on an as-needed basis;

(k) Have direct knowledge of the size and complexity of the disciplined credential holder's caseload;

(l) Have knowledge of the therapeutic modalities and techniques being used by the disciplined credential holder; and

(m) Have knowledge of the disciplined credential holder's physical and emotional well-being when it has direct bearing on the disciplined credential holder's competence to practice.

(5) The clinical supervisor shall control, direct, or limit the disciplined credential holder's practice as appropriate to ensure that the disciplined credential holder's practice is competent.

(6) The clinical supervisor shall contact the board liaison with any concern or problem with the disciplined credential holder, his or her practice, or the supervision process.

(7) A final meeting shall be scheduled within thirty (30) days of the end of the established supervision period to summarize the clinical supervision. The meeting shall include the clinical supervisor, disciplined credential holder, and board liaison. A written summary of the supervision shall be submitted by the clinical supervisor to the board two (2) weeks following this meeting with a copy to the board liaison.

Section 13. Board Liaison for Disciplined Credential Holder. The board shall appoint a board member to serve as a liaison between the board and the approved clinical supervisor. The board liaison shall:

(1) Recruit the clinically supervising psychologist from a list provided by the board;

(2) Provide the clinically supervising psychologist with the originating complaint, agreed order, or findings of the hearing and supply other material relating to the disciplinary action as deemed appropriate by the liaison;

(3) Ensure that the clinically supervising psychologist is provided with the necessary documentation for liability purposes to clarify that he or she is acting as an agent of the board pursuant to KRS 319.118(1) and has immunity commensurate with that of a board member;

(4) Provide the clinically supervising psychologist with a written description of the responsibilities of the clinical supervisor and a copy of the responsibilities of the liaison;

(5) Ensure that the board has sent a written notification letter to the disciplined credential holder. The notification letter shall:

(a) State the name of the supervising clinical psychologist; and

(b) Specify that the disciplined credential holder shall meet with the clinical supervising psychologist and the liaison within thirty (30) days of the date of the notification letter.

(6) Meet with the clinically supervising psychologist and disciplined credential holder within thirty (30) days of the date of the notification letter to summarize the actions of the board, review the applicable statutes and administrative regulations regarding clinical supervision requirements for a disciplined credential holder, and assist with the development of a plan of supervision. The plan of supervision shall be written at the first meeting;

(7) Submit the report of supervision to the board for approval. The liaison shall place the report of supervision on the agenda for review and approval at the next regularly scheduled board meeting. In the interim, the clinically supervising psychologist and disciplined credential holder shall continue to meet;

(8) Remain available to the clinically supervising psychologist to provide assistance and information as needed;

(9) Report any problem or concern to the board regarding the supervision and communicate a directive of the board to the clinically supervising psychologist;

(10) Review the quarterly report of supervision and forward the report to the supervision committee of the board for approval; and

(11) Meet with the clinically supervising psychologist and the disciplined credential holder at the end of the term of supervision to summarize the clinical supervision.

Section 14. Psychology Graduate Students. Graduate-level psychology students who are providing services in psychological health care settings including independent practice settings shall:

(1) Be clinically supervised by a psychologist licensed by the Board of Examiners of Psychology with health service provider status, licensed at the doctoral level by the State Board of Examiners in the state in which the training program exists, or by a licensed mental health professional approved by the training program who is affiliated with either the university training program or the practice setting;

(2) Be registered for credit in his or her course of study;

(3) Clearly identify their status as unlicensed psychology trainees to all clients and payers;

(4) Give to all clients and payers the name of the licensed psychologist responsible for their work; and

(5) Not accept employment or placement to perform the same or similar activities following the completion of their university-sanctioned placement, regardless of the job title given, unless the student holds a license from the board.

Section 15. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Supervisory Plans and Goals", October2025;

(b) "Supervisory Report", October2025; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's website at https://psy.ky.gov.

History

RELATES TO: KRS 319.032(1)(l), 319.050(3), (6), 319.056(4), (5), 319.064(3), (5), 319.082(1), 319.092(3)(d), 319.118(1)
STATUTORY AUTHORITY: KRS 319.032(1)(l)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(l) requires the board to promulgate an administrative regulation governing the clinical supervision of a certified psychologist, licensed psychological associate, candidate for licensure, or a credential holder sanctioned by the board. This administrative regulation establishes the requirements for clinical supervision.
History: 201 KAR 026:171. 14 Ky.R. 526; eff. 10-2-1987; 15 Ky.R. 1679; eff. 3-10-1989; 20 Ky.R. 584; 937; eff. 10-21-1993; 24 Ky.R. 1124; 1661; eff. 2-17-1998; 28 Ky.R. 1469; 1809; eff. 2-7-2002; 31 Ky.R. 1004; eff. 3-8-2005; 37 Ky.R. 1520; 1979; 3-4-2011; 43 Ky.R. 1819; 44 Ky.R. 26; eff. 7-17-2017; 45 Ky.R. 1328, 2076; eff. 1-23-2019; Crt eff. 9-5-2019; 47 Ky.R. 2048; 48 Ky.R. 317; eff. 8-26-2021; 52 Ky.R. 857, 1332; eff. 2-12-2026.

201 KAR 26:175 Continuing education {#sec-201-kar-26-175 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:175}

Section 1. Definitions.

(1) "Continuing education" means participation in an approved program of professional education beyond the basic educational requirements that meets the requirements established in Section 2(1) of this administrative regulation.

(2) "Continuing education hour" means a fifty-five (55) minute clock hour of instruction.

Section 2.

(1) Each credential holder shall document the completion of at least thirty-nine (39) continuing education hours approved by the board pursuant to this administrative regulation within each three (3) year renewal period.

(2) A credential holder shall complete a minimum of six (6) hours of continuing education in suicide assessment, treatment, and management within the first year of licensure and every six (6) years thereafter as required by KRS 210.366.

(a) A credential holder shall be exempted from the requirement to complete a continuing education course in suicide assessment, treatment, and management for the credential holder's first six (6) years of licensure if the credential holder completes a three (3) semester hour graduate course in suicide and crisis assessment, prevention, and intervention during the course of the credential holder's graduate education.

(b) A credential holder shall be exempted from the requirement to complete a continuing education course in suicide assessment, treatment, and management from the six (6) year continuing education if, during the six (6) year period, the credential holder:

Is primarily employed in a clinical setting accredited by the Joint Commission or another nationally accrediting healthcare entity that requires the completion of a suicide risk assessment with each patient being seen within the setting;
Teaches a graduate-level psychology course in suicide assessment, training, and management; or
Teaches a continuing education course in suicide assessment, training, and management at least once during the six (6) year period.

(c) The continuing education course in suicide assessment, treatment, and management shall be approved in accordance with Section 5 of this administrative regulation.

(3) The continuing education shall:

(a) Provide specific content planned and evaluated to improve the credential holder's professional competence;

(b) Make possible the acquisition of new skills and knowledge required to maintain competence;

(d) Include a minimum of three (3) hours in either ethical practice or risk management with each three (3) year renewal period; and

(e) Include a minimum of three (3) hours on the topic of social and cultural factors that affect health, functioning, and quality of life with each three (3) year renewal period.

(4)

(a) Except as provided in paragraph (b) of this subsection, a licensed psychologist with the health service provider designation who provides supervision to an applicant for licensure, or a certified psychologist or a licensed psychological associate shall include as part of the thirty-nine (39) hours of continuing education required by subsection (1) of this section a minimum of three (3) continuing education hours in the area of supervision theory or techniques for each three (3) year renewal period.

(b) The requirement established in paragraph (a) of this subsection shall begin with the renewal period immediately following the period in which the original supervisory training required by 201 KAR 26:171, Section 4(1) and (2), is received.

Section 3. Clinical and Supervision Requirements.

(1) Hours required to satisfy the continuing education requirement shall be completed prior to the renewal date of a license.

(2) The credential holder shall:

(a) Maintain and provide adequate records including certificates of attendance and documentation of completion of the required continuing education hours; or

(b) Provide documentation through a board-approved registry, which shall certify the name and license number of the license holder, date and title of each program and the number of hours earned, and confirmation that the programs were given by a board-approved provider.

Section 4. Only continuing education activities approved by the board shall be accepted toward the continuing education requirements for renewal of a license.

Section 5. Approved Sponsoring Organizations and Approved Programs.

(1) Participation in a continuing education program that is approved, offered, or sponsored by an organization listed in this subsection shall be accepted toward the requirement for continuing education established in Section 2(1) of this administrative regulation:

(a) An affiliated state chapter of the American Psychological Association, American Medical Association, American Psychiatric Association, or National Association of Social Workers;

(b) A recognized state, regional, national, or international psychological association;

(d) A course for graduate-level academic credit in psychology or psychiatry offered by a national, regional, or state accredited academic institution.

(2)

(a) The board may approve an organization that is not listed in subsection (1) of this section as a sponsor of continuing education for a twelve (12) month period if the organization:

Files a completed Continuing Education Sponsorship Application;
Pays an initial application fee of $250; and
Proposes to sponsor continuing education programs that meet the requirements established in Sections 2(1) and 6 of this administrative regulation.

(b) An approved sponsor shall submit an annual report of the continuing education programs offered during that year.

(c) A sponsor that is approved pursuant to paragraph (a) of this subsection may request renewal of its approval for subsequent years by filing a $150 renewal fee annually.

(d) A workshop in psychology or psychiatry offered by a national, regional, or state accredited academic institution's medical center or affiliated hospital shall comply with paragraph (a)1 of this subsection. The fees required under paragraphs (a)2 and (c) of this subsection are waived.

(3)

(a) The board may approve a specific continuing education program that is not approved, offered, or sponsored by an organization listed in subsection (1) of this section or an approved organization under subsection (2) of this section if the sponsor or a participant of the program:

Files a completed Continuing Education Program Application at least thirty (30) days before the program. The failure to abide by this deadline may be a reason for denial of the application;
Pays an application fee of fifty (50) dollars; and
Provides information about a continuing education program that it proposes to sponsor which meets the requirements established in Sections 2(1) and 6 of this administrative regulation.

(b) The approval of a program pursuant to paragraph (a) of this subsection shall permit the sponsor to offer the program one (1) time. The sponsor shall submit a request for renewal and a ten (10) dollar renewal fee for each subsequent request to offer the same approved program.

Section 6.

(1) A continuing education program that satisfies the requirements for license renewal shall be:

(a) Approved, offered, or sponsored by an organization that has been approved by the board; or

(b) A specific program approved by the board;

(2)

(a) Have a clearly stated purpose and defined content area; and

(b) Be consistent with the overall goals of continuing education as defined in Section 1 of this administrative regulation;

(3) Have a presenter who is a professional qualified in the defined content area;

(4) Clearly state the program's time. Actual contact time shall be a minimum of one (1) continuing education hour;

(5) Include attendance recorded by the program's sponsor;

(6) Documentation of completion shall be provided to the participant only after approval is granted; and

(7) Include each participant's evaluation of the program.

Section 7. Equivalencies.

(1) A graduate-level psychology course taken at an accredited academic institution shall earn continuing education hours pursuant to paragraphs (a) and (b) of this subsection.

(a) Each one (1) hour semester course shall be the equivalent of fifteen (15) continuing education hours for the purposes of meeting the requirements of this administrative regulation.

(b) Each one (1) hour quarter course shall be the equivalent of nine (9) continuing education hours for the purposes of meeting the requirements of this administrative regulation.

(2) A person who teaches a three (3) hour semester or quarter graduate-level course in psychology at an accredited academic institution shall:

(a) Earn six (6) continuing education hours for teaching the course; and

(b) Not receive:

Credit more than once for teaching a particular workshop or program during a renewal period; and
More than nine (9) total continuing education hours for these teaching activities.

(3) A person who teaches an approved continuing education workshop or program shall:

(a) Earn continuing education hours on a one (1) to one (1) basis; and

(b) Not receive:

Credit more than once for teaching a particular workshop or program during a renewal period; and
More than nine (9) total continuing education hours for these teaching activities.

(4) A person who completes home study or internet-based courses approved, offered, or sponsored by an organization listed in Section 5(1) shall not receivecredit for repeating a specific study course during a renewal period.

(5) A person who participates in videoconferencing in an interactive setting shall:Earn one (1) continuing education hour for each clock hour of participation;

Section 8. Carry-over of Continuing Education Hours, Prohibited. There shall not be a carry-over of continuing education hours earned in excess of those required under Section 2 of this administrative regulation into the immediately following renewal period.

Section 9. The board shall audit a minimum of ten (10) percent of all credential holders' documentation supporting the completion of the appropriate number of continuing education hours through a random audit process.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Continuing Education Program Application", October 2025; and

(b) "Continuing Education Sponsorship Application", October 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material is also available on the board's Web site and the address is: https://psy.ky.gov.

History

RELATES TO: KRS 210.366, 319.032(1)(f), 319.050, 319.053, 319.064, 319.071
STATUTORY AUTHORITY: KRS 319.032(1)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(f) requires the board to promulgate an administrative regulation establishing a requirement for continuing education as a condition for renewal of a license. This administrative regulation establishes the continuing education requirements for renewal of a license.
History: 201 KAR 026:175. 20 Ky.R. 676; 940; eff. 10-21-1993; 24 Ky.R. 1127; 1664; eff. 2-17-1998; 28 Ky.R. 1472; 1812; eff. 2-7-2002; 31 Ky.R. 1007; 1511; eff. 3-8-2005; 37 Ky.R. 1523; eff. 3-4-2011; 42 Ky.R. 505; 1549; 1717; eff. 12-16-2015; 43 Ky.R. 1823, 2109, 2156; 44 Ky.R. 26; eff. 7-17-2017; 45 Ky.R. 1332; eff. 1-23-2019; Crt eff. 9-5-2019; 48 Ky.R.1870; eff. 6-2-2022; 52 Ky.R. 861; eff. 2-12-2026.

201 KAR 26:180 Requirements for granting licensure as a psychologist by reciprocity {#sec-201-kar-26-180 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:180}

Section 1. The board shall issue a license to an applicant who qualifies for a license as a psychologist pursuant to an agreement of reciprocity entered into by the board of this jurisdiction with the board or boards of any other jurisdiction or multiple jurisdictions.

Section 2. The applicant for licensure as a psychologist by reciprocity shall:

(1) Submit a completed Application for Licensure as a Psychologist by Reciprocity;

(2) Hold a current valid license in good standing to practice psychology that has been granted by at least one (1) state, the District of Columbia, a U.S. Territory, or a Canadian province that maintains a psychology registration board:

(a) That is a constituent member of the Association of State and Provincial Psychology Boards (ASPPB); and

(b) With whom this board has an agreement of reciprocity.

(3) Have a minimum of five (5) years of full-time practice or its equivalent as determined by the board in the other jurisdiction; and

(4) Not have been disciplined by any licensure board.

Section 3. The board shall conduct a jurisprudence and competency examination on psychological practice of an applicant for licensure by reciprocity as outlined in 201 KAR 26:230, Section 1(2).

Section 4. An applicant for licensure with the health service provider designation shall comply with KRS 319.050(7).

Section 5. If an applicant for licensure with the health service provider designation does not have an additional 1,800 hours of supervised experience as required by KRS 319.050 and 201 KAR 26:125, the board may determine that the applicant's practice experience is equivalent to the required year of experience. The board may substitute an applicant's employment experience for the additional 1,800 hours of supervised experience as required by KRS 319.050 and 201 KAR 26:125, and may award the applicant the Health Service Provider designation.

Section 6. A person holding the Certificate of Professional Qualification in Psychology (CPQ) issued by the ASPPB or a successor organization or a person who holds a certificate from the National Register of Health Service Providers in Psychology, the American Board of Professional Psychology (ABPP), or a successor organization and has a minimum equivalent of five (5) years of full-time practice at the independent level and has had no disciplinary action taken by a licensure board or on record in the ASPPB database shall:

(1) Be deemed to meet the qualifications for licensure by reciprocity as established in this administrative regulation; and

(2) Upon meeting the requirements established in Section 3 of this administrative regulation, shall be granted a license with the health service provider designation.

Section 7. An applicant for licensure as a psychologist by reciprocity may request permission to practice psychology at the doctoral level on a temporary basis pursuant to KRS 319.050(3). The request for a temporary credential shall be issued in accordance with 201 KAR 26:155, Section 2. The temporary credential shall expire in accordance with 201 KAR 26:155, Section 2(5).

Section 8. Incomplete Application. An incomplete application shall be determined to be expired one (1) year from the date of filing and may be destroyed.

Section 9. Incorporation by Reference.

(1) "Application for Licensure as a Psychologist by Reciprocity", March 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material may be directly viewed on the agency's Web site, www.psy.ky.gov.

History

RELATES TO: KRS 319.032(1)(i)
STATUTORY AUTHORITY: KRS 319.032(1)(i)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(i) requires the board to promulgate an administrative regulation governing the granting of a license through reciprocity. This administrative regulation establishes the requirements for licensure as a psychologist by reciprocity.
History: 13 Ky.R. 2166; eff. 7-2-1987; 20 Ky.R. 587; eff. 10-21-1993; 24 Ky.R. 1129; 1666; eff. 2-17-1998; 25 Ky.R. 407; 823; eff. 9-16-1998; 28 Ky.R. 1474; 1813; eff. 2-7-2002; 31 Ky.R. 1009; eff. 3-8-2005; 37 Ky.R. 1527; 1982; eff. 3-4-2011; 43 Ky.R. 1826, 2158; 44 Ky.R. 31; eff. 7-17-2017; Crt eff. 9-5-2019; 47 Ky.R. 2052; 48 Ky.R. 320; eff. 8-26-2021.

201 KAR 26:185 Requirements for granting licensure as a psychologist to an applicant licensed in another state {#sec-201-kar-26-185 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:185}

Section 1.

(1) The board shall consider an applicant for licensure in psychology in Kentucky who:

(a) Is licensed in another state that does not have an agreement of reciprocity with the Kentucky Board of Examiners of Psychology;

(b) Holds a current valid license or certificate, in good standing, to practice psychology that has been granted by:

At least one (1) state;
The District of Columbia;
A United States Territory; or
A Canadian province that maintains a psychology registration board that is a constituent member of the Association of State and Provincial Psychology Boards (ASPPB).

(c) Has a minimum of five (5) years of full-time practice or its equivalent as determined by the board in another jurisdiction; and

(d) Has not been disciplined by any psychology licensure board.

(2) The board shall consider if the applicant meets the requirements established in KRS 319.050(2). If an applicant for licensure does not have the supervised experience as required by KRS 319.050(2)(d), the board may determine that the applicant's practice experience is equivalent to the required supervised experience based upon the information submitted in the application.

(3) An applicant for licensure as a psychologist shall submit:

(a) A completed Application for Licensure of a Psychologist Licensed in Another State with the supplementary documentation required by this subsection to the board, to an online application management system contracted by the board for the purposes of application screening, or as the board directs;

(b) Three (3) letters of reference from persons qualified to evaluate the applicant's professional ability, including two (2) persons who have received a doctorate in psychology (Ph.D. PsyD., Ed.D.);

(c) An official transcript for all levels of education required for licensure. Transcripts shall be received in sealed envelopes or electronically directly from the school or a third-party clearinghouse;

(d) A Curriculum Vitae that demonstrates five (5) years of full-time practice of psychology;

(e) To the Examination for Professional Practice in Psychology (EPPP):

Developed by the ASPPB examination contractor; and
Owned by the ASPPB.

(f) A verified computerized EPPP scaled score of 500 or greater. The board shall accept the applicant's previous examination results for the national EPPP examination if the original test scores satisfied the doctoral licensure requirement as to criterion level at the time of that examination; and

(g) Payment of the application fee, which shall be:

Made payable directly to the Kentucky State Treasurer if the application is processed through the board; or
Made to the online application management system as directed by the board.

(4) The board shall review the applicant's:

(a) Record as to complaints or hearings held in previous jurisdictions; and

(b) Professional references.

Section 2. An applicant for licensure as a psychologist shall submit to a jurisprudence examination as outlined in 201 KAR 26:230, Section 1(2).

Section 3. In addition to meeting the requirements in Section 2 of this administrative regulation, an applicant for licensure as a psychologist shall submit to a competency examination as outlined in 201 KAR 26:230, Section 1(2).

Section 4. Incorporation by Reference.

(1) "Application for Licensure of a Psychologist Licensed in Another State", October 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material is also available on the board's Web site and the address is: https://psy.ky.gov.

History

RELATES TO: KRS 319.032(1)(a), (i), 319.050(2)
STATUTORY AUTHORITY: KRS 319.032(1)(i)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) requires the Board of Examiners of Psychology to promulgate administrative regulations to establish requirements for licensure. KRS 319.032(1)(i) requires the board to promulgate an administrative regulation governing reciprocal agreements with other states. This administrative regulation establishes the requirements for granting a license to an applicant who is licensed in another state that does not have an agreement of reciprocity with this board.
History: 20 Ky.R. 677; 941; eff. 10-21-1993; 24 Ky.R. 1130; 1666; eff. 2-17-1998; 28 Ky.R. 1475; 1813; eff. 2-7-2002; 37 Ky.R. 1527; 1982; eff. 3-4-2011; 43 Ky.R. 1827; 44 Ky.R. 32; eff. 7-17-2017; Crt eff. 9-5-2019; 47 Ky.R. 2054; 48 Ky.R. 320; eff. 8-26-2021; 48 Ky.R. 1873; eff. 6-2-2022.

201 KAR 26:190 Requirements for supervised professional experience {#sec-201-kar-26-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:190}

Section 1. Supervisory Requirements for an Applicant for Licensure as a Psychologist.

(1) The applicant for licensure as a psychologist with the authorization to provide psychological health care services shall have completed a minimum of 3,600 hours of supervised professional experience in accordance with this administrative regulation.

(2) A minimum of 1,800 hours of the supervised professional experience shall be a predoctoral internship of 1,800 hours with at least 100 hours of supervisory sessions.

(3) The remaining 1,800 hours of supervised professional experience shall be predoctoral, postdoctoral, or a combination of pre- and post-doctoral supervised professional experience acceptable to the board based upon the requirements of Sections 2 and 3 of this administrative regulation.

(4) Supervised professional experience at the pre-internship level shall consist of practica, field placement, or other professional experiences providing psychological services to clients and may be conducted either in person, or by two-way interactive video.

(5) At least fifty (50) percent of the supervised professional experience shall be in service-related activities, such as treatment, assessment, interviews, report-writing, case presentations, and consultations.

Section 2. For a person applying for licensure as a psychologist, the predoctoral internship shall meet the following criteria:

(1) The experience shall occur within an organized training program, in contrast to supervised professional experience or on-the-job training and have a planned, programmed sequence of training experiences;

(2) For clinical and counseling psychology doctoral internships, the training program shall have a clearly designated staff psychologist who shall be:

(a) Responsible for the integrity and quality of the training program;

(b) Actively licensed by the Board of Examiners in Psychology; or

(c) Licensed at the doctoral level by the State Board of Examiners in the state in which the training program exists or otherwise meets the standards of applicable state law.

(3) For school psychology doctoral internships, the responsible psychologist director may be from an affiliate agency or from the university training program and shall retain responsibility for the integrity and quality of the training program;

(4) Internship supervision shall be provided by a staff member of the internship agency or by an affiliate of that agency who has clinical responsibility for the cases being supervised. At least half of the internship supervision shall be provided by one (1) or more psychologists with an appropriate doctorate degree;

(5) The internship shall provide training in a range of assessment and treatment activities conducted directly with clients seeking psychological services;

(6) At least twenty-five (25) percent of the trainee's time shall be in direct client contact;

(7) The internship shall include a minimum of two (2) hours per week of regularly scheduled, formal, face-to-face individual supervision. There shall also be at least two (2) additional hours per week in learning activities such as case conferences, seminars dealing with clinical issues, and group supervision;

(8) Training shall be post-clerkship, post-practicum, and post-externship level;

(9) The internship shall have a written statement or brochure that:

(a)

Describes the goals and content of the internship; and
States clear expectations for quality and quantity of the trainee's work; and

(b) Shall be made available to prospective interns.

(10) The internship experience shall be completed within twenty-four (24) months unless an extension is approved by the board for extreme extenuating circumstances such as illness, disability, or pregnancy;

(11) The trainee shall have a title such as intern, resident, fellow, or other designation of trainee status; and

(12) The internship agency, preparing institution, and intern shall have a written agreement that describes the goals and content of the internship including clearly stated expectations for the nature of experiences offered in the agency and for the quantity and quality of the work.

Section 3. Additional Required Supervisory Experience.

(1) For a person applying for licensure as a psychologist to provide psychological health care services, the 1,800 hours of supervised professional experience, in addition to the internship required by KRS 319.050(2)(d), shall be a training-oriented professional experience that:

(a) May include course-related field experience and practica; and

(b) Shall take place in an identifiable clinical setting with mental health clients.

(2) In addition to training in a range of diagnostic and treatment activities conducted directly with clients seeking psychological services, the supervised professional experience shall consist of a planned and organized sequence of activities that includes explicit training and supervision in the following areas:

(a) Clinical skill development;

(b) Legal and regulatory issues;

(d) Supervisory skill development.

(3) During the 1,800 hours of supervised professional experience in addition to the predoctoral internship, the candidate shall:

(a) Be under supervision as required by 201 KAR 26:171; and

(b) Be providing psychological health care services under the supervision of a licensed psychologist or other licensed mental health professional approved by the doctoral training program who is affiliated with the training program or with the practice setting in a:

Health care facility or agency;
Regional mental health or mental retardation board;
School, college, or university;
Government agency;
Independent practice; or
Formalized postdoctoral program.

(4) The applicant and the supervisor of record shall design and describe the proposed experience, including the areas listed in subsection (2) of this section.

(5) If the supervised professional experience in addition to the predoctoral internship is in an independent practice, a special application letter shall affirm:

(a) The identity of the applicant, supervisor, and employer;

(b) That the supervising licensed psychologist is not hired, employed, or engaged under contract by the applicant and shall not be terminated by the applicant;

(c) That the applicant is not an owner of the independent practice or organization, but rather serves as an employee; and

(d) That the applicant has both administrative and clinical supervision that shall be provided by the independent practice or employer.

(6) If the supervised professional experience is in a university setting, the application shall also:

(a) Be proffered by a full-time faculty member;

(b) Include a plan that contains each of the areas established in subsection (2) of this section; and

Is supervised by a licensed psychologist; and
Includes:

a. Supervising student clinical work;

b. Diagnostic and interviewing activity that occurs within clinical research projects; or

c. Clinical work in the context of teaching psychotherapy, interviewing, or psychological testing.

(7) The board shall not grant a request for temporary licensure if the request does not contain an explicit and acceptable plan for the supervised professional experience as required by this section.

Section 4. An applicant for licensure as a psychological associate shall complete supervised professional experience consisting of course-related field experience, practica, and formal predoctoral internships adding up to a minimum of 600 supervised hours that shall meet the following criteria:

(1) The experience shall occur within an organized training program and consist of a planned, programmed sequence of training experiences;

(2) The preparing institution's psychology training program shall have a clearly designated placement director who shall be responsible for the integrity and quality of the experiential component of the training program;

(3) Weekly practicum and predoctoral internship supervision shall be provided by a staff member of the placement agency, by an affiliate of that agency, or by a university faculty member. At least half of the supervision shall be provided by one (1) or more psychologists with an appropriate doctorate degree and license;

(4) Field experiences, practica, and predoctoral internships shall provide training in a range of diagnostic and treatment activities conducted directly with clients seeking psychological services;

(5) At least twenty-five (25) percent of the trainee's time shall be in direct client contact;

(6) The preparing institution shall maintain a written statement or brochure describing the goals and content of the required field experiences, practica, and predoctoral internships; and

(7) Students participating in university-sanctioned supervised professional experience shall be clearly identified to clients and payers as trainees.

Section 5. An applicant for licensure as a psychological practitioner shall complete the equivalent of two (2) full-time years of psychological practice under the direct supervision of a licensed psychologist approved by the board, consistent with the requirements of 201 KAR 26:171.

(1) For purposes of this requirement, a candidate shall complete the equivalent of two (2) full-time years of supervised professional experience (excluding time spent while practicing under a temporary license) from the date of initial credentialing as a psychological associate, excluding any period of temporarily licensed psychological associate. A full-time year comprises at least 1,800 hours of supervised professional experience.

(2) A school psychologist who is employed in a Kentucky school system, credentialed by the Professional Standards Board, and also credentialed as a psychological associate by this board, may contract for on-going clinical supervision in the school setting with a board-approved licensed psychologist who is neither an employee nor a contractor of the school system.

(a) The supervised professional experience shall meet the conditions of this administrative regulation and may be used by the licensed psychological associate employed by the school system to meet the requirements for application to become a licensed psychological practitioner.

(b) To fulfill the requirements of 201 KAR 26:171, there shall be an explicit written plan approved by the board between the school system, the school psychologist, and the board-approved supervisor that delineates roles and responsibilities, without restricting the ability of the school district to direct or control the activities of its employee.

(c) A person trained in school psychology, if employed by an agency other than a public school or engaged in practice outside of the school setting, shall obtain clinical supervision in the manner specified by 201 KAR 26:171.

Section 6. Incomplete Application. An incomplete application shall be denied one (1) year from the date of filing and may be destroyed.

History

RELATES TO: KRS 319.050, 319.053, 319.056, 319.064
STATUTORY AUTHORITY: KRS 319.032, 319.050(2)(d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) and (1)(l) require the Board of Examiners of Psychology to promulgate administrative regulations to establish requirements for licensure and supervision. This administrative regulation establishes requirements for supervised professional experience.
History: 201 KAR 026:190. 13 Ky.R. 2166; eff. 7-2-1987; 15 Ky.R. 1681; eff. 3-10-1989; 20 Ky.R. 588; 942; eff. 10-21-1993; 28 Ky.R. 1476; 1814; eff. 2-7-2002; 31 Ky.R. 1010; 1512; eff. 3-8-2005; 37 Ky.R. 1529; 1983; eff. 3-4-2011; 43 Ky.R. 1829; 44 Ky.R. 32; eff. 7-17-2017; 47 Ky.R. 2056; 48 Ky.R. 321; eff. 8-26-2021; 48 Ky.R. 1875, 2573; eff. 6-2-2022; 52 Ky.R. 863; eff. 2-12-2026.

201 KAR 26:200 Education requirements {#sec-201-kar-26-200 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:200}

Section 1. Psychology Degree Requirements. For purposes of licensure, a degree in psychology shall:

(1) Be from a recognized institution of higher learning as established in this administrative regulation;

(2) Be clearly identified by the granting institution as a psychology program wherever the program may be administratively housed;

(3) Be specified in pertinent institutional catalogs and brochures as intended to educate and train professional psychologists;

(4) Require a dissertation for the degree as psychological in method and content and an expected product of doctoral training in psychology;

(5) Require that any thesis required for the degree shall be psychological in method and content and an expected product of master's training in psychology;

(6) Stand as a recognizable, coherent, organized entity within the institution;

(7) Require within the psychology faculty clear authority and primary responsibility for the core and specialty areas whether or not the program cuts across administrative lines;

(8) Be an integrated, organized sequence of study;

(9) Require an identifiable psychology faculty and a psychologist responsible for the program;

(10) Require an identifiable body of students who are matriculated in that program for a degree; and

(11) Include educational experiences with titles, such as practicum, internship, or field training, including:

(a) For a doctoral degree, require a six (6) graduate semester-hour practica, three (3) hours of psychotherapy, counseling, or intervention and three (3) hours of assessment, excluding industrial and organizational psychology; or

(b) For a master's degree, require a minimum of 600 supervised hours in course-related field experience, practica, and formal internship, as part of the degree program.

Section 2. Psychology Curriculum Requirements.

(1) In determining the approval of curricular experiences and course work, the board shall consider:

(a) The duration of graduate study:

For a doctoral degree, a minimum of three (3) years, including a minimum of one (1) full academic year in residence at the institution, consisting of a minimum of 250 contact hours or its equivalent of curricular experiences and course work delivered through face-to-face in person context with other students and with faculty of the institution, without regard to the specific physical location in which the course work is conducted; or
For a master's degree, a minimum of forty-five (45) semester hours.

(b) In addition to instruction in scientific and professional ethics and standards, research design and methodology, statistics and psychometrics, the core program shall require each student to demonstrate competence by including a minimum of three (3) or more graduate semester hours (five (5) or more graduate quarter hours) in each of these four (4) areas:

Biological bases of behavior, including the subject matters of physiological psychology, comparative psychology, neuropsychology, sensation and perception, and psychopharmacology;
Cognitive-affective bases of behavior, including the subject matters of learning, thinking, motivation, and emotion;
Social bases of behavior, including the subject matters of social psychology group process and organizational psychology and systems; and
Individual differences, including the subject matters of personality theory, human development, and abnormal psychology.

(c) In addition to the core program, the curriculum shall include appropriate course work in the specialty area of training. For candidates who seek to deliver or supervise psychological health services, the training shall include specific training in diagnosis, psychological testing, assessment of individual differences, and the design and implementation of appropriate intervention techniques, such as psychotherapy, counseling, and consultation.

(2) The applicant shall provide any relevant documentation requested by the board to confirm compliance with or satisfaction of the requirements of this administrative regulation.

(3) A deficiency in course work or other requirements shall be corrected by appropriate remedial work.

Section 3. Psychology Accreditation Requirements.

(1) A regionally accredited educational institution shall be accredited by one (1) of the following, or an equivalent accreditation entity:

(a) Southern Association of Colleges and Schools;

(b) Middle States Commission on Higher Education;

(d) New England Association of Schools and Colleges;

(e) North Central Association of Colleges and Schools;

(f) Northwest Commission on Colleges and Universities;

(g) Northwest Accreditation Commission; or

(h) Western Association of Schools and Colleges.

(2) Accreditation shall include accreditation by one (1) of the associations established in subsection (1) of this section at:

(a) Level 3, master's degree granting accreditation;

(b) Level 4, doctoral degree granting accreditation; or

(3) Licensed psychological practitioner educational requirements.

(a) Graduate course work shall be related to psychological practice and may include independent study and distance learning. All graduate course work shall have been offered by a regionally accredited university meeting the standards described in this administrative regulation. Continuing education credits shall not qualify to meet this requirement.

(b) The applicant shall provide any documentation required by the board in the manner and form prescribed by the board to confirm compliance with or satisfaction of the requirements of this section.

(c) At the discretion of the board, any deficiency in course work or other requirements may be corrected by appropriate remedial work.

Section 4.

(1) A regionally-accredited educational institution shall be accredited by any one (1) of the following:

(a) Southern Association of Colleges and Schools;

(b) Middle States Association of Colleges and Schools;

(d) North Central Association of Colleges and Schools;

(e) North Western Association of Schools and Colleges; or

(f) Western Association of Schools and Colleges.

(2) Accreditation shall be by one (1) of the associations listed in this section at Level 3, master's degree granting accreditation.

History

RELATES TO: KRS 319.050, 319.053, 319.064
STATUTORY AUTHORITY: KRS 319.032, 319.053
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1) (a) requires the Board of Examiners of Psychology to promulgate administrative regulations to establish requirements, standards, and tests to determine the moral, intellectual, educational, scientific, technical, and professional qualifications of applicants for licensure. KRS 319.050 establishes requirements for licensed psychologists. KRS 319.064 establishes requirements for licensed psychological associates. KRS 319.053(1)(c) requires an applicant for licensure as a licensed psychological practitioner to document at least sixty (60) hours of graduate study in psychology or a related field acceptable to the board. This administrative regulation establishes education requirements for licensure by the board.
History: 8 Ky.R. 33; eff. 8-5-1981; 11 Ky.R. 1447; eff. 5-14-1985; 13 Ky.R. 239; eff. 9-4-1986; 14 Ky.R. 30; eff. 9-10-1987; 15 Ky.R. 1682; eff. 3-10-1989; 28 Ky.R. 1478; 1815; eff. 2-7-2002; 37 Ky.R. 1532; 1984; eff. 3-4-2011; 42 Ky.R. 507; 1719; eff. 12-16-2015; 43 Ky.R. 1831; 44 Ky.R. 34; eff. 7-17-2017; 45 Ky.R. 1335, 1463; eff. 1-23-2019; 47 Ky.R. 2058; 48 Ky.R. 323; eff. 8-26-2021.

201 KAR 26:215 Nonresident status {#sec-201-kar-26-215 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:215}

Section 1. A nonresident psychologist temporarily employed in the state may render psychological services immediately upon:

(1) Written notification of intent to provide psychological services in Kentucky and verification to the board that the nonresident psychologist:

(a) Holds the Interjurisdictional Practice Certificate (IPC) issued by the Association of State and Provincial Psychology Boards (ASPPB) or a successor organization;

(b) Holds the Certificate of Professional Qualification (CPQ) issued by ASPPB or a successor organization;

(d) Is licensed in a jurisdiction with whom this Board has established reciprocity; and

(2) Payment to the board a fee for registration as a nonresident psychologist established in 201 KAR 26:160, Section 4.

Section 2.

(1) A nonresident credential holder who does not satisfy Section 1 of this administrative regulation, is temporarily employed, and seeks to practice in Kentucky shall:

(a) Submit completed Nonresident Psychological Registration Form and satisfy the requirements of Subsection (2) of this section; and

(b) Pay to the board a fee for registration as a nonresident psychologist established in 201 KAR 26:160, Section 4.

(2) Board approval shall be contingent upon:

(a) Receipt of documentation that the nonresident psychologist holds a valid license in good standing from another jurisdiction; and

(b) Confirmation that the applicant does not have a report of disciplinary action filed with the Association of State and Provincial Psychology Boards.

(3)

(a) Nonresident temporary practice, pursuant to KRS 319.015(8), shall be conditionally approved by the chair of the board if:

The applicant for temporary practice meets the conditions for practice established by KRS 319.015(8); and
The applicant has registered with the board.

(b) The conditional approval shall terminate at the next regularly scheduled meeting of the board. At that meeting, the board shall determine whether to approve the temporary practice.

Section 3. A nonresident psychologist temporarily employed in the state may render psychological services no more than thirty (30) days every two (2) years with the approval of the board.

Section 4. Upon the completion of the authorized temporary employment period, the nonresident license holder shall submit a written report to the board of each date on which psychological services were rendered in this state, and the location of the site of those services.

Section 5. For purposes of this administrative regulation, the provision of psychological services on a given date, regardless of the period of time of those services, shall constitute one (1) day.

Section 6. Pursuant to KRS 319.015(8), the provisions of this administrative regulation shall:

(1) Apply to a nonresident psychologist temporarily employed in the state for a period of fewer than thirty (30) days every two (2) years; and

(2) Not be used to begin practice in Kentucky by an applicant for temporary or regular licensure pending credentials review.

Section 7. A person licensed to practice psychology in another jurisdiction may practice psychology by electronic or telephonic means in Kentucky if he or she registers with the board and receives board approval for this practice. A person seeking this approval shall follow the provisions set forth in Sections 1 through 4 of this administrative regulation.

Section 8. A person licensed to practice psychology in another jurisdiction and who is providing service in response to a declared disaster pursuant to an agreement between the American Red Cross and the American Psychological Association's Disaster Response Network may begin practice in Kentucky upon notification to the board.

Section 9. A person practicing pursuant to the provisions of KRS 319.015(8) shall be subject to the provisions of KRS 319.082 and 201 KAR 26:145.

Section 10. Incorporation by Reference.

(1) "Nonresident Psychological Registration Form", October 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material is also available on the board's Web site and the address is: https://psy.ky.gov.

History

RELATES TO: KRS 319.015(8), 319.082
STATUTORY AUTHORITY: KRS 319.015(8), 319.032(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) requires the Board of Examiners of Psychology to promulgate administrative regulations to establish requirements for licensure. KRS 319.015(8) authorizes a nonresident psychologist temporarily employed in the state to render psychological services for no more than thirty (30) days every two (2) years and requires the board to establish a registration process for nonresident psychologists. This administrative regulation establishes the requirements for registering in Kentucky as a nonresident psychologist.
History: 20 Ky.R. 678; 944; eff. 10-21-1993; 24 Ky.R. 1131; 1667; eff. 2-17-1998; 25 Ky.R. 408; eff. 9-16-1998; 28 Ky.R. 1480; eff. 2-7-2002; 37 Ky.R. 1533; eff. 3-4-2011; 43 Ky.R. 1834; 44 Ky.R. 36; eff. 7-17-2017; Crt eff. 9-5-2019; 48 Ky.R. 1878; eff. 6-2-2022.

201 KAR 26:225 Renewal and reinstatement {#sec-201-kar-26-225 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:225}

Section 1.

(1) To apply for renewal, a licensed psychologist, certified psychologist with autonomous functioning, or licensed psychological practitioner shall:

(a) Submit a completed Renewal Application to the board;

(b) Pay to the board the appropriate renewal fee established in 201 KAR 26:160, Section 1(5); and

(2) After the renewal date but during the three (3) month grace period, a licensed psychologist, certified psychologist with autonomous functioning, or licensed psychological practitioner shall:

(a) Submit a completed Renewal Application to the board;

(b) Pay to the board the appropriate renewal fee established in 201 KAR 26:160, Section 1(5);

(d) Have completed thirty-nine (39) continuing education hours established in 201 KAR 26:175, Section 2(1).

(3) After the three (3) month grace period but less than three (3) years of cancelation, a licensed psychologist, certified psychologist with autonomous functioning, or licensed psychological practitioner shall:

(a) Submit a completed Renewal Application to the board;

(b) Pay to the board the appropriate renewal fee established in 201 KAR 26:160, Section 1(5);

(d) Pay to the board a reinstatement fee established in 201 KAR 26:160, Section 3; and

(e) Complete thirty-nine (39) continuing education hours obtained within the three (3) years prior to the date of application for reinstatement.

(4) After three (3) years of cancelation, a licensed psychologist, certified psychologist with autonomous functioning, or licensed psychological practitioner shall:

(a) Submit a new completed application to the board;

(b) Pay to the board the appropriate fee established in 201 KAR 26:160, Section 1; and

(c) Successfully complete the oral and structured examinations on Kentucky mental health law, ethical principles, and professional practice established in 201 KAR 26:230, Section 3(1)(b) and (4).

Section 2.

(1) To apply for renewal, a certified psychologist or licensed psychological associate shall:

(a) Submit a completed Renewal Application to the board;

(b) Pay to the board the appropriate renewal fee established in 201 KAR 26:160, Section 1(6); and

(2) After the renewal date but during the three (3) month grace period, a certified psychologist or licensed psychological associate shall:

(a) Submit a completed Renewal Application to the board;

(b) Pay to the board the appropriate renewal fee established in 201 KAR 26:160, Section 1(6);

(d) Complete thirty-nine (39) continuing education hours established in 201 KAR 26:175, Section 2(1).

(3) After the three (3) month grace period but less than three (3) years of cancelation, a certified psychologist or licensed psychological associate shall:

(a) Submit a completed Renewal Application to the board;

(b) Pay to the board the appropriate renewal fee established in 201 KAR 26:160, Section 1(5);

(d) Pay to the board a reinstatement fee established in 201 KAR 26:160, Section 3; and

(e) Complete thirty-nine (39) continuing education hours obtained within the three (3) years prior to the date of application for reinstatement.

(4) After three (3) years of cancelation, a certified psychologist or licensed psychological associate shall:

(a) Submit a new completed application to the board; and

(b) Pay to the board the appropriate fee established in 201 KAR 26:160, Section 1.

Section 3. A person who previously held a credential issued by the board and applies three (3) years or more beyond the date of cancelation shall be required to meet current initial licensure requirements.

Section 4. A credential holder may continue to practice during the grace period.

Section 5. A person shall not engage in the practice of psychology after a license has been canceled.

Section 6. Incorporation by Reference.

(1) "Renewal Application", October 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material is also available on the Board's website and the address is: https://psy.ky.gov.

History

RELATES TO: 319.071
STATUTORY AUTHORITY: KRS 319.032(1)(c), 319.032(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(c) requires the Board of Examiners of Psychology to promulgate an administrative regulation setting the requirements for issuing and denying an applicant for licensure. KRS 319.032(2) authorizes the board to promulgate administrative regulations as it deems necessary for the proper administration of KRS Chapter 319. This administrative regulation establishes the renewal and reinstatement processes.
History: 43 Ky.R. 1900; 44 Ky.R. 37; eff. 7-17-2017; Crt eff. 9-5-2019; 48 Ky.R. 1880; eff. 6-2-2022.

201 KAR 26:230 Examinations and applications {#sec-201-kar-26-230 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:230}

Section 1.

(1) The national examination shall be the Examination for Professional Practice in Psychology (EPPP) developed by the Association of State and Provincial Psychology Boards (ASPPB) examination contractor and owned by the ASPPB.

(a) The EPPP shall be taken by computer administration.

(b) The board shall submit to the ASPPB examination contractor a list of applicants eligible to sit for the examination.

(2) The Kentucky examinations shall consist of a jurisprudence examination of Kentucky mental health law, and a competency examination of ethical principles and professional practice.

(a) A candidate shall score at least an eighty (80) percent to pass the jurisprudence examinations.

(b) A candidate shall score a 100 percent to pass the competency examination.

Section 2. General Requirements.

(1) An applicant for licensure shall:

(a)

Submit a completed application as required by 201 KAR 26:155, Section 1; 201 KAR 26:280, Section 1; 201 KAR 26:180, Section 2; 201 KAR 26:185, Section 2; or 201 KAR 26:290, Section 1; and
Pay the applicable fee established in 201 KAR 26:160; or

(b) Submit the application required by subsection (1) of this section to the online application management system designated by the board that shall:

Include a certification by the applicant that the:

a. Information in the application is true, correct, and complete to the best of their knowledge and belief; and

b. Applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification; and

Be accompanied by payment of the application fee that shall:

a. Be made payable directly to the Kentucky State Treasurer if the application is processed through the board; or

b. Be made to the online application management system as directed by the board.

(2) Once the Licensed Psychologist Applicant has completed all items, including sending supplemental materials, the online application management system completes a primary source verification process then forwards the application to the board for final review.

(3) The Credentialing Committee of the Board reviews the application and determines the applicant's eligibility for licensure.

(4) The applicant shall sit for the national (EPPP) examination within one (1) year of the notice of the application being approved by the board. An applicant may sit for the national (EPPP) examination at any approved ASPPB examination contractor testing center in the United States, U.S. Territories, or Canada.

(5) If an applicant loses eligibility to sit for the national (EPPP) examination because of failure to reschedule, cancel, or appear to take the examination as stated in subsection (4) of this section:

(a) The applicant shall forfeit all fees paid; and

(b) Any temporary license issued to the applicant shall be terminated.

Section 3. Examination for Licensure as a Licensed Psychologist.

(1) The applicant shall pass:

(a) The national (EPPP) examination in accordance with subsection (2) of this section; and

(b) The Kentucky examinations as outlined in Section 1(2) of this administrative regulation. The competency examination shall be administered by two (2) licensed psychologists approved by the board.

(2) The applicant shall obtain an EPPP scaled score of 500 or greater or shall have obtained a previous national EPPP passing score which satisfied the doctoral licensure requirement as to criterion level at the time of that examination. The applicant shall be notified by the board of the score, as well as of passing or failing the examination.

(3) If an applicant for licensure as a licensed psychologist fails the national (EPPP) examination, the candidate may reapply with a detailed remediation plan, including the process by which the applicant proposes to improve his or her performance on the examination, the time proposed to be spent on remediation, and with whom the applicant proposes to study or obtain further instruction and any other information requested by the board. Upon completion of the remediation plan approved by the board, and the appropriate fee to the ASPPB examination contractor is paid, the applicant shall be deemed eligible by the board to be permitted to sit again for the national (EPPP) examination.

(a) The candidate shall continue to function under the supervision of the board-approved supervisor until:

The national (EPPP) examination and Kentucky examinations are successfully completed; or
The temporary license is terminated.

(b) The applicant for licensure as a licensed psychologist shall not be scheduled for the Kentucky examinations until the national (EPPP) examination has been successfully passed and the board has determined that the requirements for supervised experience for licensure as a licensed psychologist have been met.

(4) The competency examination shall not be required for an applicant who is board-certified by the American Board of Professional Psychology (ABPP) or a successor organization or holds a current license in good standing from a jurisdiction with a reciprocity agreement with this board.

(5) If the applicant does not pass either of the Kentucky examinations on the first attempt, the applicant may reapply with a detailed remediation plan, including the process by which the applicant proposes to improve his or her performance on the examination, the time proposed to be spent on remediation, and with whom the applicant proposes to study or obtain further instruction and any other information requested by the board. Upon completion of the remediation plan approved by the board, the applicant shall be administered a second examination.

(6) If the applicant does not pass either of the Kentucky examinations on the second attempt, the applicant may reapply with an additional remediation plan. Upon completion of the remediation plan approved by the board, the applicant shall be administered a third examination.

(7) An applicant may only take each of the structured examinations on three (3) occasions. If an applicant for licensure as a licensed psychologist does not pass on the third attempt, they may apply to be credentialed as a licensed psychological associate by completing an application and paying the appropriate fee, as required by 201 KAR 26:160. The board shall accept the applicant's previous examination results to satisfy the requirements for the licensed psychological associate application.

Section 4. Examination for Licensure as a Licensed Psychological Practitioner.

(1) The applicant shall pass:

(a) A national (EPPP) examination unless the applicant's previous examination results for the national (EPPP) examination satisfied the doctoral licensure requirement as to criterion level at the time of that examination; or

(b) The applicant shall obtain a computerized national (EPPP) scaled score of 500 or greater. The applicant shall be notified by the board of the score, as well as of passing or failing the examination.

(2) Pursuant to KRS 319.050(3), an applicant for licensure as a licensed psychological practitioner who has been approved to sit for the national (EPPP) examination shall continue to be supervised until all requirements for licensure as a licensed psychological practitioner have been completed.

(3) If an applicant for licensure as a licensed psychological practitioner fails to obtain a scaled score of 500 or greater on the EPPP examination, the candidate may reapply to the board, pay the appropriate fee to the ASPPB examination contractor and be permitted to sit for the national (EPPP) examination again.

(4) The applicant for licensure as a licensed psychological practitioner shall not be scheduled for the Kentucky examinations until the national (EPPP) examination has been successfully passed and the required five (5) years of supervised experience or its equivalent have been approved by the board.

(5) An applicant for licensure as a licensed psychological practitioner shall submit to a competency examination as outlined in Section 1(2) of this administrative regulation administered by an at least one (1) licensed psychologist and either a certified psychologist with autonomous functioning or a licensed psychological practitioner. The applicant for licensure as a licensed psychological practitioner shall also complete a jurisprudence examination as outlined in Section 1(2) of this administrative regulation.

(6) If the applicant does not pass either of the Kentucky examinations on the first attempt, the applicant may reapply with a remediation plan that includes the process by which the applicant proposes to improve his or her performance on the examination, the time proposed to be spent on remediation, and how the applicant proposes to study or obtain further instruction and any other information requested by the board. Upon completion of a remediation plan approved by the board, the applicant shall be administered a second examination.

(7) If the applicant does not pass either of the Kentucky examinations on the second attempt, the applicant may reapply with an additional remediation plan. Upon completion of a remediation plan approved by the board, the applicant shall be administered a third examination.

(8) An applicant may only take each examination three (3) times, and would have to remain as a Psychological Associate under board approved supervision if either examination is failed three (3) times.

Section 5. Examination for Licensure as a Psychological Associate.

(1) The applicant shall:

(a) Obtain a national (EPPP) scaled score of 400 or greater; or

(b) Have obtained an EPPP passing score for licensure at the master's level in effect at the time of the applicant's previous national (EPPP) examination; and

(2) Pursuant to KRS 319.064(3), an applicant for licensure as a licensed psychological associate who has been approved to sit for the national (EPPP) examination and whose supervisory arrangement has been approved by the board shall be considered to be functioning under a temporary license.

(3) If an applicant for licensure as a psychological associate fails the national (EPPP) examination, the applicant shall:

(a) File a detailed remediation plan, cosigned by the supervisor within thirty (30) days of notice of failure; and

(b) Be eligible to retake the national (EPPP) examination upon approval of the plan by the board.

History

RELATES TO: KRS 319.032(1)(a), 319.050, 319.053, 319.064
STATUTORY AUTHORITY: KRS 319.032(1)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) requires the board to promulgate an administrative regulation establishing the examination requirements for an applicant for licensure. KRS 319.050(1) and 319.064(2)(c), (3) require an applicant to successfully complete the required examination prior to licensure. This administrative regulation establishes the examination and application requirements.
History: 14 Ky.R. 528; eff. 10-2-1987; 15 Ky.R. 1685; eff. 3-10-1989; 24 Ky.R. 1132; 1667; eff. 2-17-1998; 28 Ky.R. 1481; 1817; eff. 2-7-2002; 31 Ky.R. 1012; 1514; eff. 3-8-2005; 37 Ky.R. 1535; 1985; eff. 3-4-2011; 47 Ky.R. 2060; 48 Ky.R. 324; eff. 8-26-2021; 48 Ky.R. 1882, 2574; eff. 6-2-2022.

201 KAR 26:250 Employment of a psychological associate, a temporarily licensed psychological associate, or a temporarily licensed psychologist {#sec-201-kar-26-250 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:250}

Section 1. Employment of a licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist (which are licensees requiring clinical supervision) by a regional mental health or mental retardation board, college or university, or government agency shall not be considered independent practice.

Section 2.

(1) A licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist may be employed in a supervisor's independent practice, if the supervisor is responsible for the direction and control of the practice of the licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist.

(2) Employees shall be paid compensation. Employees shall not be independent contractors and receive a Form 1099 for their compensation. Any independent contractor shall have an independent license.

Section 3.

(1) A special application shall:

(a) Be submitted to the board by the supervisor of record and a licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist if:

a. The licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist is employed in an independent practice; and

b. The supervisor of record is not the employer; or

The employer is not an organization listed in Section 1 of this administrative regulation.

(b) Be approved by the board before the practice begins.

(c) Identify the licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist supervisor, and employer.

(d) Certify that:

The supervising licensed psychologist is not hired, employed, or engaged under contract by the licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist;
The licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist is not an owner of the independent practice or organization, but rather serves as an employee; and
The licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist has both administrative and clinical supervision that are provided by the independent practice or organization.

(2) The arrangement described in the application shall be approved by the board before the practice begins.

Section 4. A licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist shall not pay, hire, or employ a supervisor to provide clinical supervision in accordance with 201 KAR 26:171.

Section 5. A licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist who works as an employee for more than one (1) independent practice or organization shall obtain approval from the board for a supervisor of record for each independent practice or organization and shall comply with 201 KAR 26:171 for approval to have more than two (2) supervisors of record.

Section 6. In all communications and advertising with the public, the licensed psychological associate's, temporarily licensed psychological associate's, or temporarily licensed psychologist's relationship with the employer and the supervisor shall be clearly indicated.

Section 7. The licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist and the supervisor shall comply with the requirements for clinical supervision established in 201 KAR 26:171.

Section 8. Incorporation by Reference.

(1) "Special Application", (March 2021 edition), is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material may also be found on the Board's Web site, https://psy.ky.gov.

History

RELATES TO: KRS 319.032(1)(b), 319.032(1)(l), 319.064(5)
STATUTORY AUTHORITY: KRS 319.032(1)(b), 319.032(1)(l)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(l) requires the Board of Examiners of Psychology to promulgate an administrative regulation governing the clinical supervision and employment of a licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist. KRS 319.064(5) prohibits a licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist from practicing independently, except under the employment and clinical supervision of a board approved licensed psychologist. This administrative regulation establishes the requirements for the employment of a licensed psychological associate, temporarily licensed psychological associate, or temporarily licensed psychologist.
History: 24 Ky.R. 1182; 1669; eff. 2-17-1998; 28 Ky.R. 1484; 1819; eff. 2-7-2002; 43 Ky.R. 1836; 44 Ky.R. 38; eff. 7-17-2017; 47 Ky.R. 2063; 48 Ky.R. 326; eff. 8-26-2021; 48 Ky.R. 1884; eff. 6-2-2022.

201 KAR 26:270 Change of license status {#sec-201-kar-26-270 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:270}

Section 1. Change of License Status to Licensed Psychologist.

(1) If a person holds a license as a certified psychologist with or without autonomous functioning, as a licensed psychological practitioner or as a licensed psychological associate and later completes the educational and supervised experience requirements to apply for licensed psychologist status, a new and complete application for licensure shall be submitted with an approved application fee as required by 201 KAR 26:155 and 26:160.

(2) The board shall accept the applicant's previous examination results for the national (EPPP) examination if the original test score satisfied the doctoral licensure requirement as to criterion level at the time of that examination.

(3) If the previous EPPP score does not satisfy the requirements of subsection (2) of this section, the applicant shall successfully complete the national (EPPP) examination as described in 201 KAR 26:230.

(4) The Kentucky examinations as outlined in 201 KAR 26:230, Section 1(2) shall be successfully completed by the applicant as described in 201 KAR 26:230, Section 4(5).

Section 2. Change of License Status to Licensed Psychological Practitioner by Certified Psychologists with Autonomous Functioning.

(1) Persons holding a credential as a certified psychologist with autonomous functioning may continue to function with that title.

(2) Any certified psychologist with autonomous functioning may notify the board in writing of their choice to permanently change their title to licensed psychological practitioner.

(3) The board shall then issue a new license with that title.

Section 3. Change of License Status to Licensed Psychological Practitioner by Certified Psychologists and Psychological Associates.

(1) If a person holds a credential as a certified psychologist without autonomous functioning or as a licensed psychological associate and later completes the educational and supervised experience requirements to apply for licensed psychological practitioner status, a new and complete application for licensure shall be submitted with an approved application fee as required by 201 KAR 26:155 and 201 KAR 26:160.

(3) If the previous EPPP score does not satisfy the requirements of Section 1(2) of this administrative regulation, the applicant shall successfully complete the national (EPPP) examination as described in 201 KAR 26:230, Section 4(5).

(4) The Kentucky examinations as outlined in 201 KAR 26:230, Section 1(2) shall be successfully completed by the applicant as described in 201 KAR 26:230, Section 4(5).

Section 4. Change of License Status to Licensed Psychological Associate by Certified Psychologists.

(1) Persons holding a license as a certified psychologist may continue to function with that title.

(2) At the time of renewal of their license, any certified psychologist may notify the board in writing of their choice to permanently change their title to licensed psychological associate.

(3) The board shall then issue a new license with that title.

Section 5. Change of License Status to Licensed Psychological Associate by Certified Psychological Associates.

(1) Persons holding a license as a psychological associate shall use the title licensed psychological associate.

(2) The board shall issue a new license with that title.

History

RELATES TO: KRS 319.053, 319.056
STATUTORY AUTHORITY: KRS 319.032(1)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032 requires the board to promulgate administrative regulations to enable persons licensed by this board to change their license status upon completion of additional training and experience. This administrative regulation establishes procedures to enable license holders to change their license status.
History: 28 Ky.R. 1518; 1819; eff. 2-7-2002; 37 Ky.R. 1537; eff. 3-4-2011; Crt eff. 9-5-2019; Crt eff. 9-1-2026.

201 KAR 26:280 Licensed psychological associate: application procedures and temporary license {#sec-201-kar-26-280 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:280}

Section 1. Application.

(1) After the requirements established in KRS 319.064(2) are met, an application for a credential to perform certain functions as a licensed psychological associate may be submitted to the board, to an online application management system contracted by the board for the purposes of application screening, or as the board directs.

(2) The application required by subsection (1) of this section shall be made to the board using the Application for Licensure as a Psychological Associate or to the online application management system and shall:

(a) Include a certification by the applicant that the:

Information in the application is true, correct, and complete to the best of their knowledge and belief; and
Applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification;

(b) Be accompanied by payment of the application fee established in 201 KAR 26:160, Section 1 that shall:

Be made payable directly to the Kentucky State Treasurer if the application is processed through the board; or
Be made to the online application management system as directed by the board;

(c) Include three (3) letters of reference or completed Recommendation Form for Licensure as a Psychological Associate from persons qualified to evaluate the applicant's professional ability, including two (2) persons who have received a doctorate in psychology (Ph.D., Psy.D., or Ed.D.); and

(d) Include an official transcript for all levels of education required for licensure. Transcripts shall be received in sealed envelopes or electronically directly from the school or a third-party clearinghouse.

(3) Incomplete Application. An incomplete application shall be determined to be expired one (1) year from the date of filing, and may be destroyed.

Section 2. Temporary Licensure.

(1) An applicant may request permission to perform functions as a licensed psychological associate on a temporary basis pursuant to KRS 319.064(3).

(2) The request for a temporary credential shall be co-signed by the candidate and the proposed[pro- supervisor, who shall be a licensed psychologist approved by the board and who holds the health services provider designation.

(3)

(a) A temporary license shall be valid for one (1) year from the date of the notice of approval by the board.

(b) During the period of temporary licensure, a candidate shall:

Successfully complete all credentials and examination procedures; and
Pass the Examination for Professional Practice in Psychology (EPPP).

(4)

(a) Under exceptional circumstances and upon written request cosigned by the board-approved supervisor, the board may approve an extension of the period of temporary licensure.

Exceptional circumstances include unforeseen events beyond the control of the temporary licensee that have a significant impact upon the temporary licensee's ability to complete the requirements in subsection (3)(b) of this section.
Some examples of exceptional circumstances include instances such as natural disasters, or illness or disability of the temporary licensee, or that of a family member of the temporary licensee.

(b) A licensee shall submit a completed Request for Extension of Temporary Licensure as a Psychological Associate to the board to request an extension under this subsection.

(d) After the six (6) months, a second extension may be requested for an additional six (6) months.

(e) After a total of two (2) years of extensions, the licensee may request a second temporary license.

(f) If after two (2) years on the second temporary license another extension is requested, the licensee may request a third temporary license.

(g) Licensees shall not exceed a total of six (6) years of extensions for all temporary licenses nor hold a temporary license longer than six (6) years.

Section 3. Grace Period for Submission of Credentials. To allow for processing of the candidate's materials by the board, there shall be a grace period not to exceed ninety (90) days within which a candidate who has completed his or her degree requirements may begin employment by an agency to practice psychology under supervision with a board-approved supervisor.

(1) Upon acceptance of employment, the candidate and the licensed psychologist with health service practitioner designation who shall serve as the clinical supervisor shall immediately submit a letter of notice to the board indicating that he or she has begun to practice in Kentucky and that application materials are forthcoming. Failure to submit this notice may be grounds for disciplinary action against the candidate and the clinical supervisor.

(2) It shall be the responsibility of the candidate to ensure that all materials are forwarded to the board within thirty (30) days from the date of agency employment. Once the application is complete, the board shall review the material at its next scheduled meeting and, if appropriate, issue either a temporary or permanent credential. If the candidate does not meet the requirements for the credential, or if their application material is insufficient to take any action, they shall be directed to cease practice until the requirements are met.

(3) The grace period shall not be extended beyond ninety (90) days. A candidate who fails to achieve approval within this timeframe shall not practice psychology until credentialed by the board.

(4) Upon filing the notice set forth in subsection (1) of this section, the candidate shall be practicing psychology under the jurisdiction of the board, and shall be subject to KRS Chapter 319 and 201 KAR Chapter 26.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure as a Psychological Associate", October2025;

(b) "Recommendation Form for Licensure as a Psychological Associate", October2025; and

History

RELATES TO: KRS 319.064
STATUTORY AUTHORITY: KRS 319.032(1)(a), (c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) and (c) require the Board of Examiners of Psychology to promulgate administrative regulations establishing the requirements for an applicant for licensure as a psychological associate. This administrative regulation establishes the requirements for applicants for licensure and the conditions for a temporary license
History: 201 KAR 026:280. 28 Ky.R. 1520; 1820; eff. 2-7-2002; 31 Ky.R. 1014; 1515; eff. 3-8-2005; 43 Ky.R. 1838; 44 Ky.R. 38; eff. 7-17-2017; 45 Ky.R. 1337, 2079; eff. 1-23-2019; Crt eff. 9-5-2019; 47 Ky.R.2065; 48 Ky.R. 327; eff. 8-26-2021; 52 Ky.R. 866, 1335; eff. 2-12-2026.

201 KAR 26:290 Licensed psychological practitioner: application procedures {#sec-201-kar-26-290 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:290}

Section 1. Application.

(1) After the requirements established in KRS 319.053(1) are met, an applicant for licensure as a licensed psychological practitioner shall submit a completed Application for Licensure as a Psychological Practitioner to the board, to an online application management system contracted by the board for the purposes of application screening, or as the board directs.

(2) The application shall:

(a) Include a certification by the applicant that the:

Information in the application is true, correct, and complete to the best of their knowledge and belief; and
Applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification.

(b) Be accompanied by payment of the application fee that shall:

Be made payable to the Kentucky State Treasurer if the application is processed through the board; or
Be made to the online application management system as directed by the board.

(c) Include two (2) letters of completed Recommendation for Licensure as a Psychological Practitioner forms from licensed mental health professionals acceptable to the board who are familiar with the clinical work of the applicant;

(e) Include one (1) completed Supervisor Recommendation for Licensure as a Psychological Practitioner that shall be from the current board-approved clinical supervisor of record.

(3) An incomplete application may be determined to be expired one (1) year from the date of filing, and may be destroyed.

Section 2. Temporary Licensure. Temporary credentials shall not be issued to persons applying for licensed psychological practitioner status. An applicant may continue to practice under board-approved supervision as a licensed psychological associate or as a certified psychologist pending successful completion of all requirements for a change of status to a licensed psychological practitioner.

(1) The candidate shall obtain an acceptable score on the national (EPPP) examination as established in 201 KAR 26:230, Section 4.

(3) The Kentucky examinations as outlined in 201 KAR 26:230 Section 1(2) shall be successfully completed by the applicant as described in 201 KAR 26:230, Section 4(5).

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensure as a Psychological Practitioner", March 2021;

(b) "Supervisor Recommendation for Licensure as a Psychological Practitioner", March 2021; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Examiners of Psychology, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. These materials may also be viewed on the board's Web site.

History

RELATES TO: KRS 319.053
STATUTORY AUTHORITY: 319.032(1)(a), (c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.032(1)(a) and (c) require the Board of Examiners of Psychology to promulgate administrative regulations establishing the requirements for an applicant for licensure as a psychological practitioner. This administrative regulation establishes the requirements for these applicants.
History: 28 Ky.R. 1520; 1820; eff. 2-7-2002; 31 Ky.R. 1014; 1515; eff. 3-8-2005; 43 Ky.R. 1840; 44 Ky.R. 39; eff. 7-17-2017; Crt eff. 9-5-2019; 47 Ky.R. 2067, 48 Ky.R. 328; eff. 8-26-2021.

201 KAR 26:310 Telehealth and telepsychology {#sec-201-kar-26-310 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:310}

Section 1. Definitions.

(1) "Client" is defined by 201 KAR 26:145, Section 3.

(2) "Telehealth" means delivery of health care-related services, by a provider who is a health care provider licensed in Kentucky, to a client through a face-to-face encounter with access to real-time interactive audio and video technology, or audio-only technology if video is not technologically possible due to limited internet connectivity or limited bandwidth. Telehealth shall not include the delivery of services through electronic mail, text chat, facsimile, or standard audio-only telephone call and shall be delivered over a secure communications connection that complies with the federal Health Insurance Portability and Accountability Act of 1996, 42 U.S.C. secs. 1320d to 1320d-9.

(3) "Telepsychology" means the practice of psychology, as defined by KRS 319.010(7), between the credential holder and the client that is provided using:

(a) Electronic communication technology; or

(b) Two (2) way, interactive, simultaneous audio and video.

(4) "Telehealth service" means any service that is provided via telehealth and is one (1) of the following:

(a) Event;

(b) Encounter;

(d) Visit;

(e) Remote patient monitoring;

(f) Referral; or

(g) Treatment.

Section 2. Client Requirements. A credential holder using telehealth to deliver psychological services or who practices telepsychology shall, upon initial contact with the client:

(1) Make reasonable attempts to verify the identity of the client;

(2) Obtain alternative means of contacting the client other than electronically;

(3) Provide to the client alternative means of contacting the credential holder other than electronically;

(4) Document if the client has the necessary knowledge and skills to benefit from the type of telepsychology provided by the credential holder;

(5) Use secure communications with clients, including encrypted text messages via e-mail or secure Web sites, and not use personal identifying information in non-secure communications;

(6) Inform the client in writing about:

(a) The limitations of using technology in the provision of telepsychology;

(b) Potential risks to confidentiality of information due to technology in the provision of telepsychology;

(d) When and how the credential holder will respond to routine electronic messages;

(e) The circumstances in which the credential holder will use alternative communications for emergency purposes;

(f) Who else may have access to client communications with the credential holder;

(g) How communications can be directed to a specific credential holder;

(h) How the credential holder stores electronic communications from the client; and

(i) The reporting of clients required by 201 KAR 26:145, Section 7.

(7) Within forty-eight (48) hours of the telehealth service, the credential holder shall document within the client's medical record that a service was provided by telehealth, and follow all documentation requirements of the practice.

Section 3. Competence, Limits on Practice, Maintenance, and Retention of Records.

(1) A credential holder using telehealth to deliver psychological services or who practices telepsychology shall:

(a) Limit the practice of telepsychology to the area of competence in which proficiency has been gained through education, training, and experience;

(b) Maintain current competency in the practice of telepsychology through continuing education, consultation, or other procedures, in conformance with current standards of scientific and professional knowledge;

(d) Follow the record-keeping requirements of 201 KAR 26:145, Section 6;

(e) Ensure that confidential communications obtained and stored electronically cannot be recovered and accessed by unauthorized persons when the credential holder disposes of electronic equipment and data; and

(f) Document the client's written informed consent to the services being provided and the provision of those services via telehealth, including that the patient has the right to refuse telehealth consultation or services, has been informed of alternatives to telehealth services, that the client shall be entitled to receive information from the provider regarding the services rendered, that the client's information shall be protected by applicable federal and state law regarding patient confidentiality, that the client shall have the right to know the identity of all persons present at any site involved in the telehealth services, and to exclude any such person, and that the client shall have the right to be advised, and to object to, any recording of the telehealth consultation or services.

(2) The requirement of a written informed consent shall not apply to an emergency situation if the client is unable to provide informed consent and the client's legally authorized representative is not available.

Section 4. Compliance with Federal, State, and Local Law. A credential holder using telehealth to deliver psychological services or who practices telepsychology shall comply with:

(1) State law where the credential holder is credentialed and state law regarding the practice of psychology where the client is located at the time services are rendered; and

(2) Section 508 of the Rehabilitation Act, 29 U.S.C. 794(d), to make technology accessible to a client with disabilities;

Section 5. Representation of Services and Code of Conduct. A credential holder using telehealth to deliver psychological services or who practices telepsychology:

(1) Shall not, by or on behalf of the credential holder, engage in false, misleading, or deceptive advertising of telepsychology; and

(2) Shall comply with 201 KAR 26:145.

History

RELATES TO: KRS 319.140
STATUTORY AUTHORITY: KRS 319.032(2), 319.140(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.140 requires a treating psychologist utilizing telehealth to ensure a patient's informed consent and to maintain confidentiality. This administrative regulation protects the health and safety of the citizens of Kentucky and establishes procedures for preventing abuse and fraud through the use of telehealth, prevents fee-splitting through the use of telehealth, and utilizes telehealth in the provision of psychological services and in the provision of continuing education.
History: 37 Ky.R. 1597; 1987; eff. 3-4-2011; 47 Ky.R. 2069; 48 Ky.R. 328; eff. 8-26-2021; 48 Ky.R. 1888, 2459, 2576; eff 6-2-2022.

201 KAR 26:320 Per diem and reimbursement {#sec-201-kar-26-320 omnilex-key=us-ky-regs-official--title-201--201 KAR 26:320}

Section 1. Each member of the board shall receive per diem compensation of $100 for attending each board meeting or otherwise discharging official duties of the board.

History

RELATES TO: KRS 319.005-319.140, 319.990
STATUTORY AUTHORITY: KRS 319.020(5), 319.032(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319.020(5) establishes per diem and reimbursement rates for board members. KRS 319.032(2) authorizes the Board to promulgate administrative regulations to carry out KRS Chapter 319. This administrative regulation establishes per diem rates for board members.
History: 201 KAR 026:320. 51 Ky.R. 1826; eff. 7-30-2025.

Chapter 27 Kentucky Boxing and Wrestling Commission

201 KAR 27:005 Definitions for 201 KAR Chapter 27 {#sec-201-kar-27-005 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:005}

Section 1. Definitions.

(1) "Battle royal" means an unarmed combat show involving more than two (2) contestants competing in a "last man standing wins" format.

(2) "Bout" means a single competition or exhibition of unarmed combat pitting two (2) opponents against one another in which the contestants strive earnestly and in good faith to win, are judged, and a winner declared.

(3) "Boxing" is defined by KRS 229.011(2).

(4) "Card" means a series of bouts, matches, or exhibitions scheduled or occurring as part of a single program.

(5) "Commission" is defined by KRS 229.011(3).

(6) "Contestant" means any person engaging in a show of unarmed combat coming under the commission's jurisdiction.

(7) "Exhibition" is defined by KRS 229.011(4).

(8) "Grounded opponent" means a contestant participating in a match or bout:

(a) Who has any part of the body, other than the sole of the feet, touching the floor of the fenced area established by 201 KAR 27:016, Section 5(4);

(b) Found to be grounded by a referee with sole authority to make the determination in accordance with 201 KAR 27:016, Section 18; and

(c) Who has a flat palm of one (1) hand down, or any other body part touching the fighting area floor, other than the sole of the feet. For example, a single knee or arm makes the fighter grounded without having to have any other body part in touch with the fighting area floor.

(9) "Healthcare professional" means any person licensed in Kentucky as a physician, chiropractor, podiatrist, nurse practitioner, physician assistant, registered nurse, physical therapist, paramedic, emergency medical technician, or athletic trainer.

(10) "Inspector" means any person assigned by the executive director of the commission or the executive director's designee to supervise shows coming under the commission's jurisdiction.

(11) "Judge" means an official licensed by the commission to score bouts and cast a vote in determining the winner of any bout.

(12) "Kickboxing" is defined by KRS 229.011(5).

(13) "Manager":

(a) Means a person who:

Undertakes to represent the interest of another person, in procuring, arranging, or conducting a professional bout or exhibition in which the person is to participate as a contestant;
Directs or controls the professional unarmed combat activities of a contestant;
Receives or is entitled to receive ten (10) percent or more of the gross purse or gross income of any professional contestant for services relating to participation of the contestant in a professional bout or exhibition; or
Receives compensation for service as an agent or representative of a bout; and

(b) Does not mean an attorney licensed to practice in this state if his or her participation in these activities is restricted solely to legal representation of the interests of a contestant as his or her client.

(14) "Match" means a single event or exhibition in wrestling pitting two (2) or more opponents against one another.

(15) "Medical advisory panel" means the Kentucky Boxing and Wrestling Medical Advisory Panel created by KRS 229.260.

(16) "Mixed martial arts" is defined by KRS 229.011(6).

(17) "Promoter" means any individual, corporation, association, partnership, or club that is licensed to promote or conduct professional boxing, wrestling, mixed martial arts, or kickboxing shows within the commonwealth and who is responsible for the arranging, organizing, matchmaking, and booking of a show.

(18) "Ring official" means any person who performs an official function during a bout, match, or exhibition, including an announcer, judge, healthcare professional, referee, or timekeeper.

(19) "Second" means any person aiding, assisting, or advising a contestant during a show.

(20) "Serious physical injury" means physical injury that creates a substantial risk of death or causes serious and prolonged disfigurement, prolonged impairment of health, or prolonged loss or impairment of the function of any bodily organ.

(21) "Show" is defined by KRS 229.011(9).

(22) "Technical knockout" means the ending of a bout by the referee or physician on the grounds of one (1) contestant's inability to continue, the opponent being declared the winner.

(23) "Trainer" means any person who participates in the guidance and instruction of any contestant so as to make that individual proficient or qualified to engage in unarmed combat, if the training occurs within this commonwealth.

(24) "Unarmed combat" is defined by KRS 229.011(10).

(25) "Wrestling event staff" means anyone other than a wrestler or referee permitted to be inside the six (6) foot barrier around the ring during a wrestling event. This is to certify that the Kentucky Boxing and Wrestling Commission has reviewed and recommended this administrative regulation, as required by KRS 229.025 and KRS 229.171.

History

RELATES TO: KRS 229.011, 229.031, 229.111, 229.131, 229.155, 229.171(1)
STATUTORY AUTHORITY: KRS 229.171(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the commission to exercise sole control, authority, and jurisdiction over all unarmed combat shows in the commonwealth. KRS 229.171(2) authorizes the commission to promulgate administrative regulations it considers necessary or expedient for the performance of its functions provided in KRS Chapter 229. This administrative regulation establishes the definitions used in 201 KAR Chapter 27.
History: 5 Ky.R. 1102; eff. 11-7-1979; Am. 20 Ky.R. 1038; eff. 1-10-1994; 26 Ky.R. 2000; 27 Ky.R. 476; eff. 8-14-2000; 32 Ky.R. 1746; 2247; eff. 7-7-2006; 43 Ky.R. 273, 706; eff. 1-6-2017; 45 Ky.R. 2414, 2863; eff. 5-3-2019; 50 Ky.R. 424; eff. 1-2-2024.

201 KAR 27:006 Powers and duties of inspector {#sec-201-kar-27-006 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:006}

Section 1.

(1) The executive director or the executive director's designee shall assign an inspector to monitor each boxing, mixed martial arts, and kickboxing show.

(2) The executive director or the executive director's designee may assign an inspector to monitor a wrestling show based on:

(a) The availability of an inspector;

(b) The need to conduct periodic inspections; and

Section 2. Inspector's Duties.

(1) Except as otherwise established in 201 KAR Chapter 27, the inspector shall exercise immediate and full supervision, control, and regulation of any show on behalf of the commission and shall be responsible directly to the commission.

(2) The inspector's powers shall include authority:

(a) Over each contestant, licensed or unlicensed, on the premises before, during, and after a show relating to the show;

(b) To conduct hearings and issue decisions or rulings on questions, disputes, protests, complaints, or objections relating to the show;

(d) To issue violations and penalties as established in KRS Chapter 229 and 201 KAR Chapter 27;

(e) To eject or exclude from the premises or any part thereof any person whom the inspector reasonably believes is intoxicated or under the influence of a legal or illegal drug and who may create a hazard to others or interfere with the show;

(f) To investigate possible violations of KRS Chapter 229 or 201 KAR Chapter 27;

(g) To examine the books and records of any person who conducts a show or exhibition;

(h) To issue a license required by 201 KAR 27:008; and

(i) To approve the form and sufficiency of any bond filed in accordance with KRS 229.035.

Section 3. Appeal. Any decision made pursuant to this administrative regulation may be appealed to the full commission in the manner prescribed in KRS 229.190.

History

RELATES TO: KRS 229.011, 229.025, 229.031, 229.035, 229.061, 229.155, 229.171, 229.190, 229.200
STATUTORY AUTHORITY: KRS 229.171
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the commission to exercise sole jurisdiction over all unarmed combat shows and licensees in the commonwealth. This administrative regulation establishes the duties of an inspector.
History: 50 Ky.R. 2481; eff. 12-31-2024.

201 KAR 27:008 License requirements and fees {#sec-201-kar-27-008 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:008}

Section 1. General Provisions.

(1) A person shall not participate in an unarmed combat show or exhibition unless the person is licensed by the commission.

(2) Each license shall be separate. A person shall not use a license in one (1) capacity or sport to serve in a different capacity or sport, except:

(a) A manager may act as a second; and

(b) A contestant may act as a second.

(3)

(a) A promoter license shall be valid for one (1) year from the date of issuance.

(b) All other licenses shall be valid from January 1 through December 31.

(4) Information provided on or with a license application shall be complete and correct. Any false statement of a material matter shall be grounds for:

(a) Denial of a license; or

(b) If the license has been issued, suspension, probation, or revocation of the license.

(5) The commission may require an applicant to appear before the commission to answer questions or provide documents in conjunction with an application for a license if:

(a) The person has not been licensed by the commission within the previous five (5) years;

(b) The person has a history of violations in any jurisdiction;

(d) The applicant's written submissions have not met the applicant's burden of proof to prove his or her qualifications for a license.

(6) A licensee shall be governed by KRS Chapter 229 and 201 KAR Chapter 27 and shall be subject to any event-related orders given by the commission or an inspector.

Section 2. Licenses, Applications, and Fees.

(1) The applicant shall complete the appropriate application as established in the table in subsection (2) of this section. The application shall be signed by the applicant under penalty of perjury.

(2) The following applications and non-refundable annual fees shall be required before any person may be licensed:

(a) Boxing and kickboxing licenses:

(b) Mixed martial arts licenses:

(d) Promoter license:

(e) Medical Provider licenses:

(f) For all application fees, applicants that do not submit license applications via the eServices option on the commission's Web site shall pay an additional processing fee of ten (10) dollars.

Section 3. Health Physical and Application Timing Requirements.

(1) The following applicants for licensure shall submit the form Physical Report to demonstrate the results of a physical that was completed by a physician not more than ninety (90) days before the licensing application is submitted:

(a) Boxer;

(b) Kickboxer;

(d) Amateur mixed martial artist;

(e) Boxing and kickboxing referee; and

(f) Mixed martial arts referee.

(2) An applicant for licensure as a wrestler or wrestling referee shall submit the form Physical Report to demonstrate the results of a physical that was completed by a physician not more than (90) days before the licensing application is submitted if the applicant:

(a) Has not held a wrestler license in the past two (2) years;

(b) Is forty-five (45) years of age or older; or

(3) An applicant who is subject to subsection (1) or(2) of this section shall submit his or her physical and bloodwork to the commission no less than two (2) business days prior to the applicant's first event.

Section 4. Determination of Ability to Obtain a License as a Contestant.

(1) An applicant for a license as a boxer, kickboxer, or professional mixed martial artist shall demonstrate the ability to:

(a) Be competitive in the sport; and

(b) Compete without the risk of serious physical injury.

(2) An applicant for a license as a wrestler or an amateur mixed martial artist shall demonstrate that the applicant has the ability to compete without the risk of serious physical injury.

(3)

(a) Individual consideration from a member of the medical advisory panel shall be required if an applicant for licensure as a boxer, kickboxer, professional mixed martial artist, or amateur mixed martial artist:

Is thirty-eight (38) or more years old;
Has accrued six (6) consecutive losses;
Has lost more than twenty-five (25) fights in his or her career;
Has fought in 350 or more career rounds;
Has lost more than five (5) bouts by knockout in his or her career; or
Has been inactive for more than thirty (30) months.

(b) A member of the medical advisory panel may order additional medical testing if the medical evidence before it is inconclusive or incomplete.

(c) The medical advisory panel or member of the panel shall report its recommendation to the commission within forty-five (45) days of being referred a physical.

Section 5. Medical Provider License.

(1) An applicant for a physician license shall be a physician licensed pursuant to KRS Chapter 311.

(2) A person licensed or seeking licensure as a physician or healthcare professional shall maintain an active license in his or her field of practice and certification to administer cardiopulmonary resuscitation.

Section 6. Promoter License. An applicant for licensure as a promoter shall obtain a $10,000 Surety bond. To obtain a surety the applicant shall complete and have notarized the Promoter Bond Form.

Section 7. Change from Amateur Status to Professional Status.

(1) The commission shall consider the applicant's previous fighting experience in deciding whether to permit a person licensed as an amateur to become a professional. This consideration shall include the:

(a) Number of sanctioned bouts the applicant has competed in;

(b) Number of sanctioned rounds the applicant has competed in;

(d) Applicant's performance in previous bouts, including the applicant's win-loss record; and

(e) Level of competition the applicant has competed against.

(2) A person shall not be licensed as a professional unless the person has fought in a minimum of three (3) bouts.

(3) A licensee who seeks to change his or her status from amateur to professional shall submit his or her license application to the commission no less than fifteen (15) calendar days prior to the applicant's first professional event.

Section 8. Boxer's Federal Identification Card.

(1) To obtain a boxer's federal identification card, an applicant shall complete and submit to the commission a Boxer's Federal Identification Card Application.

(2) The fee for a boxer's federal identification card shall be ten (10) dollars, which shall be submitted with the Boxer's Federal Identification Card Application.

(3) The boxer's federal identification card shall be valid for four (4) years from the date issued.

Section 9. Change of address. A licensee shall provide his or her new address to the commission within thirty (30) days of a change in address.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "MMA/BoxingContestant Application", June 2023;

(b) "Wrestler Application", June 2023;

(d) "Promoter Application", June 2023;

(e) "Medical Provider Application", August 2023;

(f) "Physical Report", June 2023;

(g) "Promoter Bond Form", June 2023;

(h) "Boxer's Federal Identification Card Application", June 2023; and

(i) "Referee Application", June 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Boxing and Wrestling Commission office at 500 Mero St, 218NC, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m., and is available online at http://kbwa.ky.gov/Pages/Appsforms.aspx.

History

RELATES TO: KRS 229.025, 229.035, 229.065, 229.171, Chapter 311, 15 U.S.C. 6304, 6305
STATUTORY AUTHORITY: KRS 229.025, 229.035, 229.065, 229.171, 15 U.S.C. 6304, 6305
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the commission to exercise sole control, authority, and jurisdiction over all unarmed combat shows to be conducted, held, or given within the commonwealth. KRS 229.171(2) authorizes the commission to promulgate administrative regulations it considers necessary or expedient for the performance of its functions provided in KRS Chapter 229. KRS 229.025(3) requires the commission to promulgate administrative regulations to establish license types, the eligibility requirements for each license type, the expiration date of each license type, the annual license fee, and method for submitting all applications for licensure. KRS 229.025(2) prohibits participation in an unarmed combat show in any capacity without holding a license issued by the commission. KRS 229.035 requires a promoter license and a bond approved as to form and sufficiency of sureties by the commission. KRS 229.065 requires a license by the commission for wrestling training. 15 U.S.C. 6304 requires protection of the health and safety of boxers, and includes requirements for a physical examination, a physician to be present at ringside, an ambulance or resuscitation equipment, and health insurance coverage. 15 U.S.C. 6305 requires the commission to issue an identification card to each professional boxer who registers with the commission. This administrative regulation establishes license requirements and fees for persons who conduct activities regulated by the commission.
History: 19 Ky.R. 1935; Am. 2238; eff. 3-12-1993; 32 Ky.R. 1749; 2249; eff. 7-7-2006; 43 Ky.R. 276, 710, 953; eff. 1-6-2017; 45 Ky.R. 2416, 2864; eff. 5-3-2019; TAm eff. 11-22-2019; 50 Ky.R. 115, 804; eff. 1-2-2024.

201 KAR 27:011 General requirements for boxing and kickboxing shows {#sec-201-kar-27-011 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:011}

Section 1. Show Date.

(1) A promoter shall request a show date by completing and submitting to the commission the Boxing and Kickboxing Show Notice Form.

(2) The Boxing and Kickboxing Show Notice Form shall be submitted to the commission for approval no less than thirty (30) calendar days before the requested show date.

(3) A promoter shall not advertise a show until the date has been approved by the commission. Approval is effective upon the commission:

(a) Placing the event on the Calendar of Events available on the commission's Web site at https://kbwc.ky.gov/ppc_boxing/Ecal.aspx; or

(b) Providing written notice that the event is approved.

Section 2. Program and Changes.

(1) If a contestant is unable to participate in a show for which the contestant has a contract, the contestant shall immediately notify the promoter and the commission. A contestant with repeated and unexcused absences or cancelations shall be issued a violation.

(2) The proposed card for a show shall be filed with the commission at least five (5) business days prior to the show date. Notice of a change in a program or substitution in a show shall be immediately filed with the commission.

(3) If the commission determines that a proposed bout may not be reasonably competitive, the bout may be denied. Bout approval does not exempt contestants from individual physical approval as required by 201 KAR 27:008, Section 3. The commission's determination shall be based upon the contestants' previous fighting experience, including:

(a) The number of bouts the contestants have competed in;

(b) The number of rounds the contestants have competed in;

(d) The contestants' performance in previous bouts, including the contestants' win-loss record;

(e) The level of competition the contestants have faced; and

(f) The contestants' medical histories.

(4) The final approved card for a show shall comprise a minimum of five (5) complete bouts, no later than two (2) business days prior to the show date.

Section 3. Compensation.

(1) If a show or exhibition is cancelled with less than twenty-four (24) hours' notice to the commission, ring officials shall be paid one-half (1/2) the compensation agreed upon prior to the bout.

(2) Before the commencement of a show or exhibition, the promoter shall tender to the inspector payment to each ring official. The schedule of compensation for a ring official shall be at least as established in this section. If a ring official serves both as a referee and as a judge under Section 13(2)(a) of this administrative regulation, the official shall receive pay for both referee and judge services as established in this section. If a referee also serves as a judge other than as an in-ring judge, the referee shall only receive compensation as a referee as established in this section.

(a) Judge: at least the amount established by subparagraphs 1. and 2. of this paragraph and based on the number of bouts on the show card:

One (1) to eleven (11), $125; and
Twelve (12) or more bouts, $175.

(b) Timekeeper: at least the amount established by subparagraphs 1. and 2. of this paragraph and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $100; and
Twelve (12) or more bouts, $125.

(c) Physician: at least the amount established by subparagraphs 1. and 2. of this paragraph and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $400; and
Twelve (12) or more bouts, $500.

(d) Each referee: At least the amount established by subparagraphs 1. and 2. of this paragraph and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $150; and
Twelve (12) or more bouts, $200.

(e) Each assistant: at least the amount established by subparagraphs 1. and 2. of this paragraph and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, seventy-five (75) dollars; and
Twelve (12) or more bouts, $100.

(3) Each contestant's compensation agreement shall be in writing and submitted to the commission for approval not less than two (2) calendar days prior to the date of the proposed show.

Section 4. Pre-Fight.

(1) A contestant shall weigh in stripped at a time set by the commission, which shall not be more than thirty-six (36) hours before the first scheduled bout of the show.

(a) A contestant shall produce one (1) form of picture identification at the weigh-in.

(b) The inspector and the promoter or a representative of the promoter conducting the show shall be in attendance to record the official weights.

(2) A contestant shall check in with the commission at least one (1) hour prior to the event start time. A contestant shall produce one (1) form of picture identification at check-in.

(3) A contestant shall attend a pre-fight meeting as directed by the commission.

(4)

(a) A contestant shall remain in the locker room area until it is time to compete unless approved by the inspector.

(b) The promoter shall supply a separate locker room for males and females.

(5) A contestant shall submit an original or certified copy of his or her HIV Antibody, Hepatitis B Antigen, and Hepatitis C Antibody test results to the commission at least forty-eight (48) hours prior to the event.

(a) The results of these tests shall be no more than 365 days old.

(b) A person with a positive test result shall not compete.

(6) A contestant shall undergo a pre-fight physical conducted by a physician within eight (8) hours of the show. Prior to undergoing the physical, a contestant shall submit a completed Boxing and Kickboxing Pre-Fight Medical Questionnaire under penalty of perjury.

(7) A contestant shall report to and be under the general supervision of the inspector in attendance at the show and shall comply with instructions given by the inspector.

Section 5. The Ring.

(1) The area between the ring and the first row of spectators on all four (4) sides and the locker room area shall be under the exclusive control of the commission. Commission staff and licensees shall be the only people allowed inside the areas under the control of the commission without inspector approval.

(2) An event held outdoors if the heat index is at or exceeds 100 degrees Fahrenheit shall be conducted under a roof or cover that casts shade over the entire ring.

(3)

(a) A ring shall have a canvas mat or similar material, unless the event is held outdoors in which case only canvas shall be used.

(b) A bout may be held in a mixed martial arts cage if the bout is in conjunction with a mixed martial arts event.

(4) There shall be an area of at least six (6) feet between the edge of the ring floor and the first row of spectator seats on all four (4) sides of the ring. A partition, barricade, or some type of divider shall be placed:

(a) Between the first row of the spectator seats and the six (6) foot area surrounding the ring; and

(b) Along the sides of the entry lane for contestants to enter the ring.

(5) Ring specifications shall be as established in this subsection.

(a) A bout shall be held in a four (4) sided roped ring.

The floor of the ring inside the ropes shall not be less than sixteen (16) feet square.
The floor of the ring shall extend beyond the ropes for a distance of not less than one (1) foot.
The floor of the ring shall be elevated not more than six (6) feet above the arena floor.
The ring shall have steps to enter the ring on two (2) sides.

(b) The ring shall be formed of ropes.

There shall be a minimum of three (3) ropes extended in a triple line at the following heights above the ring floor:

a. Twenty-four (24) inches;

b. Thirty-six (36) inches; and

c. Forty-eight (48) inches.

A fourth rope may be used if the inspector finds that it will not pose a health or safety concern.
The ropes shall be at least one (1) inch in diameter.
The ropes shall be wrapped in a clean, soft material and drawn taut.
The ropes shall be held in place with two (2) vertical straps on each of the four (4) sides of the ring.
The ropes shall be supported by ring posts that shall be:

a. Made of metal or other strong material;

b. Not less than three (3) inches in diameter; and

c. At least eighteen (18) inches from the ropes.

Is at least one (1) inch thick and uses slow recovery foam matting;
Extends over the edge of the platform;
Is covered with a single canvas stretched tightly; and
Is, at the commencement of the event, clean, sanitary, dry, and free from:

a. Grit;

b. Dirt;

c. Resin; and

d. Any other foreign object or substance.

(d) A ring rope shall be attached to a ring post by turnbuckles padded with a soft vertical pad at least six (6) inches in width.

Section 6. Equipment.

(1) A bell or horn shall be used by the timekeeper to indicate the time.

(2) In addition to the ring and ring equipment, the promoter shall supply:

(a) A public address system in good working order;

(b) Chairs for judges and timekeepers elevated sufficiently to provide an unobstructed view of the ring and the ring floor;

A stool or chair;
A clean bucket;
Towels; and
Rubber gloves;

(d) A complete set of numbered round-cards, if needed;

(e) Gloves for each boxer or kickboxer; and

(f) A scale used for weigh-in, which shall be approved as accurate in advance by the inspector.

Section 7. Contestant Equipment and Attire.

(1) A contestant shall be clean and neatly attired in proper ring attire, and the trunks of opponents shall be of distinguishing colors.

(2) A contestant shall not use a belt that:

(a) Extends above the waistline of the contestant; or

(b) Contains any metal substance during a bout.

(3) A contestant shall wear shoes during a bout. The shoes shall not be fitted with spikes, cleats, hard soles, or hard heels.

(4) A contestant shall wear a properly fitted:

(a) Groin protector; and

(b) Double-arch mouthpiece.

(5) If a contestant has long hair, the hair shall be secured by a soft, non-abrasive material so that the hair does not interfere with the vision or safety of either contestant.

(6) If cosmetics are used, a contestant shall use a minimum of cosmetics.

(7) Boxing gloves.

(a) Contestants shall wear boxing gloves that shall be of the same weight for each contestant and:

Dry, clean, and sanitary;
Furnished by the promoter;
Of equal weight, not to exceed twelve (12) ounces per glove;
A minimum of eight (8) ounces per glove for a contestant weighing no more than 154 pounds;
A minimum of ten (10) ounces per glove for a contestant weighing over 154 pounds; and
Thumbless or thumb-attached.

(b) Gloves shall be new for main events and for bouts and exhibitions scheduled for ten (10) or more rounds.

(c) Gloves shall be approved or denied in accordance with this administrative regulation by the commission prior to a bout.

(d) Gloves for all main events shall be dry and free from defects and shall be put on in the ring or locker room while supervised by the inspector.

(e) Breaking, roughing, or twisting of gloves shall not be permitted.

(f) The laces on gloves shall be tied on the back of the wrist and taped.

(g) Kickboxing contestants shall wear padded kickboxing boots. The padding shall be sufficient to protect the kickboxer and his or her competitor.

(8) Bandages.

(a) For boxing and kickboxing, only soft cotton or linen bandages shall be used for the protection of the boxer or kickboxer's hands.

(b) Bandages shall not be more than two (2) inches in width and twelve (12) yards in length for each hand.

Medical adhesive tape not more than one (1) inch in width shall be used to hold bandages in place;
Adhesive tape shall not be lapped more than one-eighth (1/8) of one (1) inch;
Adhesive tape not to exceed one (1) layer shall be crossed over the back of the hand for its protection; and
Three (3) strips of adhesive tape, lapping not to exceed one-eighth (1/8) of one (1) inch, may be used for protection of the knuckles.

(d) Hand wraps shall be applied in the dressing room in the presence of an inspector or ring official. The inspector or ring official shall sign the hand wrap and the tape around the strings of the gloves.

Section 8. Weight Classes.

(1) The class weights permitted in boxing and kickboxing bouts shall be as follows:

(2) After the weigh-in, a contestant shall not change weight in excess of eight (8) percent prior to the bout.

(3) After the weigh-in, a contestant shall not re-hydrate by the use of intravenous fluids unless approved by the inspector for medical purposes. A contestant may be subject to a random urine specific gravity test to determine compliance with this subsection.

Section 9. Fight Length.

(1) Bouts and rounds shall:

(a) Be three (3) minutes in duration; and

(b) Have a one (1) minute rest period between rounds.

(2) A bout shall consist of no less than four (4) and no more than twelve (12) rounds. A championship bout shall be twelve (12) rounds in length.

(3) A contestant who has not fought within the last twelve (12) months shall not be scheduled to box or kickbox more than ten (10) rounds without commission approval.

Section 10. Judging and Scoring.

(1) Scoring shall be as established in this subsection.

(a) Each round shall be accounted for on the scorecard, using the ten (10) point system. Scoring shall be expressed in ratio of merit and demerit.

(b) Score cards shall be:

Signed;
Handed to the referee in the ring; and
Filed by the referee with the inspector.

(2) Decisions shall be rendered as established in this subsection.

(a) If a bout lasts the scheduled limit, the winner of the bout shall be decided by:

A majority vote of the judges, if three (3) judges are employed to judge the bout; or
A majority vote of the judges and the referee, if two (2) judges are employed to judge the bout.

(b) Decisions shall be based primarily on boxing or kickboxing effectiveness, with points awarded for display of the following attributes, and points deducted for an opposite showing:

Clean, forceful hitting;
Aggressiveness;
Defensive work; and
Ring generalship.

If a contestant is knocked to the floor by the contestant's opponent, or falls from weakness or other causes, the contestant's opponent shall:

a. Immediately retire to the farthest neutral corner of the ring; and

b. Remain there until the referee completes the count or signals a resumption of action.

The timekeeper shall commence counting off the seconds and indicating the count with a motion of the arm while the contestant is down.
The referee shall pick up the count from the timekeeper.
If a contestant fails to rise to his or her feet before the count of ten (10), the referee shall declare the contestant the loser by waving both arms to indicate a knockout.
If a contestant who is down rises to his or her feet during the count, the referee may step between the contestants long enough to assure that the contestant just arisen is in condition to continue the bout.
If a contestant who is down arises before the count of ten (10) is reached, and again goes down from weakness or the effects of a previous blow without being struck again, the referee shall resume the count where he or she left off.
A standing eight (8) count shall be used at the discretion of the referee.
If a contestant is knocked down three (3) times during a round, the bout shall be stopped. The contestant scoring the knockdowns shall be the winner by a technical knockout.
If a round ends before a contestant who was knocked down rises, the count shall continue, and if the contestant fails to arise before the count of ten (10), the referee shall declare the contestant knocked out.

(3) A contestant shall be considered down if:

(a) Any part of the contestant's body other than his or her feet is on the ring floor;

(b) The contestant is hanging helplessly over the ropes and in the judgment of the referee, is unable to stand; or

(4) Failure to resume a bout.

(a) If a contestant fails to resume the bout for any reason after a rest period, or leaves the ring during the rest period and fails to be in the ring when the bell rings to begin the next round, the referee shall count the contestant out the same as if the contestant were down in that round.

(b) If a contestant who has been knocked out of or has fallen out of the ring during a bout fails to return immediately to the ring and be on his or her feet before the expiration of ten (10) seconds, the referee shall count the contestant out as if the contestant were down.

Section 11. Fouls.

(1) The following shall be considered fouls:

(a) Hitting below the belt;

(b) Hitting an opponent who is down or who is getting up after having been down;

(d) Holding an opponent with one (1) hand and hitting with the other;

(e) Butting with the head or shoulder or using the knee;

(f) Hitting with the inside, or butt, of the hand, the wrist, or the elbow;

(g) Hitting, or flicking, with the glove open or thumbing;

(h) Wrestling, or roughing, against the ropes;

(i) Purposely going down without having been hit;

(j) Deliberately striking at the part of an opponent's body over the kidneys;

(k) Using a pivot blow or rabbit punch;

(l) Biting of the opponent;

(m) Using abusive or profane language;

(n) Failing to obey the referee;

(o) Engaging in any unsportsmanlike trick or action that causes injury to another person;

(p) Hitting after the bell has sounded at the end of the round; or

(q) Backhand blows except in kickboxing.

(2)

(a) A contestant who commits a foul may be disqualified and the decision awarded to the opponent by the referee.

(b) The referee shall immediately disqualify a contestant who commits a deliberate and willful foul that prevents the opponent from continuing in the bout.

(3) A contestant committing a foul may be issued a violation by an inspector.

(4)

(a) If a bout is temporarily stopped by the referee due to fouling, the referee, with the aid of the physician, if necessary, shall decide if the contestant who has been fouled is in physical condition to continue the bout.

(b) If in the referee's opinion the contestant's chances have not been seriously jeopardized as a result of the foul, the referee shall order the bout resumed after a reasonable time set by the referee, but not exceeding five (5) minutes.

(5)

(a) If a contestant is unable to continue as the result of an accidental foul and the bout is in one (1) of the first three (3) rounds, the bout shall be declared a technical draw.

(b) If an accidental foul occurs after the third round, or if an injury sustained from an accidental foul in the first three (3) rounds causes the bout to be subsequently stopped, the bout shall be scored on the basis of the judges' scorecards.

(6) If a bout is ended by reason of fouling or failure to give an honest demonstration of skill, as determined by an inspector or referee, the compensation of the offending contestant shall be withheld by the promoter.

Section 12. Prohibitions.

(1) The following shall be prohibited:

(a) Battle royal type events; and

(b) Use of excessive grease or other substance that may handicap an opponent.

(2) A contestant shall not engage at a show in boxing or sparring with a member of the opposite sex.

Section 13. Non-Contestant Participants.

(1) A promoter shall provide a minimum of two (2) security guards on the premises for each show.

(2) All ring officials shall be selected, licensed, and assigned to each show by the commission. For each show, a minimum of the following shall be required:

(a) A minimum of three (3) judges, or a minimum of two (2) judges if a referee also serves as a judge, and a maximum of five (5) judges;

(b) One (1) timekeeper;

(c) One (1) physician, except two (2) physicians shall be assigned to a bout designated a championship bout by a national sanctioning body recognized by the commission; and

(d) One (1) referee, unless the card has more than thirty (30) rounds, in which case a minimum of two (2) referees shall be required.

Section 14. Judges.

(1) A judge shall arrive at least one (1) hour prior to the start of a show.

(2) At the beginning of a bout, the judges shall locate themselves on opposite sides of the ring and shall carefully observe the performance of the contestants.

(3) At the conclusion of the bout, the judges shall render their decision based on the requirements of Section 10 of this administrative regulation.

(4) Upon request of the referee, the judges shall assist in determining:

(a) Whether or not a foul has been committed;

(b) Whether or not each contestant is competing in earnest; and

Section 15. Timekeeper.

(1) The timekeeper shall be seated outside the ring near the bell and shall take the cue from the referee to commence or take time out.

(2) The timekeeper shall be equipped with a whistle and a stop watch. Prior to the first bout, the inspector shall ensure that the whistle and stopwatch function properly.

(3) Ten (10) seconds before the start of each round, the timekeeper shall give notice by sounding the whistle.

(4) The timekeeper shall indicate the starting and ending of each round by striking the bell with a metal hammer.

(5) If a bout terminates before the scheduled limit, the timekeeper shall inform the announcer of the exact duration of the bout.

(6) Ten (10) seconds prior to the end of each round, the timekeeper shall give warning by striking a gavel three (3) times.

Section 16. Physicians and Healthcare Requirements.

(1) There shall be at least one (1) physician licensed by the commission at ringside at all times during a bout. A bout shall not begin or continue if a physician is not at ringside.

(2) The physician shall have general supervision over the physical condition of each contestant at all times while on the premises of a show or exhibition.

(3) The physician's pre-bout duties:

(a) A physician shall make a thorough physical examination of each contestant within eight (8) hours prior to a bout.

The physician's examination shall include a review of the Boxing and Kickboxing Pre-Fight Medical Questionnaire of each contestant.
The physician shall deliver to the inspector the Boxing and Kickboxing Pre-Fight Examination form that documents the results of the examination prior to the contestant entering the ring.

(b) The physician shall ensure that all equipment required by subsection (5) of this section is present before the start of the first bout or exhibition.

(c) The physician shall prohibit a contestant from competing if the physician believes the contestant is physically unfit for competition or impaired by alcohol or a controlled substance.

(4) The physician's duties during the bout or exhibition:

(a) The physician shall remain at ringside during the progress of any bout or exhibition unless attending to a person.

(b) The physician shall observe the physical condition of each contestant during a bout.

(d) The physician shall order the referee to pause or end a bout or exhibition if necessary to prevent serious physical injury to a contestant.

(5) The physician shall have at ringside medical supplies necessary to provide medical assistance for the type of injuries reasonably anticipated to occur in a boxing or kickboxing show. The physician shall not permit a referee to begin a bout if the medical supplies are not present. At a minimum, these medical supplies shall include:

(a) A clean stretcher and blanket, placed under or adjacent to the ring throughout each bout;

(b) Spine board;

(d) Oxygen apparatus or equipment; and

(e) First aid kit.

(6) The promoter shall ensure that a certified ambulance with an emergency medical technician is on the premises of a show at all times. A show shall not begin or continue if the ambulance and emergency medical technician are not on the premises.

(7) The physician shall make a thorough physical examination of each contestant after each bout. The physician shall deliver to the inspector the form Boxing and Kickboxing Post-Fight Examination that documents the results of the examination.

Section 17. Announcers.

(1) The announcer shall have general supervision over all announcements made to spectators.

(a) The announcer shall announce the name of contestants, their weight, decisions at the end of each bout, and any other matters as are necessary.

(b) A person other than the official announcer shall not make an announcement, unless deemed necessary by an inspector:

(2) If a bout is stopped before its scheduled termination, the announcer shall immediately confer with the referee and judges and then shall immediately announce the decision.

(3) The announcer shall not enter the ring during the actual progress of a bout.

Section 18. Referees.

(1) The referee shall be the chief official of the show, be present in the ring at all times, and have general supervision over each contestant, manager, and second during the entire event.

(2)

(a) The referee shall have the authority to disqualify a contestant who commits a foul and award the decision to the opponent.

(b) The referee shall immediately disqualify a contestant who commits an intentional or deliberate foul that causes serious physical injury to an opponent.

(3) The referee's duties and responsibilities shall be as established in this subsection.

(a) The referee shall, before starting a bout, ascertain from each contestant the name of the contestant's chief second. The referee shall hold the chief second responsible for the conduct of the chief second's assistants during the progress of the bout.

(b) The referee shall call the contestants together in the ring immediately preceding a bout for final instructions. During the instructional meeting, each contestant shall be accompanied in the ring by the contestant's chief second only.

(c) The referee shall inspect the person, attire, and equipment of each contestant and make certain that no foreign substances that are prohibited by KRS Chapter 229 or 201 KAR Chapter 27 have been applied on a contestant's body or equipment or used by a contestant.

(d) The referee shall stop a bout at any time if the referee has grounds to believe either contestant is:

Unable to protect himself or herself from possible injury;
Not competing in earnest; or
Colluding with another person to affect the results of the bout.

(e) The referee may take one (1) or more points away from a contestant who commits an accidental foul, and the referee may permit a rest period not exceeding five (5) minutes for the contestant who was fouled.

(f) The referee shall not touch a contestant during the bout except upon failure of a contestant to obey the referee's orders or to protect a contestant.

(g) The referee shall decide all questions arising during a bout that are not otherwise specifically covered by KRS Chapter 229 or 201 KAR Chapter 27.

Section 19. Trainers and Seconds.

(1) A trainer or second shall be equipped with a first aid kit and the necessary supplies for proper medical attendance upon the contestant.

(2) There shall be no more than three (3) persons total serving as a trainer or second in any bout and only two (2) shall be allowed in the ring at the same time.

(3) A trainer and a second shall leave the ring at the timekeeper's ten (10) seconds whistle before the beginning of each round and shall remove all equipment from the ring. Equipment shall not be placed on the ring floor until after the bell has sounded at the end of the round or period.

(4) A trainer and a second shall wear surgical gloves at all times while carrying out their duties.

Section 20. Medical Prohibitions.

(1) The executive director, the executive director's designee, or a commission representative may issue an order for a medical suspension of a contestant's license as established in paragraphs (a) through (f) of this subsection.

(a) A contestant who has been repeatedly knocked out and severely beaten shall be retired and not permitted to compete in unarmed combat again if, after subjecting the boxer or kickboxer to a thorough examination by a physician licensed by the commission, the medical advisory panel determines the action is necessary to protect the health and welfare of the contestant.

(b) If a contestant receives an injury to the head or body, the contestant's license may be suspended indefinitely based on increased risk for probably injury. The ringside physician may require that a contestant suspended pursuant to this paragraph undergo a physical or neurological examination and submit a completed Medical Release Form or the Neurological Release Form as a condition of reinstatement.

(c) A contestant who has suffered five (5) consecutive defeats by knockout or medical stoppage shall not be allowed to compete in unarmed combat until the contestant has been evaluated and subsequently cleared for further competition by the medical advisory panel.

(d) A contestant who has been knocked out shall be prohibited from all competition for a minimum of sixty (60) days.

(e) Any contestant who has suffered a technical knockout may be prohibited from competition for up to thirty (30) days if the contestant's health or safety would be jeopardized without the prohibition.

(f) A contestant subject to an order levying a medical suspension may appeal the medical suspension. An appellant shall submit a written notice of appeal to the Commission within twenty (20) days of the Commission's order. The provisions of KRS Chapter 13B shall govern the proceedings.

(2)

(a) A female boxer or kickboxer shall submit proof she is not pregnant prior to her bout. The proof may be either:

An original or certified copy of the result of a medical test taken no more than one (1) week before the day of the bout that shows she is not pregnant; or
From an over-the-counter home pregnancy test taken while on the premises of the show that tests for human chorionic gonadotropin.

(b) A female boxer or kickboxer shall be prohibited from competing if:

She is pregnant; or
She fails to comply with this subsection.

Section 21. Insurance.

(1) A promoter shall provide insurance for a contestant for any injuries sustained in the boxing or kickboxing show.

(2) The minimum amount of coverage per contestant shall be $5,000 health and $5,000 accidental death benefits.

(3) A certificate of insurance coverage shall be provided to the commission no less than two (2) business days before the event.

(4) The deductible expense under the policy for a contestant shall not exceed $1,000.

Section 22. Other Provisions.

(1) A promoter shall maintain an account with the recognized national database as identified by the commission and submit contestant's names to that database upon approval of the show date. The promoter shall be responsible for the costs associated with the use of this service.

(2) All shows shall be video recorded and retained by the promoter for at least for one (1) year. Upon request of the commission, the promoter shall provide the video recording of a show to the commission.

(3) Smoking shall be prohibited inside the gymnasium, room, or hall in which the ring is located.

(4) Alcohol shall be prohibited inside the six-foot area alongside the ring.

Section 23. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Boxing & Kickboxing Show Notice Form", May 2023;

(b) "Boxing & Kickboxing Pre-Fight Medical Questionnaire", May 2023;

(d) "Boxing & Kickboxing Post-Fight Examination", May 2023;

(e) "Boxing & Kickboxing Medical Release Form", May 2023; and

(f) "Boxing & Kickboxing Neurological Evaluation Form", May 2023.

History

RELATES TO: KRS 229.025, 229.031, 229.055, 229.111, 229.131, 229.155, 229.171, 15 U.S.C. 6304, 6305(a), (b)
STATUTORY AUTHORITY: KRS 229.025, 229.171, 15 U.S.C. 6304, 6305
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the Kentucky Boxing and Wrestling Commission to exercise sole direction, management, control, and jurisdiction over all unarmed combat shows in the Commonwealth. KRS 229.171(2) authorizes the commission to promulgate administrative regulations it considers necessary or expedient for the performance of its functions provided in KRS Chapter 229. KRS 229.025 requires every licensee to be subject to administrative regulations promulgated by the commission. 15 U.S.C. 6304 requires protection of the health and safety of boxers, and includes requirements for a physical examination, a physician to be present at ringside, an ambulance or resuscitation equipment, and health insurance coverage. 15 U.S.C. 6305 requires the commission to issue an identification card to each professional boxer who registers with the commission. This administrative regulation establishes the requirements for boxing and kickboxing shows, and for participants in boxing and kickboxing shows.
History: 32 Ky.R. 1835; 2249; eff. 7-7-2006; 38 Ky.R. 1191; 1703; eff. 5-4-2012; 43 Ky.R. 280; 713; 955; eff. 1-6-2017; 45 Ky.R. 2419, 2866; eff. 5-3-2019; TAm eff. 11-22-2019; 50 Ky.R. 119, 806; eff. 1-2-2024.

201 KAR 27:012 General requirements for wrestling shows {#sec-201-kar-27-012 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:012}

Section 1. Show Date Request and Advertising.

(1) A promoter shall request a show date by completing and submitting to the commission the Wrestling Show Notice Form.

(2) The Wrestling Show Notice Form shall be submitted to the commission for approval no less than ten (10) calendar days before the requested show date.

(3) A promoter shall not advertise the show until the date has been approved by the commission. Approval is effective upon the commission:

(a) Placing the event on the Calendar of Events available on the commission's Web site at https://kbwc.ky.gov/ppc_boxing/Ecal.aspx; or

(b) Providing written notice that the event is approved.

Section 2. Cancellations.

(1) A contestant who has committed to participate in a professional match and is unable to participate shall notify the promoter of the inability to participate as soon as possible.

(2) Absent good cause shown, failure to notify the promoter of an inability to participate in a wrestling match at least six (6) hours before the beginning of the match may constitute grounds for issuance of a penalty.

Section 3. Security Required. The promoter shall provide a minimum of two (2) security guards on the premises for each show.

Section 4. Locker Rooms.

(1) A person shall not be permitted in the locker room unless the person holds a license or has been granted permission by the promoter or inspector.

(2) Male and female contestants shall have separate locker rooms.

Section 5. Drug Testing.

(1)

(a) The commission may request a licensee to submit to a drug test. A drug test shall be at the licensee's expense.

(b) The presence of controlled substances within a licensee for which the licensee does not have a prescription, or the refusal by the licensee to submit to the test, shall result in a penalty pursuant to 201 KAR 27:105.

(2) From arrival at the venue to the conclusion of the show or exhibition, a licensee shall not consume, possess, or participate under the influence of alcohol or another substance that may affect the licensee's ability to participate.

Section 6. Pregnancy. A female shall be prohibited from competing in a wrestling show if she is pregnant.

Section 7. Requirements for the Area Surrounding the Wrestling Ring. A border shall be placed at least six (6) feet from all sides of the ring. Spectator seating shall not be allowed between the border and ringside without prior inspector approval.

Section 8. Foreign Objects and Props.

(1) A person shall not use a foreign object on another person during a match without the prior consent of both contestants.

(2) A person shall not use or direct another person to use pyrotechnics, glass, or fire on himself, herself, or another person during a match.

Section 9. Blood and Simulated Blood.

(1) The promoter shall notify the commission on the Show Notice Form required by Section 1 of this administrative regulation if a contestant plans to bleed during a show.

(2) The promoter shall arrange for a healthcare professional to be present at any show where bleeding by a wrestler is planned.

(a) The healthcare professional shall observe the show at all times during a match where bleeding by a wrestler is planned.

(b) The healthcare professional shall be equipped with a first aid kit.

(3) Prior to any show in which a wrestler plans to bleed or in which simulated blood will be used, the promoter or the promoter's designee shall inform the inspector and the healthcare professional of when in the match and how the bleeding or simulated bleeding will occur.

(4) Any wrestler who plans to bleed during a match shall submit to the commission an original or certified copy of his or her HIV Antibody, Hepatitis B Antigen, and Hepatitis C Antibody test results prior to the beginning of the show.

(a) The results of these tests shall be no more than 180 days old.

(b) A person with a positive test result for HIV, Hepatitis B, or Hepatitis C shall not be licensed and shall not compete.

(5) A wrestling match shall be stopped immediately if a wrestler bleeds who has not submitted to the commission an original or certified copy of his or her HIV Antibody, Hepatitis B Antigen, and Hepatitis C Antibody test results taken from within the last 180 days that shows that the wrestler is negative for HIV, Hepatitis B, and Hepatitis C.

(6) The commission shall be notified immediately if a contestant bleeds during a match in which notice of intended bleeding was not given in accordance with subsection (1) of this section.

(a) The video recording required by Section 10 of this administrative regulation shall be sent to the commission within five (5) business days.

(b) If the commission determines that the bleeding was not accidental, the contestant and promoter shall be issued a violation.

Section 10. Video Recording.

(1) The promoter shall ensure that a video recording of each show is made. A copy of the video recording shall be retained by the promoter for at least one (1) year.

(2) The promoter shall provide the video recording of a show to the commission upon request.

Section 11. Incorporation by Reference.

(1) "Wrestling Show Notice Form", June 2023, is incorporated by reference.

History

RELATES TO: KRS 229.021, 229.031, 229.071, 229.081, 229.091, 229.171, EO 2016-270
STATUTORY AUTHORITY: KRS 229.021, 229.031, 229.071, 229.081, 229.091, 229.171, 229.180
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the authority to exercise sole jurisdiction over all boxing, kickboxing, mixed martial arts, and wrestling shows, exhibitions, and licensees in the Commonwealth. Executive Order 2016-270, effective May 16, 2016, abolished the Kentucky Boxing and Wrestling Authority and established the Kentucky Boxing and Wrestling Commission. This administrative regulation establishes the requirements for wrestling shows and for participants in wrestling shows.
History: 19 Ky.R. 1936; Am. 20 Ky.R. 60; eff. 6-11-1993; 26 Ky.R. 2006; 27 Ky.R. 479; eff. 8-14-2000; 32 Ky.R. 1750; 2254; eff. 7-7-2006; 38 Ky.R. 1197; 1574; 1708; eff. 5-4-2012; 43 Ky.R. 291, 724; eff. 1-6-2017; 50 Ky.R. 126; eff. 1-2-2024.

201 KAR 27:016 General requirements for mixed martial arts matches, shows, or exhibitions {#sec-201-kar-27-016 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:016}

Section 1. Show Date.

(1) A promoter shall request a show date by completing and submitting to the commission the Mixed Martial Arts Show Notice Form, which is incorporated by reference in 201 KAR 27:011, Section 23(1)(a).

(2) The Mixed Martial Arts Show Notice Form shall be submitted for approval no less than thirty (30) calendar days before the requested show date.

(3) A promoter shall not advertise a show until the date has been approved by the commission. Approval is effective upon the commission:

(a) Placing the event on the Calendar of Events available on the commission's Web site at https://kbwc.ky.gov/ppc_boxing/Ecal.aspx; or

(b) Providing written notice that the event is approved.

Section 2. Program and Changes.

(a) The number of bouts the contestants have competed in;

(b) The number of rounds the contestants have competed in;

(d) The contestants' performance in previous bouts, including the contestants' won-loss record;

(e) The level of competition the contestants have faced; and

(f) The contestants' medical histories.

(4) The final approved card for a show shall comprise a minimum of five (5) complete bouts, no later than two (2) business days prior to the show date.

Section 3. Compensation.

(1) If a show or exhibition is cancelled with less than twenty-four (24) hours' notice to the commission, ring officials shall be paid one-half (1/2) the compensation agreed upon prior to the bout.

(a) A judge shall be paid at least the amount established in subparagraphs 1. and 2. of this subsection and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $125; and
Twelve (12) or more bouts, $175.

(b) A timekeeper shall be paid at least the amount established in subparagraphs 1. and 2. of this subsection and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $100; and
Twelve (12) or more bouts, $125.

(c) A physician shall be paid at least the amount established in subparagraphs 1. and 2. of this subsection and based set by the following schedule based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $400; and
Twelve (12) or more bouts, $500.

(d) A referee shall be paid at least the amount established in subparagraphs 1. and 2. of this subsection and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, $175; and
Twelve (12) or more bouts, $225.

(e) A bout assistant shall be paid at least the amount established in subparagraphs 1. and 2. of this subsection and based on the number of bouts on the show card:

One (1) to eleven (11) bouts, seventy-five dollars ($75); and
Twelve (12) or more bouts, $100.

(3) Each contestant's compensation agreement shall be in writing and submitted to the commission for approval not less than two (2) calendar days prior to the date of the proposed show.

Section 4. Pre-Fight.

(1) A contestant shall weigh in stripped at a time set by the commission, which shall not be more than thirty-six (36) hours before the first scheduled bout of the show.

(a) A contestant shall produce to the inspector one (1) form of picture identification at the weigh-in.

(b) The inspector and the promoter or a representative of the promoter conducting the show shall be in attendance to record the official weights.

(2) A contestant shall check in with the commission at least one (1) hour prior to the event start time. A contestant shall produce one (1) form of picture identification at check-in.

(3) A contestant shall attend a pre-fight meeting as directed by the commission.

(4)

(a) A contestant shall remain in the locker room area until it is time to compete unless approved by the inspector.

(b) The promoter shall supply a separate locker room for males and females.

(a) The results of these tests shall be no more than 365 days old.

(b) A person with a positive test result shall not compete.

(6) A contestant shall undergo a pre-fight physical conducted by a physician within eight (8) hours of the show. Prior to undergoing the physical, a contestant shall submit a completed Mixed Martial Arts Pre-Fight Medical Questionnaire, which is incorporated by reference in 201 KAR 27:011, Section 23(1)(b), under penalty of perjury.

(7) A contestant shall not assume or use the name of another and shall not change his or her ring name nor be announced by any name other than that appearing on his or her license, except upon approval of the inspector.

(8) A contestant shall report to and be under the general supervision of the inspector in attendance at the show and shall be subject to instructions given by the inspector.

Section 5. The Cage.

(1) The area between the cage and the first row of spectators on all sides and the locker room shall be under the exclusive control of the commission.

(2) Commission staff and licensees shall be the only people allowed inside the areas under the control of the commission.

(3) There shall be an area of at least six (6) feet between the edge of the cage floor and the first row of spectator seats on all sides of the cage. A partition, barricade, or similar divider shall be placed:

(a) Between the first row of the spectator seats and the six (6) foot area surrounding the cage; and

(b) Along the sides of the entry lane for contestants to enter the cage and the spectator area.

(4) A bout or exhibition of mixed martial arts shall be held in a fenced area meeting the requirements established in this subsection.

(a) The fenced area shall be circular or have equal sides and shall be no smaller than twenty (20) feet wide and no larger than thirty-two (32) feet wide.

(b) The floor of the fenced area shall be padded with closed-cell foam, with at least a one (1) inch layer of foam padding, with a top covering of a single canvas or a synthetic material stretched tightly and laced to the platform of the fenced area, unless the event is held outdoors, in which case only canvas shall be used.

(c) The platform of the fenced area shall not be more than six (6) feet above the floor of the building and shall have steps suitable for the use of the contestants.

(d) Fence posts shall be made of metal, shall not be more than six (6) inches in diameter, and shall extend from the floor of the building to between five (5) and seven (7) feet above the floor of the fenced area, and shall be properly padded.

(e) The fencing used to enclose the fenced area shall be made of a material that shall prevent a contestant from falling out of the fenced area or breaking through the fenced area onto the floor of the building or onto the spectators, and the fencing shall be coated with vinyl or a similar covering to minimize injuries to a contestant.

(f) Any metal portion of the fenced area shall be properly covered and padded and shall not be abrasive to the unarmed combatants.

(g) The fenced area shall have at least one (1) entrance.

(h) There shall not be a protrusion or obstruction on any part of the fence surrounding the area in which the contestants are to be competing.

(i) Any event held outdoors while the heat index is or exceeds 100 degrees Fahrenheit shall be conducted under a roof or cover that casts shade over the entire cage.

(j) A cage shall have a canvas mat or a synthetic material, unless the event is held outdoors, in which case only canvas shall be used.

Section 6. Equipment.

(1) A bell or horn shall be used by the timekeeper to indicate the time.

(2) In addition to the cage and cage equipment, the promoter shall supply:

(a) A public address system in good working order;

(b) Chairs for judges and timekeepers elevated sufficiently to provide an unobstructed view of the cage and the cage floor;

A stool or chair;
A clean bucket;
Towels;
Rubber gloves; and

(d) A complete set of numbered round-cards, if needed.

(3) A scale used for any weigh-in shall be approved as accurate in advance by the inspector.

Section 7. Contestant Equipment and Attire.

(1) A contestant shall be clean and neatly clothed in proper ring attire, and the trunks of opponents shall be of distinguishing colors.

(2) A contestant shall not use a belt that contains a metal substance during a bout. The belt shall not extend above the waistline of the contestant.

(3) A contestant shall not wear shoes or any padding on his or her feet during the bout.

(4) A contestant shall wear a properly fitted:

(a) Groin protector; and

(b) Double-arch mouthpiece.

(5) If a contestant has long hair, the hair shall be secured by a soft, non-abrasive material so that the hair does not interfere with the vision or safety of either contestant.

(6) If cosmetics are used, a contestant shall use a minimum of cosmetics.

Section 8. Weight Classes.

(1) The classes for contestants competing in bouts or exhibitions of mixed martial arts and the weights for each class shall be as established in the following schedule:

(2) After the weigh-in, a contestant shall not change weight in excess of eight (8) percent prior to the bout.

Section 9. Fight Length. Unless the commission approves an exception upon finding that the health and safety of the contestants will not be compromised:

(1) A non-championship bout or exhibition of mixed martial arts shall not exceed three (3) rounds in duration;

(2) A championship bout of mixed martial arts shall not exceed five (5) rounds in duration;

(3) The length of a round in a professional bout or exhibition of mixed martial arts shall be a maximum of five (5) minutes in duration, and a period of rest following a round shall be one (1) minute in duration; and

(4) The length of a round in an amateur bout or exhibition of mixed martial arts shall be a maximum of three (3) minutes in duration, and a rest period following a round shall be ninety (90) seconds in duration.

Section 10. Judging and Scoring.

(1) Each judge of a bout or exhibition of mixed martial arts shall score the bout or exhibition and determine the winner through the use of the system established in this section.

(a) The better contestant of a round shall receive ten (10) points, and the opponent shall receive proportionately less.

(b) If the round is even, each contestant shall receive ten (10) points.

(d) Points for each round shall be awarded immediately after the end of the period of unarmed combat in the round.

(2) After the end of the bout or exhibition, the announcer shall pick up the scores of the judges from the commission's representative.

(3) The majority opinion shall be conclusive and, if there is no majority, the decision shall be a draw.

(4)

(a) Once the commission's representative has checked the scores, he or she shall inform the announcer of the decision.

(b) The announcer shall then inform the audience of the decision.

(5) Unjudged exhibitions shall be permitted with the prior approval of the commission.

(6) A bout of mixed martial arts shall end in:

(a) Submission by:

Physical tap out; or
Verbal tap out;

(b) Technical knockout by the referee or physician stopping the bout;

Unanimous decision;
Split decision;
Majority decision; or
Draw, including:

a. Unanimous draw;

b. Majority draw; or

c. Split draw;

(d) Technical decision;

(e) Technical draw;

(f) Disqualification;

(g) Forfeit; or

(h) No contest.

Section 11. Fouls.

(1) The following acts shall constitute fouls in mixed martial arts:

(a) Butting with the head;

(b) Eye gouging;

(d) Hair pulling;

(e) Fishhooking;

(f) Groin attacks;

(g) Putting a finger into any orifice or into any cut or laceration on an opponent;

(h) Small joint manipulation;

(i) Striking to the spine or the back of the head;

(j) Striking downward using the point of the elbow;

(k) Throat strikes including grabbing the trachea;

(l) Clawing, pinching, or twisting the flesh;

(m) Grabbing the clavicle;

(n) Kicking the head of a grounded opponent;

(o) Kneeing the head of a grounded opponent;

(p) Stomping the head of a grounded opponent;

(q) Kicking to the kidney with the heel;

(r) Spiking an opponent to the canvas on his or her head or neck;

(s) Throwing an opponent out of the fenced area;

(t) Holding the shorts of an opponent;

(u) Spitting at an opponent;

(v) Engaging in unsportsmanlike conduct;

(w) Holding the fence;

(x) Using abusive language in the fenced area;

(y) Attacking an opponent on or during the break;

(z) Attacking an opponent who is under the care of the referee;

(aa) Attacking an opponent after the bell has sounded the end of the period of unarmed combat;

(bb) Intentionally disregarding the instructions of the referee;

(cc) Timidity, such as intentionally or consistently dropping the mouthpiece or faking an injury;

(dd) Interference by a contestant's corner staff; and

(ee) The throwing by a contestant's corner staff of objects into the cage during competition.

(2) If a contestant fouls his or her opponent during a bout or exhibition of mixed martial arts, the referee may penalize the contestant by deducting points from his or her score, regardless of whether or not the foul was intentional. The referee shall determine the number of points to be deducted in each instance and shall base his or her determination on the severity of the foul and its effect upon the opponent.

(3) If the referee determines that it is necessary to deduct a point or points because of a foul, he or she shall warn the offender of the penalty to be assessed.

(4) The referee shall, as soon as is practical after the foul, notify the judges and both contestants of the number of points, if any, to be deducted from the score of the offender.

(5) Any point or points to be deducted for any foul shall be deducted in the round in which the foul occurred and shall not be deducted from the score of any subsequent round.

(6)

(a) If a bout or exhibition of mixed martial arts is stopped because of an accidental foul, the referee shall determine if the contestant who has been fouled is able to continue.

(b) If the contestant's chance of winning has not been seriously jeopardized as a result of the foul, and if the foul does not involve a concussive impact to the head of the contestant who has been fouled, the referee may order the bout or exhibition continued after a recuperative interval of not more than five (5) minutes.

(c) Immediately after separating the contestants, the referee shall inform the commission's representative of his or her determination that the foul was or was not accidental.

(7) If the referee determines that a bout or exhibition of mixed martial arts shall not continue because of an injury suffered as the result of an accidental foul, the bout or exhibition shall be declared a no bout if the foul occurs during:

(a) The first two (2) rounds of a bout or exhibition that is scheduled for three (3) rounds or less; or

(b) The first three (3) rounds of a bout or exhibition that is scheduled for more than three (3) rounds.

(8) If an accidental foul renders a contestant unable to continue the bout or exhibition, the outcome shall be determined by scoring the completed rounds, including the round in which the foul occurs, if the foul occurs after:

(a) The completed second round of a bout or exhibition that is scheduled for three (3) rounds or less; or

(b) The completed third round of a bout or exhibition that is scheduled for more than three (3) rounds.

(9) If an injury inflicted by an accidental foul later becomes aggravated by fair blows and the referee orders the bout or exhibition stopped because of the injury, the outcome shall be determined by scoring the completed rounds and the round during which the referee stops the bout or exhibition.

(10) A contestant committing an intentional foul may be issued a violation by an inspector.

Section 12. Prohibitions. The following shall be prohibited:

(1) Battle royal type events; and

(2) Use of excessive grease or other substance that may handicap an opponent.

Section 13. Non-Contestant Participants.

(1) A promoter shall provide a minimum of two (2) security guards on the premises for each show.

(2) Judges, physicians, referees, and timekeepers shall be selected, licensed, and assigned to each show by the commission. The following shall be required:

(a) Three (3) judges, or two (2) judges if a referee also serves as a judge;

(b) One (1) timekeeper;

(c) One (1) physician, unless more than eighteen (18) bouts are scheduled, in which case a minimum of two (2) physicians shall be required; and

(d) One (1) referee, unless more than eight (8) bouts are scheduled, in which case a minimum of two (2) referees shall be required.

Section 14. Judges.

(1) A judge shall arrive at least one (1) hour prior to the start of a show.

(2) At the beginning of a bout, the judges shall locate themselves on opposite sides of the ring and shall carefully observe the performance of the contestants.

(3) At the conclusion of the bout, the judges shall render their decision based on the requirements of Section 10 of this administrative regulation.

(4) Upon request of the referee, the judges shall assist in determining whether or not:

(a) A foul has been committed;

(b) Each contestant is competing in earnest; and

Section 15. Timekeeper.

(1) The timekeeper shall be seated outside the ring near the bell and shall take the cue to commence or take time out from the referee.

(2) The timekeeper shall be equipped with a whistle and a stop watch. Prior to the first bout, the inspector shall ensure that the whistle and stopwatch function properly.

(3) Ten (10) seconds before the start of each round, the timekeeper shall give notice by sounding the whistle.

(4) The timekeeper shall indicate the starting and ending of each round by sounding a horn or striking the bell with a metal hammer.

(5) If a bout terminates before the scheduled limit, the timekeeper shall inform the announcer of the exact duration of the bout.

(6) Ten (10) seconds prior to the end of each round, the timekeeper shall give warning by striking a gavel three (3) times.

Section 16. Physicians and Healthcare Requirements.

(1) There shall be at least one (1) physician licensed by the commission at ringside at all times during a bout. A bout shall not begin or continue if a physician is not at ringside.

(2) The physician shall have general supervision over the physical condition of each contestant at all times while on the premises of a show or exhibition.

(3) The physician's pre-bout duties:

(a) A physician shall make a thorough physical examination of each contestant within eight (8) hours prior to a bout.

The physician's examination shall include a review of the Mixed Martial Arts Pre-Fight Medical Questionnaire of each contestant.
The physician shall deliver to the inspector the form Mixed Martial Arts Pre-Fight Examination, that documents the results of the examination prior to the contestant entering the ring.

(b) The physician shall ensure that all equipment required by subsection (5) of this section is present before the start of the first bout or exhibition.

(c) The physician shall prohibit a contestant from competing if the physician believes the contestant is physically unfit for competition or impaired by alcohol or a controlled substance.

(4) The physician's duties during the bout or exhibition:

(a) The physician shall remain at ringside during the progress of any bout or exhibition unless attending to a person.

(b) The physician shall observe the physical condition of each contestant during a bout or match.

(d) The physician shall order the referee to pause or end a bout or exhibition if necessary to prevent serious physical injury to a contestant.

(5) The physician shall have at ringside medical supplies necessary to provide medical assistance for the type of injuries reasonably anticipated to occur in a mixed martial arts show. The physician shall not permit a referee to begin a bout if the medical supplies are not present. At a minimum, these medical supplies shall include:

(a) A clean stretcher and blanket, placed under or adjacent to the ring throughout each bout;

(b) Spine board;

(d) Oxygen apparatus or equipment; and

(e) First aid kit.

(7) The physician shall make a thorough physical examination of each contestant after each bout. The physician shall deliver the form Mixed Martial Arts Post-Fight Examination that documents the results of the examination.

Section 17. Announcers.

(1) The announcer shall have general supervision over all announcements made to spectators.

(a) The announcer shall announce the name of contestants, their weight, decisions at the end of each match or bout, and any other matters as are necessary.

(b) A person other than the official announcer shall not make an announcement, unless deemed necessary by an inspector.

(2) If a match or bout is stopped before its scheduled termination, the announcer shall immediately confer with the referee and judges and then shall immediately announce the decision.

(3) The announcer shall not enter the ring during the actual progress of a match or bout.

Section 18. Referees.

(1) The referee shall be the chief official of the show, be present in the ring at all times, and have general supervision over each contestant, manager, and second during the entire event.

(2)

(a) The referee shall have the authority to disqualify a contestant who commits a foul and award the decision to the opponent.

(b) The referee shall immediately disqualify a contestant who commits an intentional or deliberate foul that causes serious physical injury to an opponent.

(3) The referee's duties and responsibilities shall be as established in this subsection.

(a) The referee shall, before starting a bout or match, ascertain from each contestant the name of the contestant's chief second. The referee shall hold the chief second responsible for the conduct of the chief second's assistants during the progress of the bout or match.

(b) The referee shall call the contestants together in the ring immediately preceding a bout or match for final instructions. During the instructional meeting, each contestant shall be accompanied in the ring by the contestant's chief second only.

(d) The referee shall stop a bout or match at any time if the referee has reasonable grounds to believe either contestant is:

Unable to protect himself or herself from possible injury;
Not competing in earnest; or
Colluding with another person to affect the results of the bout.

(f) The referee shall not touch a contestant during the bout or match except upon failure of a contestant to obey the referee's instructions or to protect a contestant.

(g) The referee shall decide all questions arising during a bout or match that are not otherwise specifically covered by KRS Chapter 229 or 201 KAR Chapter 27.

(h) Events scheduled to include more than eight (8) bouts shall require the presence of at least two (2) referees. One (1) referee shall be designated to oversee each bout.

Section 19. Trainers and Seconds.

(1) A trainer or second shall be equipped with a first aid kit and the necessary supplies for proper medical attendance upon the contestant.

(2) There shall be no more than three (3) persons total serving as a trainer or second in any bout and only two (2) shall be allowed in the ring at the same time.

(4) A trainer and a second shall wear surgical gloves at all times while carrying out their duties.

Section 20. Medical Prohibitions.

(a) A contestant who has been repeatedly knocked out and severely beaten shall be retired and not permitted to compete again if, after subjecting the contestant to a thorough examination by a physician licensed by the commission, the medical advisory panel determines action is necessary to protect the health and welfare of the contestant.

(c) A contestant who has suffered five (5) consecutive defeats by knockout or medical stoppage shall not be allowed to compete again until the contestant has been evaluated and subsequently cleared for further competition by the medical advisory panel.

(d) A contestant who has been knocked out shall be prohibited from all competition for a minimum of sixty (60) days.

(2)

(a) A female mixed martial artist shall submit proof she is not pregnant prior to her bout. The proof may be either:

An original or certified copy of the result of a medical test taken no more than one (1) week before the day of the match that shows she is not pregnant; or
From an over-the-counter home pregnancy test taken while on the premises of the show that tests for human chorionic gonadotropin.

(b) A female mixed martial artist shall be prohibited from competing if:

She is pregnant; or
She fails to comply with this subsection.

Section 21. Insurance.

(1) A promoter shall provide insurance for a contestant for any injuries sustained in the mixed martial arts event.

(2) The minimum amount of coverage per contestant shall be $5,000 health and $5,000 accidental death benefits.

(3) A certificate of insurance coverage shall be provided to the commission no less than two (2) business days before the event.

(4)

(a) The deductible expense under the policy for a professional mixed martial artist shall not exceed $1,000.

(b) The deductible expense for an amateur mixed martial artist shall not exceed $500.

Section 22. Other Provisions.

(1) A contestant shall not compete against a member of the opposite gender.

(2) Each show shall be video recorded and retained by the promoter for at least one (1) year. Upon request of the commission, the promoter shall provide the video recording of a show to the commission.

(3) A promoter shall maintain an account with the recognized national database as identified by the commission and shall submit contestants' names to that database upon approval of the show date. The promoter shall be responsible for the costs associated with the use of this service.

(4) A bout or exhibition of mixed martial arts shall be conducted pursuant to the official rules for the particular art unless the official rules conflict with KRS Chapter 229 or 201 KAR Chapter 27.

(a) If an official rule conflicts with KRS Chapter 229 or a requirement in 201 KAR Chapter 27, the statute or administrative regulation shall prevail.

(b) The sponsoring organization or promoter shall file a copy of the rules that shall apply at the show with the commission along with the thirty (30) day show notice required in Section 1 of this administrative regulation.

(5) A contestant shall report to and be under the general supervision of an inspector in attendance at the show and shall be subject to instructions given by an inspector.

(6) More than two (2) fifteen (15) minute intermissions shall not be allowed at any show.

Section 23. Prohibitions and Restrictions.

(1) The following shall be prohibited:

(a) Battle royal type events;

(b) Use of excessive grease or other substance that may handicap an opponent; and

(2) Knees to the head shall be permitted, but shall only be used and delivered from a standing position.

(3) A professional mixed martial arts contestant found to be competing during an amateur mixed martial arts show shall have his or her license suspended for a period of not less than one (1) year.

(4) A promoter who allows a professional to compete against an amateur shall have his or her license suspended for a period of not less than one (1) year.

(5) Smoking shall be prohibited inside the gymnasium, room, or hall in which the ring is located.

(6) Alcohol shall be prohibited inside the six (6) foot area alongside the ring.

Section 24. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Mixed Martial Arts Show Notice Form", June 2023;

(b) "Mixed Martial Arts Pre-Fight Medical Questionnaire", June 2023;

(d) "Mixed Martial Arts Post-Fight Examination", June 2023;

(e) "Mixed Martial Arts Medical Release Form", June 2023;

(f) "Mixed Martial Arts Neurological Evaluation Form", June 2023.

History

RELATES TO: KRS 229.025, 229.031, 229.055, 229.111, 229.131, 229.155, 229.171,
STATUTORY AUTHORITY: KRS 229.025, 229.031, 229.111, 229.131, 229.171,
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the Kentucky Boxing and Wrestling Commission to exercise sole direction, management, control, and jurisdiction over all unarmed combat shows in the Commonwealth. KRS 229.171(2) authorizes the commission to promulgate administrative regulations it considers necessary or expedient for the performance of its functions provided in KRS Chapter 229. KRS 229.025 requires every licensee to be subject to administrative regulations promulgated by the commission. This administrative regulation establishes the requirements for mixed martial arts shows and for participants in mixed martial arts shows.
History: 32 Ky.R. 1840; 2023; 2255; eff. 7-7-2006; 38 Ky.R. 1200; 1576; 1710; eff. 5-4-2012; 43 Ky.R. 294, 727, 965; eff. 1-6-2017; 45 Ky.R. 2425, 2871; eff. 5-3-2019; 50 Ky.R. 128, 811; eff. 1-2-2024.

201 KAR 27:020 Tickets {#sec-201-kar-27-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:020}

Section 1. General Requirements.

(1) Any person admitted to a show or exhibition shall have a ticket except:

(a) Commission staff, a commission member, or a member of the medical advisory panel on official business;

(b) The promoter of the show and the promoter's employees;

(d) A ring official who is working the show;

(e) A member of the press covering the show;

(f) A contestant who is competing in the show;

(g) A second, trainer, or manager acting on behalf of a contestant who will be competing in the show; and

(h) A police officer, firefighter, paramedic, or emergency medical technician while on duty.

(2)

(a) A schedule of ticket prices shall be posted conspicuously at the front of the ticket office where the show or exhibition is taking place.

(b) A ticket shall not be sold for a price greater than that charged at the place of admission or printed on the ticket.

Section 2. Complimentary Tickets.

(1) The number of complimentary tickets shall not exceed four (4) percent of the total of paid admission tickets.

(2) The commission may approve an exception to subsection (1) of this section if the complimentary tickets will be given to or for a charitable organization, educational purpose, emergency responders, or military personnel.

Section 3. Changes to Program or Card.

(1) Any change or substitution to the card shall be posted in a conspicuous place at the ticket office when the change is made.

(2) Any change to an advertised card shall be:

(a) Posted at the ticket window and at the entrance to the facility immediately; and

(b) Announced to the spectators at least five (5) minutes before the first bout or match.

(3) The posting and the announcement of the change shall include a statement that a ticket purchaser may receive a refund of the ticket purchase price if the request is made before commencement of the first bout or match.

Section 4. Rain Check. Each purchaser of an admission ticket shall be given the choice of a refund or a voucher that shall be redeemed by the promoter on presentation by the purchaser if the show does not take place.

Section 5. Event Report.

(1) Within fifteen (15) days of the conclusion of an unarmed combat show, the promoter shall, pursuant to KRS 229.031(1), complete and submit to the commission the form Event Report.

(2) The Event Report shall be accompanied by a check or money order for the amount of the tax required by KRS 229.031(1).

(3) The Event Report shall be signed under penalty of perjury.

Section 6. Incorporation by Reference.

(1) "Event Report", November, 2019, is incorporated by reference.

History

RELATES TO: KRS 229.031, 229.171,
STATUTORY AUTHORITY: KRS 229.031, 229.171
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the Kentucky Boxing and Wrestling Commission to exercise sole direction, management, control, and jurisdiction over all unarmed combat shows in the commonwealth. KRS 229.171(2) authorizes the commission to promulgate administrative regulations it considers necessary or expedient for the performance of its functions provided in KRS Chapter 229.KRS 229.031(1) requires a tax of the greater of twenty-five (25) dollars or five (5) percent of the gross receipts from the sale of all tickets to the show collected by a person conducting an event under the jurisdiction of the commission, and KRS 229.031(4) authorizes the commission to examine or cause to be examined a person's books and records to ensure compliance with the tax. This administrative regulation establishes requirements and procedures governing the sale of tickets to events and shows in the commonwealth.
History: 5 Ky.R. 1105; eff. 11-7-1979; Am. 20 Ky.R. 1042; 1790; eff. 1-10-1994; 32 Ky.R. 1752; 2261; eff. 7-7-2006; 43 Ky.R. 309, 741; eff. 1-6-2017; 45 Ky.R. 2431, 2876; eff. 5-3-2019; TAm eff. 11-22-2019.

201 KAR 27:023 Drug testing for unarmed combat shows {#sec-201-kar-27-023 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:023}

Section 1. Definitions.

(1) "In-competition" means the period commencing twelve (12) hours before the beginning of a bout, match, or exhibition of unarmed combat in which the licensee is scheduled to participate through the end of the bout, match, or exhibition and the sample collection process related to the bout match or exhibition.

(2) "Out-of-competition" means any period that is not in-competition.

(3) "Prohibited List" means the World Anti-Doping Agency Prohibited List.

Section 2. Applicability. This administrative regulation shall apply to all contestants, judges, and referees in unarmed combat.

Section 3. Prohibitions.

(1) The Prohibited List shall be used in conjunction with this administrative regulation.

(2) Except as established in Section 4 of this administrative regulation, the substances and methods listed in the following classes of the World Anti-Doping Agency Prohibited List shall be prohibited in-competition and out-of-competition:

(a) S0. Non-approved substances;

(b) S1. Anabolic agents;

(d) S3. Beta-2 agonists;

(e) S4. Hormone and metabolic modulators;

(f) S5. Diuretics and masking agents;

(g) M1. Manipulation of blood and blood components;

(h) M2. Chemical and physical manipulation; and

(i) M3. Gene Doping.

(3) Except as established in Section 4 of this administrative regulation, the following substances listed in the World Anti-Doping Agency Prohibited List shall be prohibited only if a licensee is in-competition:

(a) S6. Stimulants;

(b) S7. Narcotics;

(d) S9. Glucocorticoids.

Section 4. Approved Substances. The following types of drugs or injections are approved:

(1) Antacids, such as Maalox;

(2) Antibiotics, antifungals, or antivirals for which the licensee has a prescription;

(3) Antidiarrheals, such as Imodium, Kaopectate, or Pepto-Bismol;

(4) Antihistamines for colds or allergies, such as Bromphen, Brompheniramine, Chlorpheniramine Maleate, Chlor-Trimeton, Dimetane, Hismal, PBZ, Seldane, Tavist-1, or Teldrin;

(5) Antinauseants, such as Dramamine or Tigan;

(6) Antipyretics, such as Tylenol;

(7) Antitussives, such as Robitussin, if the antitussive does not contain codeine;

(8) Antiulcer products, such as Carafate, Pepcid, Reglan, Tagamet, or Zantac;

(9) Asthma products in aerosol form, such as Brethine, Metaproterenol (Alupent), or Salbutamol (Albuterol, Proventil, or Ventolin);

(10) Asthma products in oral form, such as Aminophylline, Cromolyn, Nasalide, or Vanceril;

(11) Ear products, such as Auralgan, Cerumenex, Cortisporin, Debrox, or Vosol;

(12) Hemorrhoid products, such as Anusol-HC, Preparation H, or Nupercainal;

(13) Laxatives, such as Correctol, Doxidan, Dulcolax, Efferyllium, Ex-Lax, Metamucil, Modane, or Milk of Magnesia;

(14) Nasal products, such as AYR Saline, HuMist Saline, Ocean, or Salinex; and

(15) The following decongestants and any decongestant that is pharmaceutically similar:

(a) Afrin; or

(b) Oxymetazoline HCL Nasal Spray.

Section 5. Testing Requirement. A licensed unarmed combat contestant, judge, or referee shall submit to a blood test, urinalysis, or chemical test at any time, in-competition or out-of-competition, if the commission or a representative of the commission directs him or her to do so.

Section 6. Violations and Penalties.

(1) A licensee who violates any provision of this administrative regulation shall be subject to a penalty issued by the commission.

(2) A blood test shall not be required within seven (7) days of the bout, competition, or exhibition unless directed by the commission upon finding of probable cause that a violation of Section 3 of this administrative regulation has occurred.

(3)

(a) In addition to any other penalty issued by the commission pursuant to KRS 229.200 and 201 KAR 27:106, if a contestant who won or drew a bout is found to have violated the provisions of this administrative regulation, the commission may change the result of that bout to a no decision loss if the commission finds that the drug used may have affected the result.

(b) A note shall be placed on the contestant's record that the change in decision was the result of testing positive for a banned substance or prohibited method.

(4) The commission shall investigate each alleged violation of this administrative regulation.

Section 7. Penalty Guidelines. The guidelines for use in determining a penalty pursuant to 201 KAR 27:106, Section 3 shall be as follows:

(1) For cannabis or cannabinoids:

(a) 1st offense: six (6) month suspension and a fine of fifty (50) dollars;

(b) 2nd offense: twelve (12) month suspension and a $100 fine;

(d) 4th offense: lifetime ban and a $500 fine;

(2) For sedatives, muscle relaxants, sleep aids, anxiolytics, opiates, or opioids:

(a) 1st offense: eighteen (18) month suspension and a $100 fine;

(b) 2nd offense: twenty-four (24) month suspension and a $250 fine;

(d) 4th offense: lifetime ban and a $1,000 fine;

(3) For diuretics being used to cut weight:

(a) 1st offense: twenty-four (24) month suspension and a $250 fine;

(b) 2nd offense: thirty-six (36) month suspension and a $500 fine; or

(4) For stimulants:

(a) 1st offense: twenty-four (24) month suspension and a $250 fine;

(b) 2nd offense: thirty-six (36) month suspension and a $500 fine; or

(5) For anabolic steroids:

(a) 1st offense: thirty-six (36) month suspension and a $500 fine;

(b) 2nd offense: forty-eight (48) month suspension and a $750 fine; or

(6) For avoiding or refusing testing or detection, altering or adulterating a urine or blood sample, providing a urine or blood sample not from the contestant, or using any masking agent:

(a) 1st offense: forty-eight (48) month suspension and a $750 fine; or

(b) 2nd offense: lifetime ban and a $1,000 fine.

Section 8. Incorporation by Reference.

(1) "World Anti-Doping Agency Prohibited List", January 2024, is incorporated by reference.

History

RELATES TO: KRS 229.025, 229.111, 229.171, 229.200
STATUTORY AUTHORITY: KRS 229.171
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the commission to exercise sole jurisdiction over all unarmed combat shows and licensees in the commonwealth. This administrative regulation establishes the policies, procedures, and penalty guidelines associated with drug testing for participants in unarmed combat shows and exhibitions.
History: 50 Ky.R. 2482; 51 Ky.R. 505, 660; eff. 12-31-2024.

201 KAR 27:041 Managers {#sec-201-kar-27-041 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:041}

Section 1. Duties and Responsibilities.

(1) A manager shall only do business with a promoter, ring official, or contestant who holds an active license.

(2) A manager shall not act or attempt to act for a contestant unless authorized by the contestant.

(3) A contract between a manager and a contestant shall be filed with the commission as evidence of the manager's authority to act for the contestant.

(4) A manager shall keep accurate records of the receipts and expenses of the contestants under the manager's management and control. These records shall be available to the contestants and to the commission.

History

RELATES TO: KRS 229.025, 229.171
STATUTORY AUTHORITY: KRS 229.171
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the commission to exercise sole jurisdiction over all unarmed combat shows and licensees in the commonwealth. This administrative regulation establishes standards governing the conduct of managers.
History: 50 Ky.R. 2485; 51 Ky.R. 507, 661; eff. 12-31-2024.

201 KAR 27:106 Violations, penalties, and appeals {#sec-201-kar-27-106 omnilex-key=us-ky-regs-official--title-201--201 KAR 27:106}

Section 1. Violations.

(1) A person shall be guilty of a violation for any of the actions listed in KRS 229.200(1)(a)-(i).

(2) A person shall be guilty of a violation if the person authorizes or ratifies any of the actions in subsection (1) of this section if the action is taken by the person's agent, employee, shareholder, member, officer, or director.

(3) A person who commits a violation shall be issued a notice of violation.

Section 2. Penalties.

(1) If the commission has reason to believe that a person has committed a violation, the commission may impose one (1) or more of the penalties listed in KRS 229.200(2).

(2) In issuing a penalty pursuant to subsection (1) of this section, the commission shall consider:

(a) The severity of the violation;

(b) The licensee's history of violations and penalties;

(d) If the penalty is for a violation of 201 KAR 27:023, the penalty guidelines established in 201 KAR 27:023, Section 7.

(3) A person whose license is currently suspended shall not:

(a) Be present in a locker room that is used during a commission-sanctioned event; and

(b) Be located within the six (6) foot area surrounding the ring or cage at a commission-sanctioned event.

Section 3. Inspector's Authority to Issue a Violation and a Penalty.

(1) Pursuant to KRS 229.155, the commission shall authorize its inspectors to:

(a) Issue a notice of violation in accordance with Section 1 of this administrative regulation; and

(b) Issue a penalty in accordance with Section 2 of this administrative regulation.

(2) A penalty issued by an inspector shall be subject to appeal pursuant to Section 5 of this administrative regulation.

Section 4. Reciprocity of a Penalty.

(1) A licensee who is subjected to a penalty in any jurisdiction shall report to the commission within ten (10) days the date, type, and reason for the penalty given and the name of the regulatory body that ordered the penalty.

(2) The commission shall enforce the penalty given by any other regulatory body.

Section 5. Appeals.

(1) Any person issued a penalty may appeal the penalty to the full commission pursuant to KRS 229.190.

(2) An appeal shall be filed within twenty (20) days of the date the penalty is issued.

(3) A contestant may petition the commission to change a decision rendered at the end of a professional contest or exhibition in which he or she competed. The commission shall not change a decision rendered at the end of any contest or exhibition unless:

(a) The commission determines that there was collusion affecting the result of the contest or exhibition;

(b) The compilation of the scorecards of the judges discloses an error which shows that the decision was given to the wrong unarmed combatant; or

(c) As the result of an error in interpreting a provision of KRS Chapter 229, the referee has rendered an incorrect decision.

Section 6. Effect of Expiration of License on Jurisdiction of the Commission. The expiration of a license shall not deprive the commission of jurisdiction to:

(1) Proceed with an investigation of the former licensee; or

(2) Issue a penalty against the former licensee.

History

RELATES TO: KRS 229.025, 229.031, 229.131, 229.155, 229.171, 229.190, 229.200
STATUTORY AUTHORITY: KRS 229.025, 229.155, 229.171, 229.190, 229.200
NECESSITY, FUNCTION, AND CONFORMITY: KRS 229.171(1) authorizes the commission to exercise sole jurisdiction over all unarmed combat shows and licensees in the commonwealth. This administrative regulation establishes the policies and procedures that govern the finding of a violation of KRS Chapter 229 or 201 KAR Chapter 27, the issuance of a penalty, and the appeal of a penalty.
History: 50 Ky.R. 2486; 51 Ky.R. 509, 661; eff. 12-31-2024.

Chapter 28 Board of Licensure for Occupational Therapy

201 KAR 28:010 Definitions for 201 KAR Chapter 28 {#sec-201-kar-28-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:010}

Section 1. Definitions.

(1) "ACOTE" means the Accreditation Council for Occupational Therapy Education.

(2) "Act" means the Kentucky Occupational Therapy Practice Act as established in KRS 319A.010 to 319A.990.

(3) "Adjunctive strategies" means methods or interventions that support and advance a client's occupational therapy performance used as a precursor to enable purposeful activities or occupations.

(4) "Assistive technology" means identification and use of assistive technologies (high and low tech), application of universal design principles, and recommended changes to the environment of activity to support the client's ability to engage in occupations.

(5) "Basic activities of daily living" means tasks or activities that are oriented toward taking care of one's own body; those tasks that are performed daily by an individual that pertain to and support one's self-care, mobility, and communication; and includes the following activities:

(a) Bathing and showering;

(b) Bowel and bladder management;

(d) Swallowing, eating, and feeding;

(e) Functional mobility;

(f) Personal device care;

(g) Personal hygiene and grooming;

(h) Sexual activity;

(i) Sleep and rest; and

(j) Toileting and toilet hygiene.

(6) "Board" is defined by KRS 319A.010(1).

(7) "Components of performance" means activity and occupational demands, client factors, performance skills, context, and environment.

(8) "COTA" means a certified occupational therapy assistant.

(9) "COTA/L means a certified occupational therapy assistant/licensed.

(10) "Functional mobility" means moving from one (1) position or place to another including in-bed mobility, wheelchair mobility, transportation of objects through space, and functional ambulating transfers, driving, and community mobility.

(11) "General supervision" means an interactive process for collaboration on the practice of occupational therapy which includes the review and oversight of all aspects of the services being provided by the individual under supervision.

(12) "Instrumental activities of daily living" means complex tasks or activities that are oriented toward interacting with the environment and are essential to self-maintenance matters which extend beyond personal care, including:

(a) Care of others;

(b) Care of pets;

(d) Communication management;

(e) Financial management;

(f) Health management and maintenance;

(g) Home establishment, management, and maintenance;

(h) Meal preparation and cleanup;

(i) Safety and emergency maintenance;

(j) Shopping;

(k) Spiritual activities; and

(l) Selection and supervision of caregivers.

(13) "NBCOT" means the National Board for Certification in Occupational Therapy.

(14) "Occupations" means activities, tasks or roles that individuals engage in which provide intrinsic value and meaning for the individual, society, and culture.

(15) "OT" means occupational therapy.

(16) "OT/L" means as occupational therapist/licensed.

(17) "OTA/L" means an occupational therapist assistant/licensed.

(18) "OTR" means an occupational therapist registered.

(19) "OTR/L" means an occupational therapist registered/licensed.

(20) "Performance abilities" means the utilization of performance skills in the participation of active daily life.

(21) "Performance skills" means the observable actions of a person that have implicit functional purposes, including motor skills, processing skills, interaction skills, and communication skills.

(22) "Restoration" means to restore a performance skill or ability that has been impaired.

History

RELATES TO: KRS 319A.010-319A.210
STATUTORY AUTHORITY: KRS 319A.070(1), (3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the Kentucky Board of Licensure for Occupational Therapy to promulgate administrative regulations and administer the provisions of KRS Chapter 319A. This administrative regulation establishes the definitions used in 201 KAR Chapter 28.
History: 13 Ky.R. 1175; eff. 1-13-1987; 14 Ky.R. 1847; eff. 4-14-1988; 20 Ky.R. 1050; 1852; eff. 2-10-1994; 30 Ky.R. 79; 849; 1205; eff. 10-15-2003; 37 Ky.R. 1005; 1420; eff. 12-15-2010; 1419; 2073; eff. 5-1-2015; Cert eff. 4-15-2022.

201 KAR 28:030 Short-term practice of occupational therapy for persons practicing under KRS 319A.090(1)(e) {#sec-201-kar-28-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:030}

Section 1.

(1) Any individual who intends to practice occupational therapy in the Commonwealth of Kentucky, in association with a Kentucky OT/L, under the provisions of KRS 319A.090(1)(e) shall submit to the board the following information:

(a) The name, permanent address, address in Kentucky, email address, and telephone number where the individual may be reached;

(b) The name, business address, and telephone number of the OT/L with whom the individual is associated;

(d)

A copy of the current license from the state in which the individual is licensed along with a statement from the licensing authority that the individual is in good standing; or
A letter of verification issued by the NBCOT stating that the individual meets the current requirements for certification as an OTR or a COTA and is in good standing.

(2) The information as described in subsection (1) of this section shall be submitted to the board prior to the commencement of practice.

(3) The applicant's request may be approved by the board chair upon receipt of all items listed in this administrative regulation.

History

RELATES TO: KRS 319A.090
STATUTORY AUTHORITY: KRS 319A.070(1), (3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the board to promulgate administrative regulations and administer the provisions of KRS Chapter 319A. KRS 319A.090 provides that certain persons may be exempt from the licensure requirements of KRS Chapter 319A. This administrative regulation sets forth the requirements for persons who are temporarily practicing in Kentucky and who seek to engage in the practice of occupational therapy for no more than sixty (60) days in a calendar year pursuant to KRS 319A.090(1)(e).
History: 13 Ky.R. 1183; eff. 1-13-1987; Am. 20 Ky.R. 1056; 1854; eff. 2-10-1994; 30 Ky.R. 84; eff. 10-15-2003; 41 Ky.R. 1426; 2076; eff. 5-1-2015; Cert eff. 4-15-2022.

201 KAR 28:070 Examination {#sec-201-kar-28-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:070}

Section 1. Examination Approved by the Board. The examinations approved for licensure are:

(1) The NBCOT certification examination for occupational therapists; and

(2) The NBCOT certification examination for occupational therapy assistants.

Section 2.

(1) An applicant for licensure shall take the appropriate examination as authorized by the NBCOT and shall receive a passing score on the examination.

(2) It shall be the responsibility of the applicant to make arrangements to:

(a) Sit for the examination;

(b) Pay the requisite examination fee to the NBCOT; and

History

RELATES TO: KRS 319A.120
STATUTORY AUTHORITY: KRS 319A.070(1), (3)(a), (j)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the board to promulgate administrative regulations and administer the provisions of KRS Chapter 319A. KRS 319A.070(3)(j) authorizes the board to approve an examination for an occupational therapist and an occupational therapy assistant. This administrative regulation establishes those examination requirements.
History: 13 Ky.R. 1183; eff. 1-13-1987; Am. 20 Ky.R. 1056; 1854; eff. 2-10-1994; 30 Ky.R. 84; eff. 10-15-2003; 41 Ky.R. 1426; 2076; eff. 5-1-2015; Cert eff. 4-15-2022.

201 KAR 28:130 Supervision of occupational therapy assistants, occupational therapy aides, occupational therapy students, and temporary permit holders {#sec-201-kar-28-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:130}

Section 1. Definitions.

(1) "Countersign" means the OT/L signs the client's documentation after actively reviewing the history of the intervention provided to the client and confirming that, in light of the entire intervention plan, the OTA/L's entry is proper.

(2) "Face-to-face supervision" means being physically present in the room and being able to directly communicate with an individual while observing and guiding the activities of that individual, including:

(a) A review of the occupational therapy services being provided to a client that might affect the therapeutic outcomes and the revision of the plan of care for each client; and

(b) An interactive process between the supervisor and the individual under supervision involving direct observation, cotreatment, dialogue, teaching, and instruction in a face-to-face setting.

(3) "Supervisor" means the OT/L who is providing supervision.

Section 2. General Policy Statement for Supervision.

(1) The OT/L shall have the ultimate responsibility for occupational therapy outcomes. Supervision shall be a shared responsibility.

(2) The supervising OT/L shall have a legal and ethical responsibility to provide supervision and the supervisee shall have a legal and ethical responsibility to obtain supervision.

(3) Supervision by the OT/L of the supervisee's provision of occupational therapy services shall always be required, even when the supervisee is experienced and skilled in a particular practice area.

Section 3. Supervision of Licensed Occupational Therapy Assistants.

(1) An OTA/L shall assist in the practice of occupational therapy only under the supervision of an OT/L.

(2) The supervisor shall provide no less than four (4) hours per month of general supervision for each occupational therapy assistant which shall include no less than two (2) hours per month of face-to-face supervision.

(3) The amount of supervision time shall be prorated for a part-time OTA/L.

(4) The supervisor or the OTA/L may institute additional supervision based on the competence and experience of the OTA/L.

(5) The supervisor shall assign and the OTA/L shall accept only those duties and responsibilities for which the OTA/L has been specifically trained and which the OTA/L is qualified to perform.

(6) Specific responsibilities for supervising OT/Ls and OTA/Ls.

(a) Assessment and reassessment.

Client evaluation is the responsibility of the OT/L.
The OTA/L may contribute to the evaluation process by gathering data, administering structured tests, and reporting observations.
The OTA/L may not evaluate independently or initiate therapy prior to the OT/L's evaluation.

(b) Intervention planning.

The OT/L shall take primary responsibility for the intervention planning.
The OTA/L may contribute to the intervention planning as directed by the OT/L.

The OT/L shall be responsible for the outcome and delivery of the occupational therapy intervention.
The OT/L shall be responsible for assigning appropriate therapeutic interventions to the OTA/L.

(d) Discontinuation of intervention.

The OT/L shall be responsible for the discontinuation of occupational therapy services.
The OTA/L may contribute to the discontinuation of intervention as directed by the OT/L.

(7) Documentation requirements.

(a) Notations recorded by an OTA/L to an initial evaluation, plan of care, or discharge summary, that are documented in a client's permanent record, shall be countersigned by the supervisor within fourteen (14) calendar days of the notation.

(b) The supervising OT/L and individuals under supervision shall each maintain a log which shall document:

The frequency of the supervision provided;
The observation, dialogue and discussion, and instructional techniques employed;
The type of supervision provided, either general or face-to-face;
The dates on which the supervision occurred; and
The number of hours worked by the OTA/L each month.

(c) It shall be the responsibility of the supervising OT/L to maintain a list of any OTA/L that he or she has supervised with the OTA/L's name and license number.

(d) It shall be the responsibility of the OTA/L under supervision to maintain a list of his or her supervising OT/L with that individual's name and license number.

(8) A supervising OT/L shall not have more than the equivalent of three (3) full time OTA/Ls under supervision at any one (1) time.

(9)

(a) In extenuating circumstances, when the OTA/L is without supervision, the OTA/L may continue carrying out established programs for up to thirty (30) calendar days under agency supervision while appropriate occupational therapy supervision is sought.

(b) It shall be the responsibility of the OTA/L to notify the board of these circumstances and to submit, in writing, a plan for resolution of the situation.

(10) A supervisor shall be responsible for ensuring the safe and effective delivery of OT services and for fostering the professional competence and development of the OTA/Ls under his or her supervision.

Section 4. Supervision of Occupational Therapy Aides.

(1) An occupational therapy aide shall provide supportive services only with face-to-face supervision from an OT/L or OTA/L.

(2) The supervising OT/L or OTA/L shall be in direct verbal and visual contact with the occupational therapy aide, at all times, for all therapy-related activities.

Section 5. Occupational Therapy Students.

(1) A person practicing occupational therapy and performing occupational therapy services under KRS 319A.090(1)(c) shall be enrolled in an ACOTE accredited occupational therapy or occupational therapy assistant educational program or its equivalent.

(2) When an occupational therapy student is participating in supervised fieldwork education experiences, the student may, at the discretion of the supervising OT/L or OTA/L, be assigned duties or functions commensurate with his or her education and training.

(3) A supervisor shall be responsible for ensuring the safe and effective delivery of OT services and for fostering the professional competence and development of the students under his or her supervision.

Section 6. Temporary Permits.

(1) A temporary permit holder shall be:

(a) Supervised by an OT/L; and

(b) The OT/L shall be responsible for all occupational therapy outcomes.

(2) The supervising OT/L shall be available at all times to provide supervision.

(3) Face-to-face supervision shall be provided for at least thirty (30) minutes daily. The face-to-face supervision shall not occur through electronic means.

(4) The temporary permit holder who is applying for a license as an OT/L may perform all of the functions of the OT/L, with the exception of supervision.

(5) A temporary permit holder who is applying for a license as a OTA/L may perform all of the functions of a OTA/L, with the exception of supervision.

Section 7. Audit of Supervision Activities.

(1) The board shall perform a random audit of supervision logs for up to ten (10) percent of all licensees.

(2) The licensee who is audited shall be required to furnish documentation of the completed supervision log required by Section 3(7) of this administrative regulation.

(3) The licensee who is audited by the board shall respond to the audit within sixty (60) days of the date of the request.

(4) A licensee who fails to comply with the supervision requirements of this administrative regulation shall be subject to disciplinary action that may include suspension or revocation of the person's license.

History

RELATES TO: KRS 319A.010(4), (5), 319A.100
STATUTORY AUTHORITY: KRS 319A.070(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(l) authorizes the board to promulgate administrative regulations to define appropriate supervision for persons who are delivering occupational therapy services. This administrative regulation establishes the requirements of that supervision, the documentation required in supervision, and the process for reviewing the supervision process.
History: 13 Ky.R. 1189; eff. 1-13-1987; Am. 20 Ky.R. 1060; 1856; eff. 2-10-1994; 30 Ky.R. 640; 852; eff. 10-15-2003; 2173; eff. 6-16-2004; 37 Ky.R. 1006; Am. 1422; eff. 12-15-2010; 41 Ky.R. 1430; eff. 5-1-2015; Cert. eff. 4-15-2022.

201 KAR 28:140 Code of ethics and unprofessional conduct {#sec-201-kar-28-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:140}

Section 1. The following code of ethics consists of general guidelines for occupational therapy practice. The code of ethics shall be as established in this section.

(1) An OT/L or an OTA/L shall be responsible for providing services without regard to race, creed, national origin, sex, age, handicap, disease, social status, financial status, or religious affiliation.

(2) An OT/L or an OTA/L shall be acquainted with applicable local, state, federal, and institutional rules and shall function accordingly.

(3) An OT/L or an OTA/L shall be responsible for informing employers, employees, and colleagues about those laws and policies that apply to the profession of occupational therapy.

(4) An OT/L or an OTA/L shall not use or participate in the use of any form of communication that contains a false, fraudulent, deceptive, or unfair statement or claim.

(5) An OT/L or an OTA/L shall report any illegal, incompetent, or unethical practice to the appropriate authority.

(6) An OT/L or an OTA/L shall hold the appropriate credentials for providing service.

(7) An OT/L or an OTA/L shall actively maintain high standards of professional competence.

(8) An OT/L or an OTA/L shall function within the parameters of his or her competence and the standards of the profession.

(9) An OT/L or an OTA/L shall accurately represent his or her competence and training to the public.

(10) An OT/L or an OTA/L shall refer clients to other service providers or consult with other service providers when additional knowledge and expertise is required.

(11) An OT/L or an OTA/L shall protect the confidential nature of information gained from educational, practice, and investigational activities unless sharing the information is necessary to protect the well-being of a third party.

(12) An OT/L or an OTA/L shall not disclose privileged information when participating in reviews of peers, programs, or systems.

(13) An OT/L or an OTA/L shall include those people served in the intervention planning process.

(14) An OT/L or an OTA/L shall maintain goal-directed and objective relationships with all people served.

(15) An OT/L or an OTA/L shall accurately record and report client information.

(16) An OT/L or an OTA/L shall inform those people served of the nature and potential outcomes of therapy and shall respect the right of potential recipients of service to refuse therapy.

(17) An OT/L or an OTA/L shall inform subjects involved in education or research activities of the potential outcome of those activities.

(18) An OT/L or an OTA/L shall take all reasonable precautions to avoid harm to the recipient of services or detriment to the recipient's property.

(19) An OT/L or an OTA/L shall establish fees, based on cost analysis, that are commensurate with services rendered.

(20) An OT/L or an OTA/L shall require those whom they supervise to adhere to ethical standards of conduct.

(21) An OT/L or an OTA/L who employs or supervises colleagues shall provide appropriate supervision as required by 201 KAR 28:130.

(22) An OT/L or an OTA/L shall recognize the contributions of colleagues when disseminating professional information.

Section 2. Failure to comply with any of the provisions in this section shall constitute unprofessional conduct in the practice of occupational therapy.

(1) An OT/L or an OTA/L shall report to the board any violation of KRS Chapter 319A or 201 KAR Chapter 28.

(2) An OT/L or an OTA/L shall report a change of name or address to the board within thirty (30) days after a change of name or address occurs.

(3) An OT/L or an OTA/L shall notify the board within thirty (30) days after being adjudged guilty of malpractice by a court of competent jurisdiction.

(4) An OT/L or an OTA/L shall comply with any subpoena issued by the board.

(5) An OT/L or an OTA/L shall not permit another person to use his or her license for any purpose.

(6) An OT/L or an OTA/L shall not delegate to an unlicensed employee or person a service which requires the skill, knowledge, or judgment of an OT/L or an OTA/L.

(7) An OT/L or an OTA/L shall inform the referring source when any requested occupational therapy service is contraindicated, in the professional judgment of the licensee, and may refuse to carry out that request.

(8) An OT/L shall competently provide the following minimum services:

(a) Proper interpretation of all referrals;

(b) Proper client evaluations;

(d) The identification and documentation of an intervention plan;

(e) The appropriate occupational therapy services called for by the plan of care;

(f) A determination of the appropriate portions of the therapy program to be delegated to assistive personnel;

(g) A determination of the assistive personnel's qualifications by training, experience, license, or certification to perform tasks before delegating those tasks;

(h) The appropriate supervision of individuals as required by 201 KAR 28:130;

(i) Timely client reevaluations; and

(j) Maintain timely and adequate client records of all occupational therapy activity and client response.

(9) An OTA/L shall competently provide the following minimum services as appropriate:

(a) Seek appropriate supervision as required by 201 KAR 28:130;

(b) The appropriate therapy called for by the intervention plan;

(d) A determination of the assistive personnel's qualifications by training, experience, license, or certification to perform tasks before delegating those tasks;

(e) The appropriate supervision of individuals as required by 201 KAR 28:130; and

(f) Maintain timely and adequate client records of all occupational therapy activity and client response.

(10)

(a) An OT/L or an OTA/L shall not provide occupational therapy services in an incompetent manner.

(b) Incompetent practice includes:

A lack of the knowledge, judgment, or skill necessary to perform those modalities, methods, and techniques that come within the practice of occupational therapy;
A deviation below the standard of practice ordinarily possessed and applied by other OT/Ls and OTA/Ls in the Commonwealth of Kentucky acting in the same or similar circumstances; or
A willful or repeated departure from or the failure to conform to the minimal standard of acceptable and prevailing practice of occupational therapy in the Commonwealth of Kentucky.

(11) An OT/L or an OTA/L shall address goals identified in the evaluation and intervention plan.

(12) An OT/L or an OTA/L shall not continue occupational therapy services beyond the point of possible benefit to the client or provide therapy to the client more frequently than necessary to obtain the maximum therapeutic effect.

(13) An OT/L or an OTA/L shall not engage in false or misleading advertising, betrayal of a professional confidence, or falsification of a client's records.

(14)

(a) An OT/L or an OTA/L shall not seek to obtain payment of a professional fee or compensation of any form through fraudulent means.

(b) Seeking payment or compensation through fraudulent means includes:

Reporting incorrect service dates for the purpose of obtaining payment;
Reporting charges for services not actually rendered other than unkept appointments;
Incorrectly reporting services rendered for the purpose of obtaining payment which is greater than that to which the licensee or the licensee's employer is entitled;
Aiding a recipient of services in fraudulently obtaining payment from a third party; or
Otherwise falsifying a record for the purpose of obtaining a payment.

(15) An OT/L or an OTA/L shall not directly or indirectly request, receive, or participate in the dividing, transferring, assigning, rebating, or refunding of an unearned fee or profit by means of a credit or other valuable consideration as an unearned commission, discount, or gratuity in connection with the furnishing of occupational therapy services.

(16) An OT/L or an OTA/L shall not abuse alcohol or any controlled substance which affects the licensee's ability to engage in the practice of occupational therapy in a safe and competent manner.

(17) An OT/L or an OTA/L shall not verbally or physically abuse a client.

(18)

(a) An OT/L or an OTA/L shall not engage in acts of sexual misconduct with recipients of their services or in their presence.

(b) Sexual misconduct includes:

Engaging in or soliciting a sexual relationship, whether consensual or nonconsensual; or
Making sexual advances, requesting sexual favors, or engaging in other verbal conduct, physical contact, or acts of a sexual nature.

History

RELATES TO: KRS 319A.160, 319A.190
STATUTORY AUTHORITY: KRS 319A.070(1), (3), 319A.190
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the board to promulgate administrative regulations and administer the provisions of KRS Chapter 319A. KRS Chapter 319A provides for the denial, refusal to renew, suspension, revocation, or imposition of probationary conditions upon a license for various violations of the Act and violation of the administrative regulations promulgated pursuant thereto. This administrative regulation sets forth a description of the code of ethics and unprofessional conduct.
History: 13 Ky.R. 1189; eff. 1-13-1987; Am. 15 Ky.R. 1288; eff. 1-7-1989; 20 Ky.R. 1062; 1857; 2325; eff. 2-10-1994; 30 Ky.R. 87; 854; eff. 10-15-2003; 41 Ky.R. 1432; 2077; eff. 5-1-2015; Cert. eff. 4-15-2022.

201 KAR 28:150 Disciplinary proceedings {#sec-201-kar-28-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:150}

Section 1. Definitions. The following definitions, in conjunction with the provisions of 201 KAR 28:010, shall apply to this administrative regulation as well as 201 KAR 28:160:

(1) "Chairman" means the chairman of the board.

(2) "Investigative assistant" means an appropriately licensed individual designated by the board to assist the board's attorney in the investigation of a complaint or an investigator employed by the Attorney General.

(3) "Complaint" means any written allegation alleging misconduct which might constitute a violation of KRS Chapter 319A or the administrative regulations promulgated thereunder by a licensed individual or other person.

(4) "Charge" means a specific allegation contained in a formal complaint issued by the board alleging a violation of a specified provision of KRS Chapter 319A or the administrative regulations promulgated thereunder.

(6) "Hearing officer" means the person designated and given authority by the board to preside over all proceedings pursuant to the issuance of any formal complaint.

(7) "Informal proceedings" means proceedings instituted at any stage of the disciplinary process with the intent of reaching an informal dispensation of any matter without further recourse to formal disciplinary procedures.

Section 2. Reception of Complaints.

(1) Complaints may be submitted by an individual, organization or entity. Complaints shall be in writing and shall be signed by the person offering the complaint. The board may also file a complaint based on information in its possession.

(2) Upon receipt of a complaint, a copy of the complaint shall be sent to the board's attorney for an initial review and preliminary recommendation of subsequent action to the board. A copy of the complaint shall also be sent to the individual named in the complaint along with a request for that individual's response to the complaint. The response of the individual shall be required for the next regularly scheduled meeting of the board except that the individual shall be allowed a period of twenty (20) days from the date of receipt to make a response.

Section 3. Preliminary Recommendations and Initial Board Review.

(1) After the receipt of a complaint and the period for the individual's response has concluded, the board shall consider the preliminary recommendation of the board's attorney, the individual's response, and any other relevant material available to the board in the initial review of the complaint. The determination that the board makes at this point is whether or not there is enough evidence to warrant a formal investigation.

(2) When in the opinion of the board a complaint does not warrant the formal investigation of a complaint against an individual, the board shall notify both the complaining party and the individual of the outcome of the complaint.

(3) When in the opinion of the board a complaint warrants the formal investigation of a complaint against either a licensed individual or a person who is practicing occupational therapy without a license, the board shall authorize its attorney and a designated investigative assistant to investigate the matter and report their findings and recommendations to the board at their earliest opportunity.

Section 4. Results of Formal Investigation; Board Decision on Hearing.

(1) Upon completion of the formal investigation, the board's attorney or the investigative assistant shall report to the board their findings and recommendations as to the proper disposition of the complaint. The determination that the board makes at this point is whether or not there is enough evidence to believe that a violation of the law or administrative regulations may have occurred and that a hearing should be held.

(2) When in the opinion of the board a complaint does not warrant the issuance of a formal complaint and the holding of a hearing, the complaint shall be dismissed or other appropriate action taken. The board shall notify both the complaining party and the individual of the outcome of the complaint.

(3) When in the opinion of the board a complaint warrants the issuance of a formal complaint, the board shall cause a complaint to be prepared stating clearly the charge or charges to be considered at the hearing. The formal complaint shall be signed by the chairman and served upon the individual as required by Section 6 of this administrative regulation.

(4) When in the opinion of the board a complaint warrants the issuance of a formal complaint against a person who is practicing occupational therapy without a license, the board shall cause a complaint to be prepared and signed by the chairman of the board, stating the board's belief the charges are based upon reliable information. The complaint shall be forwarded to the appropriate county attorney with a request that appropriate action be taken under KRS 319A.990. The board may also initiate action in Franklin Circuit Court for injunctive relief to stop the unauthorized practice of occupational therapy.

Section 5. Settlement by Informal Proceedings; Letter of Admonishment.

(1) The board, through counsel 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. Any 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 chairman of the board.

(2) The board may, at any time during this process, issue a letter of admonishment to the individual who is named in the complaint as a means of resolving the complaint. The action may be taken if it is determined by the board that this is an appropriate method of dispensing with the complaint. Such letter of admonishment shall be sent to the individual with a copy placed in the individual's permanent file. Within thirty (30) days of the date of the letter, the individual shall have the right to file a written response to the letter and have it attached to the letter of admonishment and placed in the permanent file. The individual shall also, within thirty (30) days of the date of the letter, have the right to appeal the letter of admonishment and be granted a full hearing on the complaint. If this appeal is requested, the board shall immediately file a formal complaint in regard to the matter and set a date for a hearing.

Section 6. Notice and Service of Process.

(1) Any notice required by the Act or this administrative regulation shall be in writing, dated and signed by the chairman of the board.

(2) 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 of which the board has record or, if known, by such service on the named individual's attorney of record, if appropriate. Refusal of service if by certified mail; or avoidance of service if hand-delivered shall not prevent the board from pursuing proceedings as may be appropriate.

(3) When notice of the initial date for the administrative hearing is given by either the board or the hearing officer, the notice shall be sent to the appropriate person at least twenty (20) days prior to the date of the hearing.

History

RELATES TO: KRS 319A.190
STATUTORY AUTHORITY: KRS 319A.070(3), 319A.190
NECESSITY, FUNCTION, AND CONFORMITY: KRS Chapter 319A authorizes the board to promulgate administrative regulations establishing a procedure by which the board will institute actions against an OTR/L or a COTA/L for violation of the Act, and the administrative regulations promulgated thereto or for professional misconduct. This administrative regulation sets forth the procedure and process by which such complaints shall be instituted.
History: 13 Ky.R. 1191; eff. 1-13-87; Am. 20 Ky.R. 1063; 1859; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 28:160 Administrative hearings {#sec-201-kar-28-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:160}

Section 1. Composition of the Board for Purposes of a Hearing.

(1) Disciplinary actions may be heard by a quorum of the board members eligible to hear that particular case, the board's designated hearing officer, or both.

(4) Staff members of the board, legal counsel for the board and a court stenographer may also be present for the hearing.

Section 2. Rights of the Licensee or Applicant. The licensee or applicant shall have the right to be present and to be heard at the hearing, to be represented by legal counsel, to present evidence, to cross-examine witnesses presented by the board, and to make both opening and closing statements. The licensee or applicant shall also have the right to have subpoenas issued in accordance with KRS 319A.070(2).

Section 3. Prehearing Disclosure of Evidence.

(1) By the board. The names, addresses, and phone numbers of witnesses expected to be called by the board shall be made available upon request of the licensee or applicant. Copies of documentary evidence may be obtained upon the payment of a reasonable charge therefor, except documents protected from disclosure by state or federal law. Nothing in this section shall be construed as giving the licensee or applicant the right to examine or copy the personal notes, observations, or conclusions of the board's investigators nor shall it be construed as allowing access to the work product of legal counsel for the board. The licensee or applicant shall also be permitted to examine any items of tangible evidence in the possession of the board.

(2) By the licensee or applicant. At least ten (10) days prior to the scheduled hearing date the licensee or applicant shall furnish to the investigator or legal counsel for the board copies of any documents which the licensee or applicant intends to introduce at the hearing, and a list of the names, addresses, and home and work telephone numbers of any witnesses to be presented to the board by the licensee or applicant. The licensee or applicant shall also produce for inspection any items of tangible evidence within his possession or control which he intends to introduce at the hearing.

(3) Written response. At least ten (10) days prior to the scheduled hearing date, the licensee or applicant shall also file with the board a sworn (under oath) written response to the specific allegations contained in the notice of charges. Allegations not answered shall be deemed admitted. The board may for good cause permit the late filing of a response.

(4) Sanctions for failure to comply with prehearing disclosure. Should a party fail to comply with this section the board hearing the disciplinary action may refuse to allow into evidence such items or testimony as have not been disclosed, may continue the action to allow the opposing party a fair opportunity to meet the new evidence, or may make other orders as it deems appropriate.

(5) Continuing duty to disclose. After disclosure has been completed, each party shall remain under an obligation to disclose any new or additional items of evidence which the party intends to introduce or witnesses the party intends to have testify. Additional disclosure shall take place as soon as practicable. Failure to disclose may result in the exclusion of the new evidence or testimony from the hearing.

Section 4. Order of Proceeding.

(1) The hearing officer or presiding officer shall call the hearing to order and shall identify the parties to the action and the persons present and shall read the letter of notice and charges. The hearing officer shall then ask the parties to state any objections or motions. The hearing officer shall rule upon any objections or motions, subject to being overridden by a majority vote of the members of the board. Opening statements shall then be made, with the attorney for the board proceeding first. Either side may waive opening statement.

(2) The taking of proof shall commence with the calling of witnesses on behalf of the board. Such witnesses shall be examined first by the attorney for the board, then by the licensee or applicant or that person's attorney, and finally by members of the board. Rebuttal examination of witnesses shall proceed in the same order. Documents or other items may be introduced into evidence as appropriate.

(3) Upon conclusion of the case for the board, the licensee or applicant shall call its witnesses. The witnesses shall be examined first by the licensee or applicant or that person's attorney, then by the attorney for the board, and finally by the members of the board. Rebuttal examination of those witnesses shall proceed in the same order. Again, documents or other evidence may be introduced as appropriate.

(4) At the conclusion of the proof, the parties shall be afforded the opportunity to make a closing statement, with the attorney for the board always proceeding last. The hearing officer may impose reasonable limitations upon the time allowed for opening and closing statements.

(5) The hearing officer shall also be responsible for enforcing the general rules of conduct and decorum and expediting the hearing by keeping the testimony and exhibits relevant to the case.

Section 5. Rules of Evidence.

(1) The board shall not be bound by the technical rules of evidence. The board may receive any evidence which it considers to be reliable, including testimony which would be hearsay if presented in a court of law. Documentary evidence may be admitted in the form of copies or excerpts, and need be authenticated only to the extent that the board is satisfied of its genuineness and accuracy. Tangible items may be received into evidence without the necessity of establishing a technical legal chain of custody so long as the board is satisfied that the item is what it is represented to be and that it is in substantially the same condition as it was at the time of the events under consideration.

(2) The board retains the discretion to exclude any evidence which it considers to be unreliable, incompetent, irrelevant, immaterial or unduly repetitious. Rulings on objections to evidence shall be made by the hearing officer but may be overridden by a majority vote of the eligible members of the board.

Section 6. Decisions by the Board.

(1) Upon the conclusion of the hearing, the board shall retire into closed session for the purpose of deliberations.

(2) At the conclusion of the board's deliberations it shall propose an order based upon the evidence presented. The hearing officer shall draft a proposed order including findings of fact and conclusions of law consistent with the board's deliberations as well as a recommended order to be submitted to the full board.

Section 7. Final Approval by the Board. The board, at its next meeting, or as soon thereafter as may be arranged, shall review the proposed order and consider it for final approval.

Section 8. Continuances; Proceedings in Absentia. It is the policy of the board not to postpone cases which have been scheduled for hearing absent good cause. A request by a licensee or applicant for a continuance may be considered if communicated to the staff reasonably in advance of the scheduled hearing date and based upon good cause. The decision whether to grant a continuance shall be made by the hearing officer or chairman of the board. However, the burden is upon the licensee or applicant to be present at a scheduled hearing. Failure to appear at a scheduled hearing for which a continuance has not been granted in advance shall be deemed a waiver of the right to appear and the hearing shall be held as scheduled.

History

RELATES TO: KRS 319A.190, 319A.200
STATUTORY AUTHORITY: KRS 319A.070(3), 319A.190
NECESSITY, FUNCTION, AND CONFORMITY: KRS Chapter 319A and KRS 319A.190 provide for promulgation of administrative regulations governing the conduct of administrative hearings authorized by the Act. This administrative regulation sets forth the procedure by which such hearings are to be conducted.
History: 13 Ky.R. 1193; eff. 1-13-87; Am. 20 Ky.R. 1066; 1860; 2327; eff. 2-10-94; Crt eff. 2-21-2020.

201 KAR 28:170 Deep physical agent modalities {#sec-201-kar-28-170 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:170}

Section 1. Definition. "DPAM Specialty Certification" means the certification issued to a Kentucky-licensed occupational therapist or licensed occupational therapy assistant who meets the standards set forth in KRS 319A.080 and this administrative regulation and who has been certified by the board.

Section 2. Application. A licensee, before utilizing deep physical agent modalities, shall submit to the board a DPAM Specialty Certification Application.

(1) The application shall be accompanied by:

(a) Payment of the certification fee of twenty-five (25) dollars as required by KRS 319A.170(1)(c); and

(b) Proper documentation that the applicant has met all educational and clinical requirements for certification which shall include:

Successful completion of the requisite hours of training and instruction required by KRS 319A.080(4) for the level of licensure held by the applicant; and
Successful completion of the five (5) treatment sessions that are signed off by the DPAM supervisor and meet the requirements specified in Section 4 of this administrative regulation.

(2) The documentation shall include:

(a) The name and address of the person or organization presenting the course, workshop, seminar, or training attended by the applicant;

(b) A copy of the course syllabus or a description of the course, workshop, or seminar which includes a summary of the learning objectives and teaching methods employed in the course, workshop, or seminar, a timed agenda of the course, workshop, or seminar with the content areas identified in Section 3(2)(a) to (j) of this administrative regulation clearly detailed within the timeframes, the qualifications of the instructors, and KBLOT course approval documentation provided by the board to the person or organization presenting the course, workshop, or seminar;

(c) The name, address, and credentials of the person identified as the DPAM supervisor who supervised the five (5) treatment sessions;

(d) Proof of successful completion of the training or course of instruction required by KRS 319A.080(4); and

(e) A statement signed by the DPAM supervisor confirming that the applicant has completed five (5) supervised treatment sessions and that the criteria set forth in Section 4 of this administrative regulation have been met.

(3) A DPAM Specialty Certification shall be issued by the board before the individual can begin using deep physical agent modalities except when a qualified licensee is performing those modalities as part of a supervised program to complete the five (5) supervised treatment sessions required for a DPAM Specialty Certification under this administrative regulation.

(4) The board shall maintain a roster of persons who have been issued DPAM Specialty Certification for the use of deep physical agent modalities.

Section 3. Training and Instruction.

(1) The training and instruction shall be earned by direct personal participation in courses, workshops, or seminars.

(2) The content of the courses, workshops, or seminars shall include hands on training and instruction. Training shall not consist of all on-line courses that do not provide hands on lab instruction. Training shall include the following subject areas:

(a) Principles of physics related to specific properties of light, water, temperature, sound, and electricity;

(b) Physiological, neurophysiological, and electrophysiological changes which occur as a result of the application of each of the agents identified in KRS 319A.010(8);

(c) Theory and principles of the utilization of deep physical agents which includes guidelines for treatment or administration of agents within the philosophical framework of occupational therapy;

(d) The rationale and application of the use of deep physical agents;

(e) The physical concepts of ion movement;

(f) Critical thinking and decision making regarding the indications and contraindications in the use of deep physical agents;

(g) Types selection and placement of various agents utilized;

(h) Methods of documenting the effectiveness of immediate and long-term effects of interventions;

(i) Characteristics of equipment including safe operation, adjustment, and care of the equipment; and

(j) Application and storage of specific pharmacological agents.

(3) The training and instruction shall include at a minimum eight (8) hours for an OTA/L and four (4) hours for an OT/L of hands on laboratory experience using DPAMs.

(4) All courses, workshops, or seminars utilized for DPAM Specialty Certification shall meet the requirements of subsection (2)(a) to (j) of this section, be at least four (4) hours in length, and be approved by the board.

(5) A person or organization who is seeking board approval for training and instruction for DPAM courses, workshops, or seminars which are intended to meet the requirements of KRS 319A.080(4) shall submit a DPAM Course, Workshop, or Seminar Provider Approval Application Form to the board prior to the first occurrence of the DPAM course, workshop, or seminar. Once approved by the board, a DPAM course, workshop, or seminar may occur multiple times throughout the year of approval. A DPAM course, workshop, or seminar approval shall expire one (1) year after the approval date. A new DPAM Course, Workshop, or Seminar Provider Approval Application Form shall be submitted to the board on an annual basis.

Section 4. Supervised Treatment Sessions.

(1) The supervised treatment sessions required for DPAM Specialty Certification shall be sufficiently detailed to allow the DPAM supervisor to determine that the supervisee has demonstrated the following skills:

(a) The ability to evaluate or contribute to the evaluation of the client, depending upon the applicant's licensure status as an OT/L or an OTA/L and make an appropriate selection of the deep physical agent to be utilized;

(b) A thorough knowledge of the effects of the deep physical agent which is to be utilized;

(d) The ability to formulate and justify the occupational therapy intervention plan specifically delineating the adjunctive strategy associated with the use of each deep physical agent;

(e) The capability to safely and appropriately administer the deep physical agent;

(f) The ability to properly document the parameters of intervention which include the client's response to treatment and the recommendations for the progression of the intervention process; and

(g) The skills identified in paragraphs (d) and (f) of this subsection are not applicable to an OTA/L's practice and an OTA/L is not required to demonstrate the skill in a supervised treatment session.

(2) The supervised treatment sessions shall include one (1) session for each of the following areas:

(a) Iontophoresis;

(b) Ultrasound; and

(3) The remaining two (2) sessions may cover any deep physical agent identified in KRS 319A.010(8) including those identified in subsection (2)(a) to (c) of this section.

(4) Supervised treatment sessions may be completed in a laboratory portion of an instructional course, provided that the instructor meets the board's requirements for a DPAM supervisor and that all of the requirements of this administrative regulation have been met.

(5) Treatment sessions shall be completed under the direct supervision of an OT/L who meets the requirements of subsection (6) of this section and is approved by the board.

(6) Before an OT/L may be a DPAM supervisor for the treatment sessions specified in this administrative regulation, he or she shall:

(a) Have a DPAM Specialty Certification issued by the board;

(b) Be in good standing with the board;

(d) Have one (1) year of clinical experience in the use of deep physical agent modalities.

(7) Individuals other than OT/Ls who have previously been approved as a DPAM supervisor under this administrative regulation shall maintain the status as a DPAM supervisor until June 1, 2015. After this time, only OT/Ls who meet the requirements of subsection (6) of this section shall remain active DPAM supervisors and be approved by the board.

(8) The issuance of the DPAM specialty certification by the board only shows that the applicant has met the minimum requirements of KRS 319A.080(4)(a). It shall be the duty of the individual licensee to determine his or her competency to provide a specific DPAM for a client.

Section 5. An OTA/L certified to use DPAMs under this administrative regulation may only use DPAMs when supervised by an OT/L certified to use DPAMs under this administrative regulation.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "DPAM Specialty Certification Application", Form OTB-5, September 2018;

(b) "DPAM Course, Workshop, or Seminar Provider Approval Application Form", Form OTB-6, September 2018; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensure for Occupational Therapy, Department of Professional Licensing, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 319A.010(8), 319A.080(4), 319A.170(1)(c)
STATUTORY AUTHORITY: KRS 319A.070(1), (3)(a), 319A.080(4)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the board to promulgate administrative regulations to administer the provisions of KRS Chapter 319A. KRS 319A.080(4) requires the board to promulgate administrative regulations to set forth content guidelines for the training and instruction necessary for the use of deep physical agent modalities. This administrative regulation establishes the requirements for obtaining certification in deep physical agent modalities.
History: 201 KAR 028:170. 29 Ky.R. 591; Am. 923; eff. 9-18-2002; 30 Ky.R.976; 1780; 1927; eff. 2-16-2004; 41 Ky.R. 1436; 2080; eff. 5-1-2015; 45 Ky.R. 1341, 1855; eff. 2-1-2019; TAm eff. 10-16-2020; Crt eff. 10-13-2025.

201 KAR 28:190 Occupational therapy low-vision and visual-therapy services {#sec-201-kar-28-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:190}

Section 1. Definitions.

(1) "Clinical treatment plan" means the visually related rehabilitative treatment plan.

(2) "Independent diagnostic evaluation" means the use of measurement instruments, devices and procedures or administering and interpreting of specialized-vision devices that are utilized to differentiate signs and symptoms, discover or identify a diseased or limiting visual condition. These evaluations pertain to visual functioning of eyesight, eye health, eye teaming and eye motility or the determination of need for glasses, contact lenses, medical treatment or surgery.

(3) "Low-vision services" means occupational therapy services designed for the purpose of maximizing the use of residual vision in order to maintain or restore function in daily life roles and activities. Low-vision services include:

(a) Occupational profiling, analysis of occupational performance, and intervention planning that focuses on adapting or altering environments and processes and the implementation of the intervention plan; and

(b) Training in the use of assistive technology for the purpose of improving performance skills and performance abilities in basic and instrumental activities of daily living, work or productive activities, play, and leisure.

(4) "Testing and prescription of optical, electronic, or assistive technology low-vision devices" means the evaluation, assessment, and prescription of devices for achieving the best visual correction and the prescription of low-vision devices that allow an individual with low vision to perform essential tasks, but does not include the training and instruction in the use of nonprescription assistive technology devices.

(5) "Visual-therapy services" means occupational therapy services designed for the purpose of maximizing visual perceptual components of performance in order to restore or maintain daily life roles and activities.

(6) "Visually related rehabilitative treatment plan" means a comprehensive vision plan of care for the rehabilitation and treatment of the visually-impaired or legally-blind individual which is developed by the optometrist, ophthalmologist, or physician after the evaluation and diagnosis of the individual client and which includes a general description of the low-vision services and the visual-therapy services that are to be provided by the OT/L. A visually-related rehabilitative treatment plan is periodically reviewed by the optometrist, ophthalmologist, or physician.

Section 2. Provision of Low-vision and Visual-therapy Services.

(1) An OT/L shall not develop a visually-related rehabilitation plan, but an OT/L may provide low-vision or visual-therapy services to a client as prescribed in writing by an optometrist, ophthalmologist, or physician who has personally examined and evaluated the client for low vision rehabilitation services and who has referred the client to the OT/L.

(2)

(a) The low-vision or visual-therapy services which an OT/L may provide shall include:

Adapting environments and processes; and
Training in the use of assistive technology for the purpose of improving performance skills and performance abilities in basic and instrumental activities of daily living, work or productive activities and play and leisure.

(b) Low-vision and visual-therapy services shall not include independent diagnostic vision evaluations or the development of a comprehensive vision plan for the rehabilitation and treatment for individuals with visual impairments.

(3) An OT/L who is providing low-vision services or visual-therapy services under the direct supervision of an optometrist, ophthalmologist, or physician shall ensure that:

(a) The optometrist, ophthalmologist, or physician is always available in the OT/L's place of employment or place where the services are offered to a client; or

(b) The optometrist, ophthalmologist, or physician is available to the OT/L but not necessarily within the individual's place of employment or place where the services are offered to a client if all of the following conditions are met:

A client shall be accepted for treatment only on the order of an optometrist, ophthalmologist, or physician who has the sole authority to develop a visually related rehabilitative treatment plan for the client;
A client shall be seen by an optometrist, ophthalmologist, or physician at least once every thirty (30) days unless another time is justified and documented by the optometrist, ophthalmologist, or physician in the client's record;
For each client there shall be a written occupational profile, an analysis of occupational performance, and an intervention plan which is developed by the OT/L in consultation with the optometrist, ophthalmologist, or physician making the referral;
The intervention plan shall be reviewed by the referring optometrist, ophthalmologist, or physician once every thirty (30) days unless another time is justified and documented by the optometrist, ophthalmologist, or physician in the client's record; and
The optometrist, ophthalmologist, or physician shall be promptly notified of any changes in the client's condition.

(4) An OT/L who has reason to believe that a client may require independent diagnostic evaluation shall advise the client to return to the referring optometrist, ophthalmologist, or physician and further communicate this information to the optometrist, ophthalmologist, or physician.

(5) The OT/L who provides low-vision or visual-therapy services shall not deviate from the referral or written evaluation and clinical treatment plan from the optometrist, ophthalmologist, or physician without consultation, approval from the individual who made the initial referral, and documentation of the same.

(6) The OT/L shall notify the referring optometrist, ophthalmologist, or physician of the occupational therapy intervention goals and the client's outcomes from occupational therapy services.

(7) An OT/L who provides school-based occupational therapy services may perform tasks as developed in a student's Individual Education Program (IEP) that are developed, reviewed and revised for the student from birth to age twenty-one (21) in accordance with 707 KAR 1:320 or First Steps intervention under KRS 200.654 to 200.670. If there is some indication that a child may have visual impairments, the OT/L shall make a referral to an optometrist, ophthalmologist, or physician.

History

RELATES TO: KRS 200.654-200.670, 319A.090(3)
STATUTORY AUTHORITY: KRS 319A.070(3), 319A.090(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.090(3) requires the board to promulgate administrative regulations related to the provision of occupational therapy low-vision and visual-therapy services, in collaboration with the Kentucky Board of Optometric Examiners. This administrative regulation sets forth the requirements for an occupational therapist to provide occupational therapy low-vision and visual-therapy services as authorized by KRS 319A.090(3).
History: 32 Ky.R. 173; 867; eff. 11-16-2005; Crt eff. 2-21-2020.

201 KAR 28:200 Continuing competence {#sec-201-kar-28-200 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:200}

Section 1. Definitions.

(1) "CCU" means continuing competence unit.

(2) "Contact hour" means sixty (60) minutes engaged in a learning activity, excluding meal, breaks, and registration.

(3) "Continuance competence unit" means an assigned unit of measure for each continuing competence activity for which the values are given in Section 3 of this administrative regulation.

(4) "Continuing competence" means a dynamic, multidimensional process to develop and maintain the knowledge, skills, inter personal abilities, and critical and ethical reasoning necessary to perform occupational therapy professional responsibilities. Continuing competence activity for which the values are given in Section (5) of this administrative regulation.

(5) "Training program in suicide assessment, treatment, and management" means six (6) or more hours of continuing education pre-approved by the board that contains educational objectives set forth in KRS 210.366.

Section 2. Continuing Competence Requirements.

(1) A licensee applying for license renewal shall complete a minimum of twelve (12) CCUs of qualified activities for maintaining continuing competence during the preceding annual renewal period.

(2) A licensee who is issued a license for a period less than twelve (12) months shall prorate the number of CCUs to one (1) CCU for each month licensed.

(3) An applicant for reinstatement or licensure who was previously licensed by the board and whose license has been put on inactive status, revoked, or expired for three (3) years or less from the time the application is filed shall obtain twelve (12) CCUs of qualified activities for maintaining continuing competence for each year in which the license has been in the status prior to receiving the license.

(4) An applicant for licensure who was previously licensed by the board and whose license has lapsed for more than three (3) years shall obtain thirty-six (36) CCUs of qualified activities for maintaining continuing competence.

(5) At least once every six (6) years from date of initial license issue or from date of last completed training program in suicide assessment, treatment, and management that is pre-approved by the board, each licensee shall complete a training program in suicide assessment, treatment, and management that is pre-approved by the board.

Section 3. Qualified Activities for Maintaining Continuing Competence. The following activities qualify for the continuing competence requirements of this administrative regulation:

(1) Continuing education courses.

(a) A licensee may earn one (1) CCU for each contact hour in continuing education courses including workshops, seminars, conferences, electronic courses, or self-study courses.

(b) Documentation for this activity shall include a certificate of completion or similar documentation including:

Name of course, date, and the author or instructor;
Name of sponsoring organization and the location of the course; and
The number of contact hours attended.

(c) A training program in suicide assessment, treatment, and management shall meet the requirements established in Section 2(5) of this administrative regulation.

(2) Employer provided in-service training.

(a) A licensee may earn one (1) CCU for each contact hour of in-service training provided to the licensee by the licensee's employer.

(b) No more than six (6) CCUs of employer-provided training may be counted towards the total number of required CCUs. If an employer hosts continuing education courses open to practitioners outside of the organization, these courses shall fall under subsection (1) of this section.

(c) Training that deals with issues completely unrelated to the practice of occupational therapy that are required for employment compliance standards shall not be counted toward the continuing competence requirements.

(d) Documentation for this activity shall include a certificate of completion or similar documentation including:

Name of course, date, and the instructor;
Name of providing organization and the location of the course; and
The number of contact hours attended.

(e) In-service training is structured training that is offered to an employee and that is intended to maintain or enhance the employee's job performance or to meet requirements that are imposed on the employer by a credentialing body.

(3) Academic coursework.

(a) Participation in on-site or distance learning academic courses from a university, college, or vocational technical adult education course related to the practice of occupational therapy shall be counted towards the requirements of this administrative regulation.

(b) A licensee may earn six (6) CCUs per credit hour.

An official transcript indicating successful completion of the course and the date on which the course was taken; and
A description of the course from the school catalogue or course syllabus.

(4) Independent study.

(a) Independent study may include reading books, journal articles, reviewing videos, and activities of a similar nature.

(b) A licensee may earn one (1) CCU for one (1) contact hour spent in an independent study activity.

Title, author, and publisher of the material;
The time spent on the material;
The date of completion; and
A statement that describes how the activity relates to a licensee's current or anticipated roles and responsibilities.

(d) No more than six (6) CCUs from this category shall be counted toward the total.

(5) Mentorship.

(a) Credit may be earned by each participant in a formalized mentorship agreement defined by a signed contract between the mentor and mentee that outlines specific goals and objectives and designates the plan of activities for the participants.

(b) A licensee may earn one (1) CCU for five (5) contact hours spent in activities directly related to achievement of goals and objectives under a mentorship agreement.

The name of mentor and mentee;
A copy of a signed agreement;
The dates, hours spent and focus of mentorship activities; and
A statement outlining the outcomes of mentorship agreement.

(6) Fieldwork supervision.

(a) Credit may be earned by participation as the primary clinical fieldwork educator for an OT or OTA fieldwork student.

(b) A licensee may earn one (1) CCU per forty (40) hours of supervision for each fieldwork student supervised.

A written verification from the school to the fieldwork educator with the name of student, school, and dates of fieldwork or the signature page of the completed student evaluation form.
Evaluation scores and comments that are deleted or blocked out.

(7) Professional writing.

(a) Credit may be earned by the publication of a book, chapter, or article.

(b) A licensee may earn:

Twelve (12) CCUs as an author of a book;
Six (6) CCUs as an editor of a book;
Six (6) CCUs as author of a chapter;
Four (4) CCUs as author of a peer reviewed article;
Two (2) CCUs as author of a nonpeer reviewed article;

(c) Documentation for this activity shall consist of full reference for publication including, title, author, editor, and date of publication; or copy of acceptance letter if not yet published.

(8) Professional presentations and instruction.

(a) Credit may be earned by the presentation of academic guest lectures, state or national workshops or conferences, and employer-provided in-service training for OT/Ls or OTA/Ls.

(b) A licensee may earn two (2) CCUs for each hour of credit that is awarded for an activity.

(c) Documentation for this activity shall include a copy of official program, schedule, or syllabus including presentation title, date, hours of presentation, and type of audience or verification of that signed by the sponsor.

(9) Research.

(a) Credit may be earned for the development of or participation in extensive scholarly research activities or extensive outcome studies.

(b) A licensee may earn one (1) CCU for one (1) contact hour spent working on a research project.

(c) Documentation for this activity shall include verification from the primary investigator indicating the name of research project, dates of participation, major hypotheses or objectives of the project, and licensee's role in the project.

(10) Grants.

(a) Credit may be earned for the development of a grant proposal.

(b) A licensee may earn one (1) CCU for one (1) contact hour spent working on a grant proposal.

(c) Documentation for this activity shall include name of grant proposal, name of grant source, purpose and objectives of the project, and verification from the grant author regarding licensee's role in the development of the grant if not the author.

(11) Professional meetings and activities.

(a) Participation in board or committee work with agencies or organizations in professionally related areas to promote and enhance the practice of occupational therapy may be counted toward the requirements of this administrative regulation.

(b) A licensee may earn one (1) CCU for five (5) contact hours on a committee or board.

The name of the committee or board, name of the agency or organization, purpose of service, and description of licensee's role; and
The participation shall be validated by an officer or representative of the organization or committee.

(d) No more than six (6) CCUs from this category shall be counted toward the total.

(12) Specialty certifications.

(a) The board shall recognize completion of activities that result in an advanced competence credential or specialty certification earned or recertified during the current renewal period.

(b) A licensee may earn up to twelve (12) CCUs for each advanced competence recognition or specialty certification credential earned or recertified during a renewal period.

(c) Documentation for this activity shall include a certificate of completion that identifies satisfactory completion of requirements for obtaining advanced competence recognition or specialty certification.

(13) Continuing competence plan.

(a) A licensee may earn two (2) CCUs for completion of activities related to the development and implementation of a continuing competence plan for professional development.

(b) Documentation for this activity shall include a signed document by the licensee attesting to the fact that he or she has used a formal assessment process which included the establishment of professional development goals and objectives and a portfolio approach to organize and document continuing competence activities related to the licensee's plan.

(14) Volunteer services.

(a) Credit may be earned by participation in volunteer services performed for organizations, populations, or individuals if the services maintain or enhance the licensee's competence in professional skills in the practice of occupational therapy.

(b) A licensee may earn one (1) CCU for each five (5) contact hours.

(c) Documentation for this activity shall include verification letter from organizations and report of outcomes of services provided.

(d) No more than six (6) CCUs from this category shall be counted toward the total.

Section 4. Approval of Courses for Continuing Education Credit under Section 3(1) of this administrative regulation.

(1) A continuing education course shall be current in subject matter and relevant to the practice of occupational therapy.

(2) A continuing education course under Section 3(1) of this administrative regulation shall qualify for credit under this administrative regulation if it is approved by one of the following methods:

(a) The board shall approve a course or provider of a course that is administered or approved by:

A recognized national, state, or local occupational therapy association;
An accredited health care organization or facility; or
An accredited college or university.

(b) A continuing education course provider who does not come within the provisions of paragraph (a) of this subsection shall submit the following information to the board using the Application for Continuing Education Program Approval (Course Providers), at least ninety (90) days prior to the presentation of the course:

A thorough course description;
A statement of the projected learning outcomes;
A statement of the target audience;
The content focus of the course;
A detailed agenda for the activity;
A statement of the number of contact hours requested;
A listing of the presenters and their qualifications; and
A sample of the certificate of completion awarded to successful attendees.

(c) A licensee who does not come within the provisions of paragraph (a) or (b) of this subsection shall submit the following information to the board using the Application for Continuing Education Program Approval (Course Providers):

A thorough course description;
A statement of the achieved learning outcomes;
The content focus of the course;
A detailed agenda for the activity;
A statement of the number of contact hours requested;
A listing of the presenters and their qualifications; and
A sample of the certificate of completion awarded to successful attendees.

Section 5. Waiver of Requirements. Under extenuating circumstances, the board may waive all or part of the continuing competence activity requirements of this administrative regulation if an occupational therapist or occupational therapy assistant submits written request for a waiver and provides evidence to the satisfaction of the board of an illness, injury, family hardship, active military service, or other similar extenuating circumstance which precluded the individual's completion of the requirements on a case-by-case basis.

Section 6. Documentation and Reporting Procedures.

(1) A licensee shall maintain the required proof of completion for each continuing competence activity as specified in this administrative regulation.

(2) The required documentation shall be retained by the licensee for a minimum of one (1) year following the last day of the license renewal period for which the continuing competence activities were earned.

(3) A licensee shall not send his or her continuing competence activity documentation to the board unless audited under Section 7 of this administrative regulation or otherwise requested by the board.

Section 7. Audit of Continuing Competence Activities.

(1) The board shall perform a random audit of up to ten (10) percent of all licensees who shall be required by the board to furnish documentation of the completion of the appropriate number of continuing education hours for the current renewal period.

(2) A licensee who is audited shall respond to the audit within sixty (60) days of the date of the request.

(3) A licensee who fails to comply with the continuing competence activity requirements of this administrative regulation may be subject to disciplinary action that may include suspension or revocation of license.

Section 8. Other Provisions.

(1) A licensee may not carry over continuing competence activity CCUs from one (1) licensure period to the next.

(2) A licensee may not receive credit for completing the same continuing competence activity more than once.

Section 9. Incorporation by Reference.

(1) "Application for Continuing Education Program Approval (Course Providers)", September 2016, is incorporated by reference.

History

RELATES TO: KRS 210.366, 319A.070(3)(d), 319A.160
STATUTORY AUTHORITY: KRS 319A.070(3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070 (3) authorizes the board to promulgate administrative regulations and to establish the requirements for continuing competence. This administrative regulation sets forth the requirements for licensees to demonstrate continuing competence.
History: 30 Ky.R. 130; 855; eff. 10-15-2003; 41 Ky.R. 1440; 2082; eff. 5-1-2015; 44 Ky.R. 124, 1216; eff. 1-5-2018; TAm eff. 10-16-2020; Cert eff. 11-22-2024.

201 KAR 28:220 Per diem of board members {#sec-201-kar-28-220 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:220}

Section 1. Each member of the board shall receive a per diem of $200 for attending each meeting of the board or otherwise representing the board.

History

RELATES TO: KRS 319A.030
STATUTORY AUTHORITY: KRS 319A.030, 319A.070(1), (3)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the board to promulgate administrative regulations and administer the provisions of KRS Chapter 319A. KRS 319A.030 authorizes board members to receive a per diem as provided by law for members of state boards, commissions, and committees. This administrative regulation sets out the per diem amount members will receive when required to represent the board or attend its meetings.
History: 33 Ky.R. 1214; eff. 12-11-2006; Am. 41 Ky.R. 1443; eff. 5-1-2015; Cert. eff. 4-15-2022.

201 KAR 28:235 Telehealth occupational therapy services {#sec-201-kar-28-235 omnilex-key=us-ky-regs-official--title-201--201 KAR 28:235}

Section 1. Definitions.

(1) "Client" means the person receiving the services of the occupational therapist.

(2) "Telehealth is defined by KRS 319A.300(3).

(3) "Telehealth occupational therapy" means the practice of occupational therapy as defined by KRS 319A.010(2), between the occupational therapist or occupational therapist assistant and the patient that is provided using:

(a) An electronic communication technology; or

(b) Two (2) way, interactive, simultaneous audio and video.

Section 2. Client Requirements. A credential holder using telehealth to deliver occupational therapy services shall, upon initial contact with the client:

(1) Make attempts to verify the identity of the client;

(2) Obtain alternative means of contacting the client other than electronically such as by the use of a telephone number or mailing address;

(3) Provide to the client alternative means of contacting the credential holder other than electronically such as by the use of a telephone number or mailing address;

(4) Provide contact methods of alternative communication the credential holder shall use for emergency purposes such as an emergency on call telephone number;

(5) Document if the client has the necessary knowledge and skills to benefit from the type of telehealth provided by the credential holder;

(6) Use secure communications with clients, including encrypted text messages via e-mail or secure Web sites, and not use personal identifying information in non-secure communications and;

(7) Inform the client in writing about:

(a) The limitations of using technology in the provision of telehealth occupational therapy services;

(b) Potential risks to confidentiality of information, or inadvertent access of protected health information, due to technology in the provision of telehealth occupational therapy services;

(d) When and how the credential holder will respond to routine electronic messages;

(e) In what circumstances the credential holder will use alternative communications for emergency purposes;

(f) Who else may have access to client communications with the credential holder;

(g) How communications can be directed to a specific credential holder;

(h) How the credential holder stores electronic communications from the client; and

(i) How the credential holder may elect to discontinue the provision of services through telehealth.

Section 3. Competence, Limits on Practice, Maintenance, and Retention of Records. A credential holder using telehealth to deliver occupational therapy services or who practices telehealth occupational therapy shall:

(1) Limit the practice of telehealth occupational therapy to the area of competence in which proficiency has been gained through education, training, and experience;

(2) Maintain current competency in the practice of telehealth occupational therapy through continuing education, consultation, or other procedures, in conformance with current standards of scientific and professional knowledge;

(3) Document the client's presenting problem, purpose, or diagnosis;

(4) Follow the record-keeping requirements of 201 KAR 28:140; and

Section 4. Compliance with Federal, State, and Local Law. A credential holder using telehealth to deliver occupational therapy services or who practices telehealth occupational therapy shall comply with:

(1) State law where the credential holder is credentialed and be licensed to practice occupational therapy where the client is domiciled or adhere to standards set forth in 201 KAR 28:030; and

(2) Section 508 of the Rehabilitation Act, 29 U.S.C. 794(d), to make technology accessible to a client with disabilities.

Section 5. Representation of Services and Code of Conduct.

(1) A credential holder using telehealth to deliver occupational therapy services or who practices telehealth occupational therapy shall:

(a) Not by or on behalf of the credential holder engage in false, misleading, or deceptive advertising of telehealth occupational therapy;

(b) Comply with 201 KAR 28:140; and

(2) Occupational therapy continuing competence educational processes established in 201 KAR 28:200, Section 3(1), (2), (3), (5), (8), and (11), may occur through telehealth services.

History

RELATES TO: KRS 319A.080, 319A.300
STATUTORY AUTHORITY: KRS 319A.070, 319A.300
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319A.300(2) requires the board to promulgate an administrative regulation to implement telehealth in occupational therapy, including to establish procedures to prevent abuse and fraud through the use of telehealth, prevent fee-splitting through the use of telehealth, and utilize telehealth in the provision of occupational therapy services and in the provision of continuing education. Additionally, KRS 319A.300(1) requires an occupational therapist utilizing telehealth to ensure a patient's informed consent and to maintain confidentiality. This administrative regulation establishes the requirements for telehealth for occupational therapy services.
History: 44 Ky.R. 164, 1219; eff. 1-5-2018; Cert to Am, filing deadline 5-22-2026.

Chapter 29 Board of Respiratory Care

201 KAR 29:010 Activities under limited mandatory certification {#sec-201-kar-29-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:010}

Section 1. To be eligible for limited mandatory certification as a respiratory care practitioner, the applicant shall:

(1) Be actively enrolled in an accredited program as defined by KRS 314A.010(5);

(2) Have documented competency in a minimum of six (6) of the following areas as it relates to KRS 314A.010(8):

(a) Oxygen therapy;

(b) Assessment of patients cardiopulmonary status;

(d) Ethics of respiratory care and medical care;

(e) Humidity therapy;

(f) Aerosol therapy;

(g) Airway clearance techniques;

(h) Chest physiotherapy;

(i) Gas therapy; and

(j) Arterial puncture; and

(3) Submit documentation of authorization of employment on the Application for Limited Mandatory Certificate by the director of the applicant's educational program and also by the appropriate supervisory personnel in the health care facilities in which the applicant intends to practice respiratory care.

Section 2. Upon completion of the accredited program, the holder of a limited mandatory certificate shall apply for a temporary mandatory certificate or a mandatory certificate by completing the Application for Mandatory Certification as a Respiratory Care Practitioner.

Section 3. As used in KRS 314A.110(3), "Continuous mechanical ventilatory support" means the establishment, management, or termination of mechanical ventilation, and "physiological ventilatory support" means bringing fresh air for gas exchange into the lungs and to allow for the exhalation of air that contains carbon dioxide. A person holding a limited mandatory certificate shall be prohibited from performing these functions, as well as blood gas analysis. Persons holding a limited mandatory certificate may perform any other respiratory care procedure or function for which they have received training, if they are done under the supervision of an individual holding mandatory certification by this board.

Section 4. A person shall not practice under a limited mandatory certificate if they have been previously approved by the board for a temporary certificate.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Limited Mandatory Certificate", 4/17/2025; and

(b) "Application for Mandatory Certification as a Respiratory Care Practitioner", 4/17/2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Respiratory Care, 1714 Perryville Road, Suite 200, Danville, Kentucky 40422, Monday through Friday, 8 a.m. to 4:30 p.m. EST. This material is also available at https://kbrc.ky.gov/Pages/Applications-and-Forms.aspx#apps.

History

RELATES TO: KRS 314A.110, 314A.112
STATUTORY AUTHORITY: KRS 314A.112, 314A.205(3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.205 requires the board to evaluate the qualification of candidates for mandatory certification and to establish guidelines to make evaluations. This administrative regulation lists the qualifications for limited mandatory certification and clarifies requirements as well as the types of activities which are permissible by persons holding limited mandatory certification.
History: 201 KAR 029:010. 17 Ky.R. 2918; eff. 4-11-91; 27 Ky.R. 3130; 28 Ky.R. 68; eff. 7-16-2001; 29 Ky.R. 509; eff. 10-16-2002; 32 Ky.R. 2326; eff. 9-1-06; TAm 8-2-2013; Crt eff. 12-6-2019; 52 Ky.R. 461; eff. 1-22-2026.

201 KAR 29:015 Fees {#sec-201-kar-29-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:015}

Section 1. Application and Certification Fees Schedule.

(1) The application and certification fee for mandatory certification shall be $150.

(2) The application and certification fee for temporary mandatory certification shall be $102.

(3) The application and certification fee for limited mandatory certification shall be sixty (60) dollars.

Section 2. Renewal Fees.

(1) A person holding a mandatory certificate wishing to renew the mandatory certificate shall submit:

(a) A completed Application for Renewal; and

(b) The appropriate renewal fee:

For active mandatory certification, $135.
For inactive mandatory certification, fifty (50) dollars.

(2) All mandatory certificates not renewed by January 30 shall be deemed expired. For certificates that expire if not renewed on or before January 30 of even numbered years, the renewal period shall begin on November 1 of each odd numbered calendar year and shall end on January 30 of the next year. For certificates that expire if not renewed on or before January 30 of odd numbered years, the renewal period shall begin on November 1 of each even numbered calendar year and shall end on January 30 of the next year.

(3) Temporary mandatory certificates and limited mandatory certificates shall be ineligible for renewal.

(4) For any active duty military personnel, or the spouse of any active duty military personnel, the board waives the application fee for an initial mandatory certificate to practice respiratory care in the Commonwealth of Kentucky so long as the application is made pursuant to KRS 314A.110(4), and the applicant is duly authorized to practice in another state, is in good standing in that state, and holds an RRT or CRT credential issued by the National Board for Respiratory Care, or its equivalent.

Section 3. Reactivation and Reinstatement.

(1) A certificate holder wishing to reactivate an inactive certificate shall submit:

(a) A completed Application for Reactivation; and

(b) The $135 reactivation fee.

(2) A certificate holder wishing to reinstate an expired certificate shall submit:

(a) A completed Application for Reinstatement; and

(b) The $200 reinstatement fee.

Section 4. All fees shall be nonrefundable.

Section 5. Fees set forth in this administrative regulation shall not be prorated based upon the date of receipt or processing of the application; however, if approval of an application for reactivation or reinstatement occurs during a certificate holder's renewal period, the reactivation or reinstatement shall satisfy renewal requirements for that renewal period.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Reactivation", 4/17/2025;

(b) "Application for Reinstatement", 4/17/2025;and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Respiratory Care, 1714 Perryville Road, Suite 200, Danville, Kentucky 40422, Monday through Friday, 8:00 a.m. to 4:30 p.m. EST. This material is also available at https://kbrc.ky.gov/Pages/Applications-and-Forms.aspx#apps.

History

RELATES TO: KRS 314A.110, 314A.112, 314A.215, 314A.220
STATUTORY AUTHORITY: KRS 314A.205, 314A.220
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.205(3) requires the board to promulgate administrative regulations to carry out the provisions of KRS Chapter 314A. KRS 314A.205(6) and 314A.220(2) require the board to establish appropriate and reasonable fees for mandatory certification and to periodically review and modify those fees. This administrative regulation establishes all fees charged by the board.
History: 201 KAR 029:015. 19 Ky.R. 1244; eff. 12-16-1992; 32 Ky.R. 2327; 33 Ky.R. 385; eff. 9-1-2006; 42 Ky.R. 2628; 43 Ky.R. 198; eff. 8-17-2016; Crt eff. 12-6-2019; 46 Ky.R. 1007; eff. 12-9-2019; 52 Ky.R. 463, 955; eff. 1-22-2026.

201 KAR 29:020 Code of ethics; unprofessional conduct {#sec-201-kar-29-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:020}

Section 1. The following code of ethics consists of general guidelines which embody certain standards of practice for the respiratory care practitioner. The respiratory care practitioner shall practice within the parameters of this code of ethics. The respiratory care practitioner shall:

(1) Continually strive to increase and improve their knowledge and skill and render to each patient the full measure of their ability;

(2) Provide services with respect for the dignity of the patient, unrestricted by considerations of social or economic status, personal attributes, or the nature of health problems;

(3) Be responsible for the competent and efficient performance of their assigned duties and shall expose incompetence and illegal or unethical conduct of members of the profession;

(4) Hold in strict confidence all privileged information concerning any patient, except as authorized or required by law, and refer all inquiries to the physician in charge of the patient's medical care;

(5) Uphold the dignity and honor of the profession and abide by its ethical principles;

(6) Be familiar with existing state and federal laws governing the practice of respiratory care and comply with those laws; and

(7) Cooperate with other health care professionals and participate in activities to promote community, state, and national efforts to meet the health needs of the public.

Section 2. Unprofessional conduct in the practice of respiratory care shall include the following acts by a person credentialed by this board, and these acts may be grounds for the denial of an application seeking issuance of a credential by the board:

(1) Violating any of the provisions of KRS Chapter 314A or the administrative regulations adopted thereunder;

(2) Committing any unfair, false, misleading, or deceptive act or practice;

(3) Being unfit or incompetent to practice respiratory care by reason of negligence or other causes, including being unable to practice respiratory care with reasonable skill or safety;

(4) Practicing respiratory care while under the suspension, revocation, or restriction of the individual's certification by competent authority in any state, federal, or foreign jurisdiction;

(5) Unlawfully failing to cooperate with the board by:

(a) Not furnishing any papers or documents requested by the board;

(b) Not furnishing in writing a complete explanation covering the matter contained in the complaint filed with the board;

(d) Not properly responding to subpoenas issued by the board.

(6) Failing to comply with an order issued by the board or an agreed order established with the board;

(7) Aiding or abetting an uncertified person to practice respiratory care when a certificate is required;

(8) Practicing beyond the scope of practice set forth in KRS 314A.100;

(9) Failing to provide adequate supervision to persons holding a limited or temporary certification;

(10) Being convicted of any misdemeanor or felony relating to the practice of respiratory care, if in accordance with KRS Chapter 334B. For purposes of this subsection, conviction includes all instances in which a plea of nolo contendere is the basis for conviction and all proceedings in which the sentence has been deferred or suspended;

(11) Physically abusing or having sexual contact with a patient or client;

(12) Accepting by any means a valuable consideration or gratuity of any kind in return for preferential consideration or treatment of a patient;

(13) Practicing respiratory care while intoxicated or under the influence of alcohol or other mind-altering or mood-altering drugs not prescribed by a licensed physician;

(14) Engaging in any immoral conduct in the practice of respiratory care;

(15) Not informing the board in writing of any changes to the certificate holder's permanent mailing address, e-mail address, or place of employment within twenty (20) days;

(16) Failing to inform the board in writing within thirty (30) days of facts:

(a) Supported by observation or direct knowledge, indicating that another certificate holder has violated any provision of KRS 314A.225, 201 KAR 29:020 or 201 KAR 29:070; or

(b) Of one's own violations of any provision of KRS 314A.225, 201 KAR 29:020 or 201 KAR 29:070;

(17) Failing to inform the board in writing, within thirty (30) days of the conviction, of any felony, misdemeanor or DUI conviction, including dispositions arising from a plea of "no contest" or nolo contendere, by providing the record of conviction and a letter of explanation; .

(18) Abusing controlled substances, prescription medications, illegal substances, or alcohol;

(19) Having a license, privilege, or credential to practice as a respiratory care practitioner denied, limited, suspended, probated, revoked, or otherwise disciplined in another jurisdiction on grounds sufficient to cause a license or privilege to be denied, limited, suspended, probated, revoked, or otherwise disciplined in this Commonwealth, including nonpayment of child support;

(20) Using or possessing a Schedule I controlled substance, except when in accordance with KRS Chapter 218B; and

(21) Violating the code of ethics adopted by the board.

Section 3. Reasons for Removal of Board Member.

(1) A board member may be removed by the board by majority vote of the board if the member has:

(a) Been convicted of a felony;

(b) Had their certification to practice respiratory care or license to practice medicine suspended or revoked; or

(c) Missed three (3) or more consecutive board meetings and those absences are deemed unexcused by a majority vote of the board.

(2) Upon an affirmative vote by the board to remove a member, the board shall notify the Governor of the action.

History

RELATES TO: KRS 314A.200(5), 314A.205(4), 314A.225
STATUTORY AUTHORITY: KRS 314A.200(5), 314A.205(3), 314A.225
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.225 requires the board to promulgate administrative regulations defining unprofessional conduct, establishing a code of ethics, and grounds for removal of board members. This administrative regulation sets forth codes of ethics and unprofessional conduct, as well as grounds for removing board members.
History: 201 KAR 029:020. 19 Ky.R. 834; eff. 11-9-92; 27 Ky.R. 3131; 28 Ky.R. 68; eff. 7-16-2001; Crt eff. 12-6-2019; 52 Ky.R. 465, 955; eff. 1-22-2026.

201 KAR 29:030 Complaint processing procedures {#sec-201-kar-29-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:030}

Section 1. Definitions.

(1) "Chairperson" means the presiding official of the board, or the presiding official's designee when the chairperson is absent or has recused themselves from consideration of a specific matter.

(2) "Complaint" means any written allegation alleging misconduct which might constitute a violation of KRS Chapter 314A or 201 KAR Chapter 29.

(3) "Hearing officer" means the person designated and given authority by the board to preside over all proceedings following the issuance of a notice of hearing and statement of charges pursuant to KRS 13B.050.

Section 2. Reception of Complaints; Investigations.

(1) A complaint may be submitted by an individual, organization, or entity. A complaint shall be in writing, signed by the person offering the complaint unless submitted anonymously, and shall allege acts that may be in violation of the provisions of KRS Chapter 314A or 201 KAR Chapter 29 by the named certificate holder, applicant, or unlicensed individual against whom the complaint was made.

(2) If the board receives an anonymous complaint, an investigation shall be conducted if the complaint is accompanied by sufficient corroborating evidence, or if theevidence is readily available, as would allow the board to believe, based upon a totality of the circumstances, that a reasonable probability exists that the complaint is meritorious.

(3) The chairperson of the board, the executive director, or designee shall file an agency-initiated complaint based upon information received by oral, telephone, or written communications if the facts of the complaint are found to be accurate and indicate acts that may be in violation of the provisions of KRS Chapter 314A or 201 KAR Chapter 29.

(4) With the exception of a self-report or an application that discloses a violation of KRS Chapter 314A or 201 KAR Chapter 29, a copy of the complaint shall be sent to the individual named in the complaint by both regular mail and email to the mailing address and email address of record pursuant to 201 KAR 29:020 §2(15), along with a request for that individual's written, legible, verified response to the complaint within thirty (30) days of the issuance of the complaint.

(5) The failure, without good cause, of any certificate holder or applicant to file a written, legible, verified response when due shall be considered a violation of 201 KAR 29:020 §2(5) and an admission of the allegations stated in the complaint.

(6) The executive director or designee may direct any investigation and shall possess any and all powers possessed by the board in regard to investigations.

(7) Each complaint shall be investigated as necessary and as promptly as possible, and presented to the board for review and a finding of probable cause or no probable cause to believe a violation of KRS Chapter 314A or 201 KAR Chapter 29 has occurred. A probable cause finding or no probable cause finding shall be determined on a majority vote of a quorum of the board, and shall be recorded in the board meeting minutes.

(8) The executive director may order the attendance of any certificate holder or applicant at an investigative meeting regarding any complaint.

(9) The failure, without good cause, of any certificate holder or applicant to attend an investigative meeting when requested shall be considered a violation of 201 KAR 29:020 §2(5).

(10) All preliminary information shall be treated as confidential during the investigation and shall not be disclosed to board members or to the public, except during the board review of the case information in closed session when making a finding of probable cause or no probable cause.

(11) If a board member has participated in the investigation or has substantial knowledge of facts prior to a hearing on the complaint that may influence an impartial decision by the member, that member shall not participate in the probable cause finding or the deliberations or decision-making conducted pursuant to KRS 13B.120.

(12) If the board determines that there is no probable cause to believe a violation of KRS Chapter 314A or 201 KAR Chapter 29 has occurred, there shall not be further action unless warranted by further evidence, and the board shall notify both the complaining party and the individual of the no probable cause finding.

(13) Upon a board determination that there is probable cause to believe a violation of KRS Chapter 314A or 201 KAR Chapter 29 by a certificate holder or applicant has occurred, board staff may issue a notice of hearing and statement of charges pursuant to KRS 13B.050, a proposed agreed order pursuant to Section 3 of this administrative regulation, or both.

(14) Upon a board determination that there is probable cause to believe a violation of KRS Chapter 314A or 201 KAR Chapter 29 by a person who has never been a certificate holder in Kentucky, or if their Kentucky credential has been suspended or revoked, Board staff shall cause a referral report to be prepared and signed by the chairperson of the board, stating the basis for the board determination. If the individual has never been licensed or certified to practice as a respiratory care practitioner in another state, the referral report shall be forwarded to the county attorney of the county of residence of the person allegedly practicing respiratory care without appropriate certification with a request that appropriate action be taken under KRS 314A.990. If the individual has held a license or certificate to practice as a respiratory care practitioner in another state, the referral report shall be forwarded to each state agency who issued a license or certificate to the individual, and to the National Board for Respiratory Care or its equivalent. The board may also initiate action in Franklin Circuit Court for injunctive relief to stop the unauthorized practice of respiratory care.

Section 3. Negotiated Resolution; Letter of Admonishment.

(1) At any time subsequent to the issuance of a complaint to a certificate holder or applicant, or a notice of noncompliance pursuant to Section 5 of this administrative regulation, the executive director or designee may negotiate with the certificate holder or applicant concerning stipulations of fact, conclusions of law, and proposed discipline. The executive director may reject any or all offers of negotiated resolution and may commence negotiations on the executive director's initiative.

(2) When negotiated settlement terms have been accepted by the certificate holder or applicant, and the executive director or designee subject to the approval the board, the executive director or designee shall submit the settlement agreement, signed by the certificate holder or applicant, to the board, including a line for the signature of an officer of the board. A settlement agreement shall become effective upon being accepted by a majority of a quorum of the board, signed by the chairperson, and filed of record.

(3) If the board rejects a negotiated resolution that has been signed by the certificate holder or applicant, the matter shall continue to proceed, provided, however, that further negotiations may be conducted and subsequent settlement offers may be presented to the board. Rejection shall not be taken as a finding or determination of any kind on behalf of the board and no orders or other pleadings shall be filed of record in regard to the negotiations or the rejected proposal.

(4) Upon a finding of probable cause to believe a violation of KRS Chapter 314A or 201 KAR Chapter 29 by a certificate holder or applicant has occurred, the board may direct the issuance of a letter of admonishment to the certificate holder or applicant. This action may be taken if it is determined by the board that this is an appropriate method of dispensing with the complaint. The letter of admonishment shall be signed by the executive director and sent to the individual by both regular mail and email to the mailing address and email address of record pursuant to 201 KAR 29:020 §2(15), with a copy placed in the individual's permanent file. Within thirty (30) days of the date of the letter, the individual shall have the right to file a written response to the letter and have it attached to the letter of admonishment and placed in the permanent file. The individual shall also have, within thirty (30) days of the date of the letter, the right to contest the letter of admonishment and be granted a full hearing on the complaint pursuant to KRS Chapter 13B. If a hearing is requested, the board shall file a notice of hearing and statement of charges and shall proceed in accordance with Section 4 of this administrative regulation.

Section 4. Disciplinary Proceedings.

(1) Disciplinary proceedings following the filing of a notice of hearing and statement of charges pursuant to KRS 13B.050 shall be heard by a hearing officer, who shall be an assistant attorney general or an attorney appointed by the board in accordance with KRS 13B.030 and 13B.040.

(2) The certificate holder or applicant shall file with the board a written answer to the specific allegations contained in the notice of hearing and statement of charges within twenty (20) days of receipt of the charges. An allegation not properly answered shall be deemed admitted. Failure to file an answer shall be considered a violation of 201 KAR 29:020 §2(5) and may result in the issuance of a default order pursuant to KRS 13B.080(6). The hearing officer shall for good cause permit the late filing of an answer.

(3) The board prosecuting attorney may direct the attendance of any certificate holder or applicant at an administrative hearing conducted pursuant to KRS 13B.080.

(4) The failure, without good cause, of any certificate holder or applicant to attend an administrative hearing when directed to do so shall be considered a violation of 201 KAR 29:020 §2(5).

(5) The hearing shall be transcribed by a court stenographer or video recorded.

(6) In a final order issued by the board in accordance with KRS 13B.120, or in an agreed order issued subsequent to the filing of a notice of hearing and statement of charges pursuant to KRS 13B.050, the board may impose the following as a component of the administrative fine authorized by KRS 314A.225(1) and 314A.990, provided the total fine does not exceed $1,000:

(a) The cost of stenographic services;

(b) The cost of the hearing officer;

(d) Travel for other witnesses, at the rates specified in 200 KAR 2:006 Sections 5-7;

(e) Document reproduction costs; and

(f) The cost of a certified copy of laboratory testing records.

Section 5. Noncompliance with Final Order or Agreed Order Terms.

(1) The executive director or designee may investigate as needed, using any of the methods available in Section 2 of this administrative regulation, to monitor an individual's compliance with the terms of an agreed order or a final order entered by the board pursuant to KRS Chapter 13B.120.

(2) A written notice of noncompliance shall be sent by the board or the executive director or designee to any individual who has violated the terms of an agreed order or a final order pursuant to KRS Chapter 13B.120. The notice shall specify the noncompliance, the sanctions sought by board staff, and any other remedial action sought as a consequence of the individual's noncompliance.

(3) The individual to whom the notice of noncompliance is sent shall file with the board, within thirty (30) days of issuance of the notice, a written, legible, verified response.

(4) The failure, without good cause, to file a written, legible, verified response when due shall be considered a violation of 201 KAR 29:020 §2(5), an admission of noncompliance, acceptance of the sanctions and remedial actions stated in the notice of noncompliance. If the notice of noncompliance arises from an agreed order that includes a liquidated sanction for noncompliance and a corresponding waiver of the right to hearing with regard to enforcement of the agreed order, including a waiver of the right to be present with counsel, to subpoena witnesses and to confront witnesses, and the full panoply of rights of hearing and appeal, the liquidated sanction specified in the agreed order may be implemented without the necessity of a hearing pursuant to KRS Chapter 13B, and without the associated due process procedures. The board or the executive director shall give notice of the imposition of the liquidated sanctions specified in the agreed order by delivering written notice of the final disposition and the remedial actions imposed to the individual by both regular mail and email to the mailing address and email address of record pursuant to 201 KAR 29:020 §2(15), or the individual's attorney of record.

(5) Upon the receipt of a written, legible, verified response to a notice of noncompliance, the board shall file a notice of hearing and statement of charges pursuant to KRS 13B.050 and shall proceed in accordance with KRS Chapter 13B and Section 4 of this administrative regulation. The executive director may sign a notice of hearing and statement of charges arising from noncompliance with an agreed order or final order pursuant to KRS Chapter 13B.120.

Section 6. Notice and Service of Process. Except for those items that are required to be delivered by certified mail pursuant to KRS 13B.050(2) and 13B.120(5), any notice required by KRS Chapter 314A or this administrative regulation shall be delivered by both regular mail and email to the mailing address and email address of record pursuant to 201 KAR 29:020 §2(15).

History

RELATES TO: KRS 314A.225
STATUTORY AUTHORITY: KRS 314A.205(1),(3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.205(1) requires the board to investigate persons engaging in practices which violate the provisions of KRS Chapter 314A. This administrative regulation establishes the detailed procedures for the investigation and disposition of complaints received by the board.
History: 201 KAR 029:030. 19 Ky.R. 835; Am. 1070; eff. 11-9-92; 27 Ky.R. 3132; 28 Ky.R. 69; eff. 7-16-2001; Crt eff. 12-6-2019; 52 Ky.R. 467, 956; eff. 1-22-2026.

201 KAR 29:040 Reporting of final orders and agreed orders {#sec-201-kar-29-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:040}

Section 1. Notification of Final Decision of the Board. A final order of the board, issued to a certificate holder or applicant in accordance with KRS 13B.120, an agreed order signed by the certificate holder or applicant and approved by the board, and an admonishment may be sent by regular mail or email to the:

(1) Complaining party;

(2) Employer;

(3) Appropriate national and state agencies; and

(4) National Board of Respiratory Care, or its equivalent.

Section 2. The board shall not adopt an agreed order that includes a confidentiality provision, other than as necessary to comply with and implement KRS 61.878(1).

Section 3. Admonishments, and agreed orders based solely on continuing education, continuing education audit noncompliance, or working on an expired license if the agreed order is entered within thirty (30) days of expiration, shall not be automatically reported by the board to persons or entities listed in Section 1 of this administrative regulation, but may be released if requested in accordance with KRS 61.870 to 61.884.

History

RELATES TO: KRS 61.870-61.884,314A.225, 42 U.S.C. 1396r-2, 45 C.F.R. 60.9
STATUTORY AUTHORITY: KRS 314A.205(3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.205(3) requires the board to promulgate administrative regulations to carry out the provisions of KRS Chapter 314A. KRS 314A.225 authorizes the board to impose disciplinary sanctions against certificate holders and applicants. 42 U.S.C. 1396r-2 and 45 C.F.R. 60.9, mandate reporting to federal authorities of some, but not all board disciplinary actions. This administrative regulation establishes procedures following the issuance of a final order pursuant to KRS 13B.120, an agreed order, or a letter of admonishment.
History: 201 KAR 029:040. 19 Ky.R. 836; 1071; eff. 11-9-92; 27 Ky.R. 3134; eff. 7-16-2001; Crt eff. 12-6-2019; 52 Ky.R. 471, 959; eff. 1-22-2026.

201 KAR 29:050 Continuing education requirements {#sec-201-kar-29-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:050}

Section 1. Definitions.

(1) "AARC" means American Association for Respiratory Care.

(2) "Academic courses" means courses offered by an accredited postsecondary institution including:

(a) A respiratory care course, designated by a respiratory care course number of 400 or greater, intended for students who have already received an associate's or bachelor's degree in respiratory care, and who have already passed a National Board for Respiratory Care or its equivalent entry-level certification examination; and

(b) An academic course applicable to respiratory care practice and appropriate for the respiratory care practitioner employed in the areas of clinical practice, administration, education, or research.

(3) "Continuing education unit" means sixty (60) contact minutes of participating in continuing education experiences.

(4) "Offering" means an organized learning experience:

(a) Planned and evaluated to meet behavioral objectives; and

(b) Presented in one (1) session or in a series.

(5) "Relevant" means having content applicable to the practice of respiratory care.

(6) "Sponsor" means an individual or organization, other than AARC, applying for approval of continuing education programs.

(7) "Successful completion" means that the practitioner has:

(a) Satisfactorily met and can appropriately document the specific requirements of the offering; and

(b) Earned the continuing education units.

Section 2. Accrual of Continuing Education Units Mandatory; Computation of Accrual.

(1) A minimum of twenty-four (24) continuing education units shall be accrued by each person holding mandatory certification during the two (2) year certification period for renewal, and at least one (1) hour of which shall be in or relevant to ethics in the field of respiratory care.

(2) The certification period shall be January 1 of one (1) year through December 31 of the following calendar year, regardless of when a mandatory certificate is issued.

(3) All units shall be in or relevant to the field of respiratory care.

Section 3. Methods of Acquiring Continuing Education Units. Continuing education units applicable to the renewal of the mandatory certificate shall be directly relevant to the professional growth and development of the respiratory care practitioner. Units may be earned by completing:

(1)

(a) Academic courses; and

(b) Academic credit equivalency for continuing education units shall be based on one (1) credit hour = fifteen (15) continuing education units;

(2) Continuing education units approved by AARC;

(3) Continuing education units offered by other organizations or institutions approved by the board or the executive director in accordance with this administrative regulation; or

(4) Scientific and educational lectures, workshops, or seminars presented by a person holding a mandatory certificate.

(a) A maximum of double the continuing education units offered may be credited for scientific and educational lectures, workshops, or seminars presented by the certificate holder.

(b) Credit shall not be issued for repeated instruction of the same course.

Section 4. Procedure for Preapproval of Sponsors.

(1) A sponsor desiring approval of a continuing education offering prior to attendance shall apply for approval to the board at least forty-five (45) days in advance of the date of the offering, on the Application for Continuing Education Approval stating the type of learning activity, the subject matter, the date and time of the program, and the names and qualifications of the instructors. A continuing education activity shall be approved if the board or the executive director determines that the activity being presented:

(a) Is an organized program of learning;

(b) Pertains to subject matters which are integrally relevant to the practice of respiratory care;

(d) Is conducted by individuals who have educational training, or experience acceptable to the board.

(2) A nonrefundable and one(1)time fee of twenty-five (25) dollars shall be charged for each continuing education offering. Alternatively, a sponsor may pay a fee of $100, which shall satisfy the fee requirement for all preapproval submissions by that sponsor for the full calendar year in which the fee is paid.

(3) Board approval of a continuing education offering shall expire two (2) years from the date of approval.

(4) A continuing education offering shall be approved in increments of no less than thirty (30) minutes.

(5) Product based continuing education offerings shall be approved for a maximum of up to two (2) continuing education units per product.

(6) The board or the executive director may choose not to approve a sponsor's offerings if it is determined that the sponsor engaged in fraud, deceit, or misrepresentations concerning any continuing education offerings.

Section 5. Procedure for Postapproval of an Individual Holding a Mandatory Certificate.

(1) An individual holding a mandatory certificate desiring postapproval of a continuing education offering shall, within ninety (90) days after the date the continuing education program is conducted, submit an Application for Continuing Education Approval stating the type of learning activity, the subject matter, the date and time of the program, and the names and qualifications of the instructors. A continuing education activity shall be postapproved if the board or the executive director determines that the activity presented:

(a) Was an organized program of learning;

(b) Pertained to subject matters which are integrally relevant to the practice of respiratory care;

(d) Was conducted by individuals who have the requisite educational training, or experience.

(2) Board approval of a continuing education offering shall expire two (2) years from the date of approval.

(3) A continuing education offering shall be approved in increments of no less than thirty (30) minutes.

(4) Product based continuing education offerings shall be approved for a maximum of up to two (2) continuing education units per product.

(5) The board or the executive director may choose not to approve an individual's offerings if it is determined that the individual engaged in fraud, deceit, or misrepresentations concerning any continuing education offerings.

Section 6. All continuing education units and academic courses shall be preapproved or postapproved for credit.

(1) If a continuing education unit is approved by AARC, it shall be considered preapproved.

(2) An academic course shall be postapproved upon completion of the course.

Section 7. Responsibilities and Reporting Requirements of Certificate Holders. A certificate holder shall be responsible for obtaining required continuing education units. The certificate holder shall identify their continuing education needs, take the initiative in seeking continuing professional education activities to meet these needs, and seek ways to integrate new knowledge, skills, and attitudes. Each person holding mandatory certification shall:

(1) Select board approved activities by which to earn continuing education units; and

(2) Maintain all documentation verifying successful completion of continuing education units for a period of three (3) years from conclusion of the certification period in which the continuing education unit was obtained.

Section 8. Audit Procedures.

(1) In January following the certification period, the board or the executive director shall:

(a) Initiate an audit of a minimum of fifteen (15) percent of certificate holders who were designated to complete continuing education by December 31 of the preceding year; and

(b) Notify the individuals selected for audit in writing on or before February 10 of the year in which the audit is conducted.

(2) Each certificate holder chosen for an audit shall furnish documentation of completion of continuing education units for the certification period by March 1 of the year in which the audit is conducted. Documentation shall include:

(a) Official transcripts for completed academic courses;

(b) A copy of the program showing an individual as a presenter of scientific and educational lectures, workshops, or seminars;

(d) Completion certificates or cards, including a course number, for relevant offerings whether preapproved or postapproved.

(3) Each certificate holder chosen for an audit shall also submit a Continuing Education Audit Verification Form by March 1 of the year in which the audit is conducted.

(4) Failure to fully comply with the provisions of this administrative regulation shall constitute unprofessional conduct as set forth in KRS 314A.225 and may result in the filing of an agency-initiated complaint pursuant to KRS 314A.225 and 201 KAR 29:030, Section 2(3).

Section 9. Temporary Certificate Holders; Limited Mandatory Certificate Holders; Expired and Inactive Certificates. Continuing education requirements shall not apply to the holders of a temporary certificate,a limited mandatory certificate, an expired certificate, or an inactive certificate.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Continuing Education Approval", 4/07/2025; and

(b) "Continuing Education Audit Verification Form", 4/17/2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Respiratory Care, 1714 Perryville Road, Suite 200, Danville, Kentucky 40422, Monday through Friday, 8 a.m. to 4:30 p.m. EST. This material is also available at https://kbrc.ky.gov/Pages/Applications-and-Forms.aspx#apps.

History

RELATES TO: KRS 314A.110(6), 314A.115, 314A.225
STATUTORY AUTHORITY: KRS 314A.115, 314A.205(3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.205(3) requires the board to promulgate administrative regulations to carry out the provisions of KRS Chapter 314A. KRS 314A.115 requires the submission of proof of continuing education in order to renew certification as prescribed by the board in administrative regulations. KRS 314A.110(6) requires applicants seeking reinstatement to comply with continuing education requirements. This administrative regulation delineates the requirements for continuing education and prescribes methods and standards for the accreditation of continuing education courses.
History: 201 KAR 029:050. 19 Ky.R. 838; Am. 1072; eff. 11-9-92; 2089; eff. 4-21-93; 27 Ky.R. 3135; 28 Ky.R. 70; eff. 7-16-2001; 30 Ky.R. 391; 858; eff. 10-15-03; 32 Ky.R. 2328; eff. 9-1-06; 38 Ky.R. 300; 787; 897; eff. 11-16-11; TAm 8-2-2013; Crt eff. 12-6-2019; 52 Ky.R. 473, 959; eff. 1-22-2026.

201 KAR 29:060 Continuing education requirements for persons on inactive status; waiver; reinstatement {#sec-201-kar-29-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:060}

Section 1.

(1) The board may, in individual cases involving medical disability, illness, or military duty, grant waivers of the minimum continuing education requirements or extensions of time within which to fulfill the requirements or make the required reports.

(2) A written request for waiver or extension of time shall be:

(a) Submitted by the person holding mandatory certification on or before the renewal deadline; and

(b) Accompanied by:

A verifying document signed by a licensed physician; or
A copy of orders for military deployment.

(3) A waiver of the minimum continuing education requirements or an extension of time within which to fulfill the requirements may be granted by the board for a period of time not to exceed one (1) calendar year.

(4) If the medical disability, illness, or military duty upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the person holding mandatory certification shall reapply.

Section 2.

(1) Continuing educational requirements shall be waived for a certificate holder on inactive, suspended, or revoked status during the period they remain inactive, suspended, or revoked.

(2) If a certificate holder applies to the board to return to active status, or for reinstatement, they shall submit proof that they have completed:

(a) Twenty-four (24) continuing education units within the twenty-four (24) month period immediately preceding the date on which the Application for Reactivation or Application for Reinstatement, as incorporated by reference in 201 KAR 29:015, is submitted; and

(b) At least one (1) hour of which shall be in or relevant to ethics in the field of respiratory care.

(3) The certificate holder who seeks to transition from inactive to active status may request that they be allowed to return to active status immediately, with the provision that they shall complete the twenty-four (24) continuing education units referenced in subsection (2)(a) and (b) of this section within six (6) months of the date on which they return to active status.

(4) The certificate holder shall also be responsible for meeting the requirements of 201 KAR 29:050 in order to properly qualify for renewal of their certification in the next renewal period.

(5) Certificate holders who seek to transition from revoked or suspended status shall complete the required continuing education units referenced in subsection 2(a) and (b) of this section prior to applying for reinstatement.

History

RELATES TO: KRS 314A.110(6), 314A.115
STATUTORY AUTHORITY: KRS 314A.115, 314A.205(3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8, because the amendments to this administrative regulation will not have a major economic impact.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 314A.205(3) requires the board to promulgate administrative regulations to carry out the provisions of KRS Chapter 314A. KRS 314A.115 requires the submission of proof of continuing education in order to renew certification as prescribed by the board in administrative regulations. KRS 314A.110(6) requires applicants seeking reinstatement to comply with continuing education requirements. This administrative regulation delineates the continuing education requirements for mandatory certificate holders on inactive status, as well as the circumstances under which waivers or extensions for the requirements may be granted, and continuing education to be completed to transition to active status.
History: 201 KAR 029:060. 19 Ky.R. 839; Am. 1073; eff. 11-9-92; 27 Ky.R. 3137; eff. 7-16-2001; 29 Ky.R. 510; eff. 10-16-2002; Crt eff. 12-6-2019; 52 Ky.R. 476, 961; eff. 1-22-2026.

201 KAR 29:070 Scope of practice {#sec-201-kar-29-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 29:070}

Section 1. Definitions. "Agency or facility guidelines" shall mean a written set of guidelines for initiating, adjusting or discontinuing care which have been approved by the medical director. The "agency or facility guidelines" shall also describe the specific training or education necessary to enable the respiratory care practitioner to competently perform each of these procedures.

Section 2. A respiratory care practitioner shall perform respiratory care procedures not specified by KRS 314A.100 in accordance with agency or facility guidelines.

Section 3.

(1) A respiratory care practitioner shall be responsible for practicing within his level of competence.

(2) The following conduct by a respiratory care practitioner shall constitute unethical conduct in the practice of respiratory care:

(a) Failure to practice within their level of competence;

(b) Engaging in those procedures specifically prohibited by KRS 314A.100; or

History

RELATES TO: KRS 314A.100
STATUTORY AUTHORITY: KRS 314A.205(3)
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation clarifies the types of activities which are permissible by persons holding certification as a respiratory care practitioner.
History: 21 Ky.R. 148; 932; 1297; eff. 10-19-1994; Crt eff. 12-6-2019.

Chapter 30 Real Estate Appraisers Board

201 KAR 30:010 Definitions for 201 KAR Chapter 30 {#sec-201-kar-30-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:010}

Section 1. Definitions for 201 KAR Chapter 30.

(1) "Accredited" means a college or university that grants credit toward a program for an associate, baccalaureate, graduate, or professional degree and that is chartered, licensed, or granted accreditation by an appropriately recognized educational association.

(2) "Appraiser panel" is defined by KRS 324A.150(5).

(3) "Approved instructor" means an instructor who has been approved by the board pursuant to 201 KAR 30:130 to teach continuing education or qualifying education.

(4) "AQB" means the Appraiser Qualification Board of the Appriasal Foundation.

(5) "Associate real property appraiser" means an individual who has fulfilled the requirements for licensure as an associate real property appraiser established by the board.

(6) "Certified general real property appraiser" means an appraiser who has fulfilled the requirements for certification established by the board to appraise all real property in connection with federally and nonfederally related transactions.

(7) "Certified residential real property appraiser" means an appraiser who has fulfilled the requirements for certification established by the board to perform appraisals on improved structures with up to four (4) residential units and vacant land.

(8) "Classroom hour" means sixty (60) minutes, of which at least fifty (50) minutes are actual classroom instruction attended by the student, including time for examinations.

(9) "Classroom hour of distance education" means the allotted course time approved by the International Distance Education Certification Center (IDECC) delivery certification.

(10) "Covered transaction" means any consumer credit transaction secured by the consumer's principal dwelling.

(11) "Education provider" means a school or organization that teaches continuing or qualifying education courses, programs, or seminars required by the board.

(12) "Federal financial institutions regulatory agencies" means a federal agency listed in 12 U.S.C. 3350(6) that regulates lenders or the loans guaranteed by them.

(13) "Federally-related transaction" is defined by KRS 324A.010(8).

(14) "Formal complaint" means a formal administrative pleading issued by the board that states a charge against a certificate holder, licensee, registrant, or applicant and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B.

(15) "Grievance" means an allegation that a person has violated the requirements of KRS Chapter 324A or 201 KAR Chapter 30.

(16) "Licensed nonfederal real property appraiser" means an individual who has fulfilled the requirements for licensure established by the board to appraise real property in connection with non-federally-related transactions.

(17) "Licensed residential real property appraiser" means an appraiser who has fulfilled the requirements for licensure established by the board to appraise real property.

(18) "Real estate-related financial transaction" means a transaction that involves the:

(a) Sale, lease, purchase, investment in or exchange of real property, including an interest in real property, or the financing thereof;

(b) Refinancing of real property, or an interest in real property; and

(c) Use of real property, or an interest in property, as security for a loan or investment, including a mortgage-backed security.

(19) "Required Core Curriculum" means the list of course topics established in Sections 8 through 12 of 201 KAR 30:190.

(20) "Residential" means having one (1) to four (4) residential units.

History

RELATES TO: KRS Chapter 324A, 12 U.S.C. 3350
STATUTORY AUTHORITY: KRS 324A.015, 324A.020, 324A.035
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324A.020 and 324A.035 require the Real Estate Appraisers Board, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out the provisions of KRS 324A.010 to 324A.090. This administrative regulation is necessary to comply with Title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989 (12 U.S.C. 3331 through 12 U.S.C. 3351), and KRS Chapter 324A. This administrative regulation defines terms used in 201 KAR Chapter 30.
History: 19 Ky.R. 2163; Am. 2460; eff. 7-9-93; 20 Ky.R. 2048; eff. 3-1-94; 27 Ky.R. 1537; 2427; eff. 3-19-2001; 28 Ky.R. 1485; 1821; eff. 2-11-2002; 36 Ky.R. 638; eff. 10-2-2009; 46 Ky.R. 112, 886; eff. 10-4-2019.

201 KAR 30:040 Professional standards of practice and conduct {#sec-201-kar-30-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:040}

Section 1. USPAP Compliance.

(1) Certificate holders and licensees listed in paragraphs (a) through (e) of this subsection shall comply with the Uniform Standards of Professional Appraisal Practice:

(a) A certified general real property appraiser;

(b) A certified residential real property appraiser;

(d) An associate real property appraiser; and

(e) A licensed nonfederal real property appraiser.

(2) The board shall evaluate an appraisal report in accordance with the USPAP in effect when the certificate holder or licensee signed the certification of the report, or when the report was prepared if the report was unsigned.

Section 2. Calculation of Square Footage. The standard for the calculation and reporting of above-grade square footage and below-grade square footage in single-family houses shall be the American National Standard for Single-Family Residential Buildings; Square Footage- Method for Calculating, ANSI Z765 2013.

Section 3. Appraisal Reporting Requirements. For each appraisal assignment that includes an appraisal management company reference as the client or agent for the client, an appraiser shall identify within the appraisal report:

(1) The name that is on file with the board for the appraisal management company;

(2) The Kentucky registration number that is on file with the board for the appraisal management company; and

(3) The fee that will be paid to the appraiser for each appraisal assignment ordered by an appraisal management company, unless the appraiser is a W-2 employee of the appraisal management company.

Section 4. Licensed Nonfederal Real Property Appraiser Advertising.

(1) In a written or broadcast communication, a licensed nonfederal real property appraiser shall include the following statement: "Not licensed or certified to perform appraisals for any transactions requiring a licensed or certified appraiser pursuant to federal law or regulations."

(2) A written or broadcast communication shall include:

(a) Appraisal reports;

(b) Advertisements; and

(3) In a print advertisement, the statement shall be in letters at least fifty (50) percent the size of the largest letter in the advertisement.

(4) In a radio or television advertisement, the statement shall be stated clearly and understandably.

Section 5. Supervision of Associate Appraisers.

(1) Each associate appraiser shall maintain an appraisal log for each supervising appraiser. The associate appraiser shall record the following information in the log for each appraisal:

(a) Type of property;

(b) Client name and address;

(d) Description of work performed by the associate;

(e) Scope of the review;

(f) Scope of the supervision by the supervising appraiser;

(g) Number of actual hours worked by the associate on the assignment; and

(h) Signature and state certification number of the supervising appraiser.

(2) The associate shall be entitled to obtain copies of the appraisal reports he or she prepared. The supervising appraiser shall keep copies of appraisal reports for a period of at least five (5) years or at least two (2) years after final disposition of any judicial proceeding in which testimony was given, whichever period expires last.

(3) The supervising appraiser shall:

(a) Have been a state certified real property appraiser for a period of at least three (3) years;

(b) Be certified by the board prior to applying to become a supervising appraiser;

(c) Be in good standing and shall not have received a suspension, a revocation, or other sanction that limited or prohibited that licensee's practice of real property appraising within the three (3) year period immediately prior to applying to become a supervising appraiser; and

(d) Be responsible for the training and supervision of the associate.

(4) Only a certified general real property appraiser who satisfies the requirements of a supervising appraiser in subsection (3) of this section may supervise a person acquiring experience toward a Certified General Real Property Appraiser certificate.

(5) Any certified general real property appraiser or a certified residential real property appraiser who satisfies the requirements of a supervising appraiser in subsection (3) of this section may supervise a person acquiring experience toward a Certified Residential Real Property Appraiser certificate.

(6) The supervising appraiser shall:

(a) Accept responsibility for an associate's appraisal report by signing and certifying that the report is in compliance with the Uniform Standards of Professional Appraisal Practice;

(b) Review reports by the associate;

(c) Accompany the associate on all inspections and personally inspect each appraised property and the comparable sales with the associate on the associate's real property appraisal assignments, until the associate:

Is competent to conduct inspections independently;
Has met all specific requirements pertaining to property inspection established by KRS Chapter 324A and 201 KAR Chapter 30; and
The supervising appraiser ensures the associate is acting in accordance with the competency provision of the Uniform Standards of Professional Appraisal Practice for the property type;

(d) Be limited to a maximum of three (3) real property associates at a time;

(e) Notify the board immediately if the supervision of a real property associate has terminated; and

(f) Not be employed by an associate or by a company, firm, or partnership in which the associate has a controlling interest.

(7) A person otherwise qualified to be a supervising appraiser who has been disciplined by the board under KRS 324A.050 shall be subject to one (1) or more of the following, according to the severity of the prior violation:

(a) Prohibited from supervising associates;

(b) Limited in the number of associates to supervise; or

(8) If necessary to determine the competency of the associate, the board shall request additional reports from the associate.

(9)

(a) A first time supervisor and a new associate shall attend a Kentucky-specific seven (7) hour board-approved course in supervision practices prior to beginning supervision or training.

(b) To remain eligible to provide supervision, a supervisor shall attend the board-approved course in supervision practices every three (3) years.

(c) To continue logging creditable experience, an associate shall attend the board-approved course in supervision practices every three (3) years.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Uniform Standards of Professional Appraisal Practice", 2020-2021 edition; and

(b) "American National Standard for Single Family Residential Buildings; Square Footage Method for Calculating, ANSI Z765 2013", 2013.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Real Estate Appraisers Board, 321 N. Madison Avenue, Richmond, Kentucky 40475, (859) 623-1658, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material may also be obtained from the Appraisal Standards Board of the Appraisal Foundation, 1155 15th Street, N.W., Suite 1111, Washington, D.C. 20005, (202) 347-7722.

History

RELATES TO: KRS 324A.035, 324A.050(1)(j), 12 C.F.R. 225.62-225.67, 12 U.S.C. 3331, 3336, 3339
STATUTORY AUTHORITY: KRS 324A.035(3)(d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324A.020 and 324A.035 require the Real Estate Appraisers Board, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out the provisions of KRS 324A.010 to 324A.090. KRS 324A.035(3)(d) requires the board to establish by administrative regulation standards of professional appraisal practice. 12 U.S.C. 3331, 3336, and 3339 and 12 C.F.R. 225.64 and 225.65 require that real estate appraisals in connection with federally related transactions be performed in accordance with appraisal standards promulgated by the Appraisal Standards Board of the Appraisal Foundation. This administrative regulation establishes the scope of practice and professional standards of conduct, and includes the supervision requirements for associate appraisers.
History: 19 Ky.R. 2166; Am. 2461; eff. 7-9-1993; 20 Ky.R. 2050; eff. 3-1-1994; 21 Ky.R. 2157; 2669; eff. 4-21-1995; 22 Ky.R. 1669; 1994; eff. 5-16-1996; 23 Ky.R. 3608; 4111; eff. 6-13-1997; 27 Ky.R. 1539; 2428; eff. 3-19-2001; 28 Ky.R. 1487; eff. 2-11-2002; 29 Ky.R. 2501; 2865; eff. 6-16-2003; 31 Ky.R. 144; eff. 11-5-2004; 31 Ky.R. 144; 1344; 1517; eff. 3-11-2005; 23 Ky.R. 2330; eff. 9-1-2006; 35 Ky.R. 2487; eff. 7-31-2009; TAm eff. 12-28-2009; 37 Ky.R. 101; eff. 10-1-2010; 38 Ky.R. 1469; 1723; eff. 5-4-2012; 40 Ky.R. 113; 862; 1039; eff. 12-6-2013; TAm eff. 10-3-2014; 41 Ky.R. 1861; eff. 5-1-2015; 42 Ky.R. 2256; eff. 4-1-2016; TAm eff. 1-11-2018; 46 Ky.R. 107, 885, eff. 10-4-2019; 47 Ky.R. 1425, 1936; eff. 7-6-2021.

201 KAR 30:070 Grievances {#sec-201-kar-30-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:070}

Section 1. Grievance and Answers.

(1) Grievances submitted against a certificate holder, licensee, or registrant shall:

(a) Be submitted in writing;

(b) Identify the person or organization submitting the grievance, unless submitted anonymously;

(d) Include exhibits or other documents, if applicable;

(e) Be served on the certificate holder, licensee, or registrant by the board:

At the last known address of the certificate holder, licensee, or registrant; and
By certified mail, return receipt requested; and

(f) Be filed by the grievant within five (5) years from the date the grievant knew or should have known of the alleged violation.

(2) If the board receives an anonymous grievance, it shall conduct an initial investigation to determine whether a formal investigation is warranted.

(3)

(a) Unless an extension is requested and granted, the certificate holder, licensee, or registrant shall file an answer to the grievance with the board no later than twenty (20) days after service of the grievance.

(b) A copy of the answer shall be served on the grievant, unless the grievant is anonymous, by the certificate holder, licensee, or registrant, by certified mail, return receipt requested, to the address shown on the grievance.

Section 2. Formal Investigations. The board shall conduct an investigation of the facts alleged in a grievance:

(1) Upon receipt of a grievance and answer; or

(2) If an answer is not filed with the board, upon expiration of the period established in Section 1(3)(a) of this administrative regulation.

Section 3. Dismissal of Grievance. The board shall dismiss a grievance if the facts stated in the grievance, or facts known to the board upon investigation, fail to establish a violation of KRS 324A.050. The board shall notify the grievant and the certificate holder, licensee, or registrant in writing if it dismisses the grievance.

Section 4. Administrative Complaints.

(1) If the facts alleged constitute a prima facie violation of KRS Chapter 324A, 201 KAR Chapter 30, or the USPAP, the board shall issue an administrative complaint, in accordance with KRS Chapter 13B, against the certificate holder, licensee, or registrant and proceed pursuant to KRS 324A.052.

(2) The board may enter into informal settlement with the certificate holder, licensee, or registrant.

(3) If the parties to a settlement conference agree on a stipulation, proposed term, or condition for an agreed order to resolve the complaint, the agreed order shall be forwarded to the board for consideration.

(4) If the proposed agreed order is approved by the board, the complaint shall be considered resolved, and a hearing shall not be held.

History

RELATES TO: KRS 324A.020, 324A.050, 324A.052
STATUTORY AUTHORITY: KRS 324A.020, 324A.035, 324A.052
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324A.020 and 324A.035 require the Real Estate Appraisers Board, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out the provisions of KRS 324A.010 to 324A.090. KRS 324A.020 authorizes the board to investigate allegations of wrongdoing under KRS Chapter 324A. KRS 324A.050 authorizes the board to take disciplinary action against the certificate holder or licensee, and KRS 324A.162 authorizes the board to take disciplinary action against a registrant of an appraiser or appraisal management company, for violations of KRS Chapter 324A. This administrative regulation establishes the procedures for filing grievances with the board.
History: 19 Ky.R. 2170; Am. 2463; eff. 7-9-1993; 23 Ky.R. 3609; 4111; eff. 6-13-1997; 28 Ky.R. 1490; 1824; eff. 2-11-2002; 29 Ky.R. 2516; 2867; eff. 6-16-2003; 36 Ky.R. 154; 571; eff. 10-2-2009, TAm 12-28-2009; 37 Ky.R. 1332; 1972; eff. 5-6-2011; 39 Ky.R. 1490; 1876; eff. 4-5-2013; 42 Ky.R. 95; 668; eff. 10-2-2015; 46 Ky.R. 110, eff. 10-4-2019.

201 KAR 30:110 Appraiser roster and fees {#sec-201-kar-30-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:110}

Section 1. Appraiser Roster.

(1) The board shall maintain a roster of associate real property appraisers, licensed residential real property appraisers, certified residential real property appraisers, and certified general real property appraisers.

(2) The board shall collect an annual roster fee as established in Section 3 of this administrative regulation from each licensed residential real property appraiser, certified residential real property appraiser, and certified general real property appraiser.

(3) The board shall transmit the roster, minus the list of associate real property appraisers, and appropriate roster fees to the Appraisal Subcommittee of the Federal Financial Institutions Examination Council at least annually.

Section 2. Applicability of Uniform Standards of Professional Appraisal Practice (USPAP) to the board.

(1) The requirements of the USPAP, as incorporated by reference in 201 KAR 30:040, shall not apply to the board, its agents, and employees while conducting an appraisal review for purposes of confirming an applicant's experience pursuant to this administrative regulation.

(2) The requirements of the USPAP shall not apply to the board, its agents, and employees with regard to preparing an investigation for enforcement and disciplinary cases pursuant to this administrative regulation.

Section 3. Fees.

(1) Pursuant to KRS 324A.065, the following fees shall be charged by the board:

(a) Federally-related transactions:

Initial application fee: $212;
Examination fee: $200;
Annual certificate or licensure fee: $212;
Duplicate certificate fee: ten (10) dollars;
Certificate correction fee: ten (10) dollars;
Roster fee: forty (40) dollars; and
Initial inactive certification or licensure fee: fifty (50) dollars.

(b) Nonfederally-related transactions:

Initial application fee: $100;
Examination fee: $100;
An annual certificate or licensure renewal fee: $100;
Duplicate certificate fee: five (5) dollars;
Certificate correction fee: five (5) dollars; and
Roster fee: one (1) dollar.

(2) Initial application and examination fees shall be submitted with the application or request.

(3) The roster fee shall be paid with the application or renewal fee.

(4) Examination fees shall be paid prior to an examination.

History

RELATES TO: KRS 324A.020, 324A.035, 324A.040, 324A.045, 324A.047, 324A.065, 12 U.S.C. 3331-3351
STATUTORY AUTHORITY: KRS 324A.020, 324A.035, 324A.045, 324A.065, 12 U.S.C. 3338(a)(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324A.020 and 324A.035 require the Real Estate Appraisers Board, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out the provisions of KRS 324A.010 to 324A.090. KRS 324A.020 authorizes the board to provide a list of certified appraisers to the Appraisal Subcommittee of the Federal Financial Institutions Examination Council. 12 U.S.C. 3338(a)(1) requires the board to maintain and transmit a roster of all licensed or certified appraisers. KRS 324A.065 requires the board to establish by administrative regulation and collect fees for certification or licensure as an appraiser, and KRS 324A.035 requires the board to set the conditions for certification and renewal of licensure. KRS 324A.047 requires the board to set a fee for inactive status. This administrative regulation establishes requirements relating to the roster of appraisers and establishes fees for initial application, annual renewal, roster, and examination, for both federally and nonfederally related transactions.
History: 18 Ky.R. 945; eff. 11-22-1991; Am. 28 Ky.R. 1491; 1825; eff. 2-11-2002; 29 Ky.R. 2505; eff. 6-16-2003; 39 Ky.R. 1492; 1877; eff. 4-5-2013; 46 Ky.R. 112, 886, eff. 9-11-2019.

201 KAR 30:130 Standards for education approval - fees {#sec-201-kar-30-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:130}

Section 1.

(1) To qualify for education or continuing education credit, each real estate appraisal education course shall be approved by the board in advance, in accordance with this administrative regulation.

(2) Each education provider shall apply for approval by submitting a completed Application for Course Approval.

(3) Board approval shall be given to those education courses which the board finds will provide competent instruction in real estate appraisal so as to establish, maintain and increase the student's skill, knowledge and competency in real estate appraising.

(4) The board shall collect an annual nonrefundable fee from each education provider applying for board approval. The fee shall be:

(a) $100 for each prelicensure hour or less education course; and

(b) Fifty (50) dollars for each continuing education course.

Section 2. Incorporation by Reference.

(1) "Application for Course Approval", May 1991, is incorporated by reference.

(2) This material may be inspected, copied or obtained, subject to applicable copyright law, at the Kentucky Real Estate Appraisers Board, 321 N. Madison Avenue, Richmond, Kentucky 40475, (859) 623-1658, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 324A.035(3)(d), (f), 12 U.S.C. 3331-3351
STATUTORY AUTHORITY: KRS 324A.020, 324A.035(3)(d), (f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324A.035(3)(d) and (f) require the board to establish requirements for education and continuing education of appraisers. This administrative regulation establishes the requirements for approval of education courses for real estate appraisers.
History: 18 Ky.R. 947; eff. 11-22-1991; 21 Ky.R. 2158; eff. 4-21-1995; 28 Ky.R. 1493; 1825; eff. 2-11-2002; 29 Ky.R. 2508; eff. 6-16-2003; TAm eff. 12-28-2009; TAm eff. 1-11-2018; Crt eff. 8-6-2019.

201 KAR 30:190 Certification and licensing requirements {#sec-201-kar-30-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:190}

Section 1. Types of Appraisers.

(1) An appraiser for a federally related transaction shall be a:

(a) Certified general real property appraiser;

(b) Certified residential real property appraiser;

(d) Associate real property appraiser.

(2) The board may license nonfederal real property appraisers pursuant to Section 20 of this administrative regulation.

Section 2. Scope of Practice.

(1) A certified general real property appraiser may perform appraisals of all types of real property.

(2) A certified residential real property appraiser may perform residential appraisals on vacant or improved sites with up to four (4) residential units, without regard to value or complexity.

(3) A licensed residential real property appraiser may perform appraisals of:

(a) Non-complex, one (1) to four (4) residential units with a transaction value less than $1,000,000; and

(b) Complex, one (1) to four (4) residential units with a transaction value less than $400,000.

(4) An associate real property appraiser may perform an appraisal of property that the supervising appraiser of the associate may appraise and shall be subject to the Uniform Standards of Professional Appraisal Practice, incorporated by reference in 201 KAR 30:040.

Section 3. General Requirements for Certification or Licensure. Except as provided by Section 4 of this administrative regulation, certification or licensure, as appropriate, shall be granted if an applicant:

(1) Has met the examination, education, experience, and fee requirements established by this administrative regulation; and

(2) Applies to the board on the notarized Application for Appraiser Credential and Reciprocal.

Section 4. Armed Forces Exemption. An applicant who was a member of a Reserve component of the U.S. Armed Forces, who was pursuing an appraiser licensure or certification prior to December 1, 2011, and who was called to active duty between December 1, 2011 and December 31, 2014, may satisfy the examination, education, and experience requirements under the 2008 AQB Real Property Appraiser Qualification Criteria instead of the requirements in this administrative regulation for a time period equal to the applicant's time of active duty, plus twelve (12) months.

Section 5. Qualifying Education for Licensure or Certification.

(1) Credit for the qualifying education requirements established in this administrative regulation may be obtained only from the following providers:

(a) Colleges or universities;

(b) Community or junior colleges;

(d) State or federal agencies or commissions;

(e) Proprietary schools;

(f) Providers approved by the board in accordance with 201 KAR 30:130; and

(g) The Appraisal Foundation or its boards.

(2) Experience shall not be substituted for education.

Section 6. Criteria Specific to Qualifying Education.

(1) A class hour shall be credited only for educational offerings with content that follows the Required Core Curriculum established in Sections 8 through 12 of this administrative regulation for each respective credential.

(2) The course content requirement may be general or specific to a property type.

(3) A class hour shall be obtained only if:

(a) The minimum length of the educational offering is at least fifteen (15) hours; and

(b) The student successfully completes an approved closed-book examination pertinent to that educational offering.

(4) If an individual qualifying education course covers multiple topics identified within the Required Core Curriculum, there shall be appropriate testing of each component.

(5) Courses taken to satisfy the qualifying education requirements shall not be repetitive.

(6) Courses shall foster problem-solving skills in the education process by utilizing case studies as a major teaching method if applicable.

Section 7. Uniform Standards of Professional Appraisal Practice (USPAP) Courses.

(1) An applicant shall take the 15-Hour National USPAP Course, or its equivalent, and pass the associated 15-Hour National USPAP Course Examination as approved by the AQB.

(2) At least one (1) of the course instructors shall be an AQB Certified USPAP instructor who is also a state certified appraiser.

(3) USPAP course content equivalency shall be determined by the AQB or by an alternate method established by the AQB.

Section 8. Qualifying Education for Associate Real Property Appraisers.

(1) Prior to applying for an associate real property appraiser certification, an applicant shall have completed ninety (90) class hours as specified in the required core curriculum.

(2) The required core curriculum and class hours for an associate real property appraiser certification shall be:

(a) Basic appraisal principles: thirty (30) class hours;

(b) Basic appraisal procedures: thirty (30) class hours;

(d) 15-Hour national USPAP course or fifteen (15) hours its equivalent: fifteen (15) hours.

(3) An applicant shall pass the Required Core Curriculum examination for each course taken.

(4) All qualifying education shall be completed within the five (5) year period immediately preceding the submission of an application for an Associate Real Property Appraiser credential.

Section 9. Qualifying Education for Licensed Residential Real Property Appraisers.

(1) The prerequisite for taking the AQB approved examination shall be successful completion of 150 class hours as established in the required core curriculum.

(2) The required core curriculum and class hours for a licensed residential real property appraiser shall be:

(a) Basic appraisal principles: thirty (30) class hours;

(b) Basic appraisal procedures: thirty (30) class hours;

(d) Residential market analysis and highest and best use: fifteen (15) class hours;

(e) Residential appraiser site valuation and cost approach: fifteen (15) class hours;

(f) Residential sales comparison and income approaches: thirty (30) class hours; and

(g) Residential report writing and case studies: fifteen (15) class hours.

Section 10. Qualifying Education for Certified Residential Real Property Appraisers Certification.

(1) The prerequisite for taking the AQB approved examination shall be completion of 200 class hours as established in the required core curriculum.

(2) The required core curriculum and class hours for a certified residential real estate appraiser shall be:

(a) Basic appraisal principles: thirty (30) class hours;

(b) Basic appraisal procedures: thirty (30) class hours;

(d) Residential market analysis and highest and best use: fifteen (15) class hours;

(e) Residential appraiser site valuation and cost approach: fifteen (15) class hours;

(f) Residential sales comparison and income approaches: thirty (30) class hours;

(g) Residential report writing and case studies: fifteen (15) class hours;

(h) Statistics, modeling, and finance: fifteen (15) class hours;

(i) Advanced residential applications and case studies: fifteen (15) class hours; and

(j) Appraisal subject matter electives: twenty (20) class hours.

(3) An applicant for the certified residential real property certificate shall satisfy at least one of the following options:

(a) Possess a bachelor's degree from an accredited college or university in any field of study;

(b) Possess an associate's degree from an accredited college or university in any field of study related to:

Business Administration;
Accounting;
Finance;
Economics; or
Real Estate;

(c) Have successfully completed thirty (30) semester hours of college-level courses that cover each of the following specific topic areas and hours:

English Composition (three (3) semester hours);
Microeconomics (three (3) semester hours);
Macroeconomics (three (3) semester hours);
Finance (three (3) semester hours);
Algebra, Geometry, or higher mathematics (three (3) semester hours);
Statistics (three (3) semester hours);
Computer Science (three (3) semester hours);
Business or Real Estate Law (three (3) semester hours); and
Two (2) elective courses in any of the topics listed in this paragraph or in accounting, geography, agricultural economics, business management, or real estate (three (3) semester hours each);

(d) Successful completion of at least thirty (30) semester hours of College Level Examination Program® (CLEP®) examinations from each of the following subject matter areas:

College Algebra (three (3) semester hours);
College Composition (six (6) semester hours);
College Composition Modular (three (3) semester hours);
College Mathematics (six (6) semester hours);
Principles of Macroeconomics (three (3) semester hours);
Principles of Microeconomics (three (3) semester hours);
Introductory Business Law (three (3) semester hours); and
Information Systems (three (3) semester hours).

(e) Any combination of paragraphs (c) and (d) of this subsection that ensure coverage of all topics and hours identified in paragraph (c) of this subsection; or

(f) Proof of credential as a licensed residential real property appraiser for a minimum of five (5) years with no record of adverse, final, and non-appealable disciplinary action affecting the licensed residential real property appraiser's legal ability to engage in appraisal practice within the five (5) years immediately preceding the date of application for the certified residential credential.

Section 11. Qualifying Education for Certified General Real Property Appraiser Certification.

(1) The prerequisite for taking the AQB approved examination shall be completion of 300 class hours as established in the required core curriculum.

(2) The required core curriculum and class hours for a certified general real property appraiser shall be:

(a) Basic appraisal principles: thirty (30) class hours;

(b) Basic appraisal procedures: thirty (30) class hours;

(d) General appraiser market analysis and highest and best use: thirty (30) class hours;

(e) Statistics, modeling, and finance: fifteen (15) class hours;

(f) General appraiser site valuation and cost approach: thirty (30) class hours;

(g) General appraiser sales comparison approach: thirty (30) class hours;

(h) General appraiser income approach: sixty (60) class hours;

(i) General appraiser report writing and case studies: thirty (30) class hours; and

(j) Appraisal subject matter electives: thirty (30) class hours.

(3) An applicant shall demonstrate that his or her education includes the core courses listed in these criteria, with particular emphasis on nonresidential properties.

(4) An applicant for the certified general real property certificate shall hold a bachelor's degree or higher from an accredited college or university.

Section 12. Required Core Curriculum. The required core curriculum and class hours for each of the types or classification of licensees or certificate holders prescribed in Sections 8 through 11 of this administrative regulation shall be consistent with and cover the topics established in the 2018 AQB Real Property Appraiser Qualification Criteria for qualifying education issued by the Appraiser Qualification Board of the Appraisal Foundation.

Section 13. Required Experience.

(1) Certification as a general real property appraiser shall require:

(a) 3,000 hours of appraisal experience, which shall not be acquired in a period of fewer than eighteen (18) calendar months; and

(b) At least 1,500 hours of appraisal experience that is nonresidential.

(2) Certification as a residential real property appraiser shall require 1,500 hours of appraisal experience, which shall not be acquired in a period of fewer than twelve (12) calendar months.

(3) Licensure as a residential real property appraiser shall require 1,000 hours of appraisal experience, which shall not be acquired in a period of fewer than six (6) calendar months.

(4) More than fifty (50) percent of the required experience credit shall not be obtained for appraisal assignments without a traditional client (e.g., a client hiring an appraiser for a business purpose) being identified.

(5) More than fifty (50) percent of the required experience credit shall not be obtained in a board-approved practicum course that requires students to:

(a) Produce credible appraisals that utilize an actual subject property;

(b) Perform market research containing sales analysis;

(d) Apply and report the appraisal approaches in compliance with the Uniform Standards of Professional Appraisal Practice (USPAP), incorporated by reference in 201 KAR 30:040.

(6) The appraisal experience required by this section may have been acquired in any calendar years, whether or not the calendar years are consecutive. Hours may be treated as cumulative in order to achieve the necessary hours of appraisal experience.

(7) Real property appraisal assignments submitted for experience credit shall be completed:

(a) In compliance with the requirements of USPAP as incorporated by reference in 201 KAR 30:040 and defined in KRS 324A.010(7);

(b) Under the supervision of a certified residential real property appraiser for experience of one (1) to four (4) unit residential properties; and

(c) Under the supervision of a certified general real property appraiser for experience of all property uses other than one (1) to four (4) unit residential properties.

(8) To count towards the requirements of this section, the experience shall be acquired while the applicant is licensed or certified by the board.

Section 14. Examination.

(1) An applicant for certification as a certified general real property appraiser, a certified residential real property appraiser, a licensed residential real property appraiser, or an associate real property appraiser shall pass an examination specific for the certification or license applied for and approved by:

(a) The board; and

(b) The Appraiser Qualifications Board of the Appraisal Foundation.

(2) A passing score from an examination shall be valid for two (2) years.

(3) An applicant shall complete all the education and experience requirements for the credential which the individual is seeking prior to being approved to sit for the national appraisal examination.

(4)

(a) An individual shall submit a completed Application for Appraiser Credential and Reciprocal, which documents the completed education and experience to the board prior to being approved to sit for the national appraisal examination.

(b) The applicant shall submit the following information with the application:

Proof of completion of the education;
Proof of completion of the required experience as established in Section 13 of this administrative regulation, including any reports identified by the board; and
The fee required by 201 KAR 30:110.

(5)

(a) An applicant shall verify experience credit on the Appraiser Assignment Log contained in the Application for Appraiser Credential and Reciprocal.

(b) An applicant shall submit satisfactory reports, file memoranda, and other documentation requested by the board to confirm the applicant's appraisal experience.

Section 15. Temporary Appraisal Licenses and Certificates.

(1) A real estate appraiser from another state who is licensed or certified by the appraiser licensing or certifying agency in that state shall apply for registration to receive temporary appraiser licensing or certification privileges in this state by paying a fee of $150 and filing with the board a notarized Non-Resident Appraiser Application for Temporary Practice. The completed application shall include:

(a) An irrevocable consent that service of process in an action against the applicant arising out of the applicant's appraisal activities in this state may be made by delivery on the board;

(b) Information sufficient to identify the appraisal assignment to be performed under the temporary practice certificate or license, including the projected beginning and ending dates for performing the appraisal assignment, but the applicant shall not divulge information concerning the appraisal assignment that would breach the applicant's duty of confidentiality to his client under the provisions of the Uniform Standards of Professional Appraisal Practice, incorporated by reference in 201 KAR 30:040; and

(c) Upon request of the board, statement under seal issued by the appraiser licensing or certifying agency setting forth:

The applicant's name, business name, and address;
The type of license or certificate held by the applicant and the license or certificate number;
The dates of licensure or certification and the expiration date of the applicant's current license or certificate;
If the license or certificate was issued as a result of passing a licensure or certification examination, by reciprocity, or by some other means; and
A complete record of disciplinary actions taken or disciplinary proceedings pending against the applicant.

(2) An applicant shall be granted a temporary practice certificate or license by the board, to perform the appraisal assignment described in his or her application, if the applicant:

(a) Has filed a properly completed application;

(b) Has submitted the required fee with the application;

(c) Has satisfied the board as to his or her qualifications and eligibility for temporary licensing or certification privileges; and

(d) The time projected by the applicant for completion of the assignment is reasonable, given the scope and complexity of the assignment.

(3) Except as provided by subsection (1) of this section, licensing and certification privileges granted under the provisions of this administrative regulation shall expire upon completion of the appraisal assignment described in the Non-Resident Appraiser Application for Temporary Practice.

(4) To afford an applicant additional time to complete the appraisal assignment, the board shall extend the licensing or certification privileges granted under an applicant's temporary practice certificate or license, if the applicant shows that additional time is needed to complete the assignment.

(5) A person granted temporary licensing or certification privileges under the provisions of this administrative regulation shall not advertise or otherwise claim to be a Kentucky state- licensed or state-certified appraiser.

Section 16. Reciprocal Licensing Requirements for Applicants Licensed or Certified in Another State.

(1) A licensee from another state may obtain a certification or licensed residential real property appraiser credential in Kentucky by reciprocity.

(2) An individual who is a certified residential, a certified general, or a licensed residential real property appraiser out-of-state may apply for a Kentucky credential that is the same as the out-of-state certification held by that individual in the other state if the appraiser licensing program of the other state:

(a) Is in compliance with the provisions of the Financial Institutions Reform, Recovery, and Enforcement Act (FIRREA) of Title XI Real Estate Appraisal Reform Amendments (12 U.S.C. 3331-3351) as administered by the Appraisal Subcommittee (ASC) of the Federal Financial Institutions Examination Council (FFIEC); and

(b) The credentialing requirements of the home state meets or exceeds the KREAB requirements that exist at the time the reciprocal application is submitted to the board.

(3) To obtain a Kentucky certification issued by the board, an out-of-state applicant shall:

(a) Complete the notarized Application for Appraiser Credential and Reciprocal;

(b) Be identified on the National Registry of the Appraisal Subcommittee as an active licensed or certified real property appraiser that currently conforms to the AQB criteria;

(c) Not have received disciplinary action that limited or stopped the ability to complete the practice of real property appraising; and

(d) Not have lost a license to practice any profession by revocation, suspension, or voluntary surrender.

(4) The out-of-state applicant shall indicate whether the applicant:

(a) Has had an application for certification or licensure as an appraiser denied by any agency within the Commonwealth or any other state, and if so, explain and submit with the application a copy of the denial notice;

(b) Has been reprimanded, fined, or had a license, certificate, or registration suspended, revoked, restricted, denied, or surrendered in the Commonwealth or in any other state, and if so, submit with the application:

A written explanation; and
A copy of any documentation that describes the charges and action taken by the agency;

(c) Is the subject of any pending investigation, administrative sanction proceeding, hearing, trial, or similar action by any agency that granted or denied the license, certificate, or registration, and if so, explain and submit with the application a copy of any documentation describing the charges;

(d) Has ever entered a plea of nolo contendere, been found guilty of, or been convicted of a felony, or within the last ten (10) years of a misdemeanor, and if so, submit with the application:

An explanation of the offense;
The location of the proceedings; and
A copy of all final court documents identifying the charges and assessing the penalties;

(e) Is awaiting trial or sentencing in any criminal proceeding, and if so, submit with the application:

An explanation of the facts of the alleged offense; and
The location of the proceedings; and

(f) Has had any disciplinary action brought against him or her as a member of any professional organization or trade association, and if so, submit with the application:

An explanation of the action;
A copy of any document reflecting the allegations; and
The final action or decision if rendered.

(5) No provision of this administrative regulation shall be construed to prohibit the professional appraisal practice activities of any out-of-state certified appraiser who is performing the duties and responsibilities while a direct full-time employee of any entity of the United States government.

Section 17. Individual Appraiser License Renewal and Fees.

(1) Except as provided in subsection (2) of this section, a licensed or certified real property appraiser seeking to renew his or her license shall:

(a) Use the online License Renewal System offered by the board at www.kreab.ky.gov on or before July 1 each year; and

(b) Pay a renewal fee in the amount of $212 for associate appraiser renewal and $252 for certified or licensed residential renewal.

(2) If a licensed or certified appraiser is unable to utilize the online procedure, he or she shall:

(a) Complete and submit on or before July 1 one (1) of the following Annual Renewal Notices:

Annual Renewal Notice Associate;
Annual Renewal Notice Certified Residential and Certified General; or
Annual Renewal Notice Licensed Residential; and

(b) Submit a check or money order made payable to the Kentucky Real Estate Appraisers Board in the amount of $212 for associate appraiser renewal and $252 for certified or licensed residential renewal.

(3) The board shall notify a licensee that his or her license is due to expire in accordance with the renewal dates established in KRS 324A.045(2). Failure to receive a renewal notification shall not excuse a licensee of his or her obligation to renew.

(4) The renewal date for a certificate or license shall be July 1 of each calendar year.

(5) The fee required for annual renewal of a certificate or license shall be submitted by each certificate holder or licensee on or before July 1 of each calendar year.

(6) Failure to renew a license or certificate by July 1 shall result in a $200 late renewal fee.

Section 18. Certificate Holder or Licensee Continuing Education.

(1) All licensed or certified real property appraisers, including associate appraisers, shall:

(a) Complete fourteen (14) hours of board approved continuing education each license year prior to May 31 of the current renewal year; and

(b) Submit to the board proof of course completion prior to May 31 of the current renewal year.

(2)

(a) Each certificate holder or licensee shall successfully complete the seven (7) hour National Uniform Standards of Professional Appraisal Practice Update Course, or its equivalent, between January 1 and May 31 of each even numbered year.

(b) Equivalency shall be determined by the Appraiser Qualifications Board Course Approval Program.

(c) USPAP continuing education credit shall only be awarded if the class is instructed by an AQB Certified Instructor who is also a State Certified General Real Property Appraiser or a State Certified Residential Real Property Appraiser.

(3) Failure to complete and submit to the board proof of course completion prior to the May 31 deadline shall prevent renewal until the certificate holder or licensee completes the deficient education and remits payment of a $200 late fee.

(4) Continuing education credit may be granted by the board. If granted, continuing education credit shall be for:

(a) Approved continuing education courses; or

(b) Participation, other than as a student, in appraisal educational programs and processes not to exceed seven (7) hours of the required fourteen (14) hours of continuing education for each licensure year.

(5) Appraisal educational programs and processes shall include:

(a) Teaching a course. Credit for instructing any given course shall only be awarded one (1) time during a continuing education cycle;

(b) Program development;

(d) Similar activities.

(6) Continuing education credit shall be granted if a course:

(a) Is at least two (2) hours in duration;

(b) The subject is designed to ensure that an appraiser's skill, knowledge, and competency in real estate appraisal shall be maintained or increased; and

(7) The board shall defer continuing education requirements for up to 180 days for a certificate holder or licensee:

(a) Returning from active military duty; or

(b) Whose business or residence is located in a county that has been declared a disaster area by the governor or President of the United States.

(8) Credit for repeating the same course title and content within a twenty-four (24) month period shall not be granted.

Section 19. Inactive Status.

(1) Requests to enter inactive status pursuant to KRS 324A.047 shall be submitted to the board on the Request for Inactive Status form.

(2) The completed form shall be accompanied by the required fifty (50) dollar fee.

Section 20. Licensed Nonfederal Real Property Appraisers.

(1) The provisions of this section shall not apply to persons who, prior to April 7, 1992 have engaged in the appraisal of real property for at least ten (10) years.

(2) An applicant shall be licensed as a nonfederal real property appraiser if he or she has:

(a) A:

High school diploma; or
General equivalency diploma;

(b) Applied to the board for licensure; and

(3) A licensed nonfederal real property appraiser shall not be required to meet the conditions established for the:

(a) Certification of:

General real property appraisers; or
Residential real property appraisers; or

(b) Licensure of licensed residential real property appraisers.

(4) A licensed nonfederal real property appraiser shall not perform real property appraisals of property that is the subject of a federally related transaction as defined by 201 KAR 30:010.

Section 21. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Appraiser Credential and Reciprocal", 6/2019;

(b) "AQB Real Property Appraiser Qualification Criteria", 5/2018;

(d) "Annual Renewal Notice Associate", 6/2019;

(e) "Annual Renewal Notice Certified Residential and Certified General", 6/2019;

(f) "Annual Renewal Notice Licensed Residential", 6/2019;

(g) "Request for Inactive Status", 6/2019; and

(h) "AQB Real Property Appraiser Qualification Criteria", 1/2008.

History

RELATES TO: KRS 324A.010, 324A.030, 324A.035(1), (3), 324A.040(2), 324A.045, 324A.047, 324A.052, 324A.065, 324A.075, 12 C.F.R. 225.64, 225.65, 12 U.S.C. 3331-3351
STATUTORY AUTHORITY: KRS 324A.015(1), 324A.020, 324A.035(1), (3), 324A.045, 324A.065(1), 324A.075, 12 U.S.C. 3331-3351
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324A.020 and 324A.035 require the Real Estate Appraisers Board, with the approval of the executive director of the Kentucky Real Estate Authority, to promulgate administrative regulations necessary to carry out the provisions of KRS 324A.010 to 324A.090. KRS 324A.035(1) and 12 U.S.C. 3331 through 3351 require the board to establish by administrative regulation requirements for certification or licensure of appraisers of real property in federally related transactions. KRS 324A.035(3)(a) through (f) require the board to establish by administrative regulations requirements for classifications of appraisers, certification and licensure, renewal, suspension, or revocation of certificate or licensure, experience, continuing education, and examination of applicants. KRS 324A.045 requires each license or certificate to be renewed annually on the date or dates determined by the board by administrative regulation. KRS 324A.065 requires the board to establish and collect fees for certification or licensure as an appraiser. KRS 324A.075 authorizes the board to issue a reciprocal credential to a person licensed or certified in another state. This administrative regulation is necessary to comply with Title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989 (12 U.S.C. 3331 through 12 U.S.C. 3351). This administrative regulation establishes the types of appraisers required in federally related transactions, scope of the practice, and general requirements for certification or licensure, and adopts the requirements for certification or licensure of appraisers of real property in federally related transactions, including the education, experience, and examination requirements established by the Appraisers Qualifications Board. This administrative regulation establishes the criteria for licensure as a nonfederal real property appraiser; the requirements for certification or licensure of persons licensed or certified in another state; the requirements for temporary appraisal licenses and certificates; the requirements for continuing education for appraisers and license renewal procedures for certificate holders or licensees; and the fees for initial application, annual renewal, roster, and examination, for both federally and nonfederally related transactions.
History: 31 Ky.R. 2062; Am. 32 Ky.R. 259; eff. 8-25-2005; 34 Ky.R. 1795; 2394; eff. 6-6-2008; 37 Ky.R. 2052; 5-6-2011; 39 Ky.R. 90; 463; eff. 10-5-2012; 1493; 1877; eff. 4-5-2013; 41 Ky.R. 1862; eff. 5-1-2015; 46 Ky.R. 119, 887; eff. 9-11-2019; 47 Ky.R. 1428; eff. 7-6-2021.

201 KAR 30:330 Registration and supervision of appraisal management companies {#sec-201-kar-30-330 omnilex-key=us-ky-regs-official--title-201--201 KAR 30:330}

Section 1. Registration Requirements.

(1) A person required to be registered under KRS 324A.152 shall submit:

(a) A completed Initial and Renewal Application for Appraisal Management Company Registration; and

(b) An initial application fee of $2,000; and

(2) The applicant for registration shall designate a controlling person or managing principal, who shall be a certified appraiser.

(3) If information required or requested by the board, through application or otherwise, becomes inaccurate, the registrant shall file with the board an amendment correcting that information within ten (10) business days.

Section 2. Registration Renewal.

(1) Each registration shall expire on October 31 of each year unless renewed before that time.

(2) The board shall send a renewal notice to the controlling person or managing principal identified by the registrant by September 1 of each year.

(3)

(a) The registrant shall apply for renewal in accordance with KRS 324A.152 and this administrative regulation by October 1 to ensure that all renewal requirements are satisfied before the expiration date of the registration.

(b) Failure to receive a renewal notice established in subsection (2) of this section from the board shall not relieve the registrant of the responsibility to timely apply for renewal.

(4) An Initial and RenewalApplication for Appraisal Management Company Registration shall not be complete, and a renewal shall not be issued, until all requirements under KRS 324A.152 and in this administrative regulation are satisfied.

(5) A holder of an appraisal management company (AMC) registration seeking to renew shall:

(a) Complete the Initial and Renewal Application for Appraisal Management Company Registration;

(b) Submit the annual renewal fee of $2,000;

(d) Submit a national reporting and registry fee consistent with Section 7 of this administrative regulation detailing how many Kentucky licensed or certified appraisers performed a covered transaction during July 1 of the preceding year through June 30 of the present renewal year.

(6)

(a) If a registrant does not intend to renew its registration, the controlling person or managing principal shall notify the board in writing of the non-renewal and provide the board with its notice to end business in Kentucky.

(b) If a registrant fails to comply with the requirement in subsection (6)(a) of this section, the registrant and all stakeholders holding ten (10) percent or more in the company shall be prohibited from reapplying for registration in Kentucky for a period of one (1) year.

(7) If a registrant fails to complete the National Registry Reporting requirement contained in Section 7 of this administrative regulation, the registrant shall be prohibited from renewing until the reporting requirement has been satisfied. The registrant shall pay the late filing fee provided for in KRS 324A.152(7).

Section 3. Reinstatement of an Expired Registration.

(1) To reinstate an expired registration within six (6) months after expiration, a registrant shall:

(a) Apply in writing on the Initial and Renewal Application for Appraisal Management Company Registration provided by the board;

(b) Submit the reinstatement fee of $2,000 in addition to the late filing fee provided for in KRS 324A.152(7); and

(2) Reinstatement shall not apply retroactively to the activities of the registrant while the registration was expired.

(3) Failure to renew a registration prior to the expiration date shall result in a loss of authority to operate, in accordance with KRS 324A.152(7).

(4) A registration expired beyond six (6) months shall not be renewed.

Section 4. Dishonored Checks. Any dishonored or returned check shall incur the cost of collection plus twenty-five (25) dollars.

Section 5. Operation of an AMC.

(1) A registrant shall disclose to its client the actual fees paid to an appraiser for appraisal services, separately from any other fees or charges for appraisal management services and, upon written request, shall make that information available to the board.

(2) A registrant shall verify its state registration to each appraiser that it engages for appraisal services.

(3) A registrant shall not attempt to directly or indirectly coerce an appraiser to accept an assignment if the appraiser indicates that the appraiser lacks competency or sufficient experience to complete the assignment, and the registrant shall not penalize the appraiser by reducing the number of assignments made to that appraiser, refusing to pay fees owed, or in any other manner.

(4) A registrant shall not withhold or threaten to withhold future business or assignments from an appraiser because of the appraiser's failure to concede to improper or illegal requests, demands, or coercion. This prohibition shall include any express or implicit promise of future business, assignments, promotions, or increased compensation for an appraiser in exchange for the appraiser's agreement to concede to improper or illegal requests, demands, or coercion.

(5) A registrant shall not require an appraiser to indemnify an AMC or hold an AMC harmless for any liability, damage, losses, or claims arising out of the services provided by the AMC. This prohibition shall not preclude indemnification agreements for services performed by the appraiser.

(6) A registrant shall not use an appraiser directly selected or referred by any member of a loan production staff of a client.

(7) A registrant shall not request that a broker price opinion be used as the primary basis for developing and reporting an appraisal for the purpose of loan origination of a residential mortgage loan secured by any one (1) to four (4) unit residential property.

(8) A registrant may not remove an appraiser from its appraiser panel without prior written notice to the appraiser as required by KRS 324A.158(2)(d). An appraiser may file a complaint with the Kentucky Real Estate Appraisers Board to review the decision of the registrant for removal from its appraiser panel for reasons other than those allowed by KRS 324A.158(2)(d).

(9) A registrant shall require that if an appraisal report prepared by a Kentucky licensed or certified real property appraiser is reviewed by a state licensed or certified real property appraiser, the review appraiser shall also be licensed or certified by the Kentucky Real Estate Appraisers Board.

(10) A registrant shall not prohibit communication between a Kentucky licensed or certified real property appraiser and any person from whom the appraiser believes the information is relevant in the performance of an appraisal assignment.

(11) A registrant shall not require a Kentucky licensed or certified real property appraiser that is an independent contractor under Kentucky law to sign a non-compete agreement.

Section 6. Appraisal Procedures.

(1) A registrant shall make payment to an engaged appraiser for the completion of an appraisal within forty-five (45) days after the date on which the appraisal is transmitted or otherwise completed.

(2) Subsequent requests by a registrant to the appraiser for additional support of valuation or correction of factual and objective data shall not extend the payment date beyond the original forty-five (45) days from first receipt of the appraisal.

(3) An appraiser shall comply with a registrant's request for additional data support of estimate of value or correction of factual and objective data errors within fifteen (15) days of the request or be subject to complaint process to the board by the registrant.

(4) An appraiser shall not be prohibited by an AMC from including within each appraisal report the compensation received from the AMC for each appraisal assignment completed.

Section 7. AMC National Registry.

(1) A registrant meeting the following qualifications shall be registered by the board on the Appraisal Subcommittee's AMC National Registry:

(a) The registrant maintains or oversees an appraiser panel, network, or roster consisting of:

More than fifteen (15) Kentucky certified or licensed appraisers contracted or engaged to perform appraisals in connection with covered transactions, if the registrant only operates in Kentucky, or
Twenty-five (25) or more certified or licensed appraisers contracted or engaged to perform appraisals in connection with covered transactions, if the registrant operates in two (2) or more states; and

(b) The registrant satisfies the ownership limitations established by 12 C.F.R. 34.214.

(2) For purposes of counting the number of licensed or certified appraisers on a registrant's appraiser panel, network, or roster, 12 C.F.R. 34.212 shall control.

(3) The registrant shall report the following information to the Kentucky Real Estate Appraisers Board on the Appraisal Management Company National Registry Fee Reporting Form during each renewal year for the relevant reporting period of July 1 of the preceding year through June 30 of the present renewal year:

(a) The number of licensed or certified appraisers on the registrant's roster; and

(b) The number of covered transactions performed by appraisers in Kentucky on the registrant's roster.

(4) The registrant shall remit a twenty-five (25) dollar fee for each panel appraiser who performed appraisals in connection with covered transactions as defined in 12 C.F.R. 34.211(h).

(5) The information gathered by the board pursuant to subsection (3) of this section shall be transmitted to the Appraisal Subcommittee for publication on the AMC National Registry.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial and Renewal Application for Appraisal Management Company Registration", 6/19; and

(b) "Appraisal Management Company National Registry Fee Reporting Form", 6/19.

History

RELATES TO: KRS 324A.030, 324A.035, 324A.152, 324A.154, 324A.155, 324A.163, 324B.060(2), 15 U.S.C. 1639e(i), 12 C.F.R. 226.42(f), 12 C.F.R. 34.210-216
STATUTORY AUTHORITY: KRS 324A.152(2), (8), 324A.154, 324A.155, 324A.163, 12 C.F.R. 34.210-216
NECESSITY, FUNCTION, AND CONFORMITY: KRS 324B.060(2) requires the executive director of the Kentucky Real Estate Authority to review and approve or disapprove any administrative regulation proposed by the Real Estate Appraisers Board prior to the promulgation of the administrative regulation. KRS 324A.152(2) requires the board to establish by administrative regulation the application process for appraisal management companies. KRS 324A.155 and 324A.163 require the board to establish by administrative regulation the amount to be charged to registrants for the appraisal management company recovery fund. KRS 324A.154(1) requires the board to establish by administrative regulation the filing fees for registration of appraisal management companies. KRS 324A.152(8) requires the board to establish by administrative regulation standards governing the operation of an appraisal management company and for the implementation and enforcement of KRS 324A.150 to 324A.164. This administrative regulation establishes the application process for registration and renewal of registration for appraisal management companies; the process for reinstatement of an expired registration for appraisal management companies, including the applicable registration and renewal fees; and the amount to be charged to registrants for the appraisal management company recovery fund and the appraisal procedures for appraisal management companies.
History: 38 Ky.R. 422; 1299; eff. 2-3-2012; TAm eff. 1-11-2018; 46 Ky.R. 127, 893; eff.9-11-2019.

Chapter 31 Board of Registration for Professional Geologists

201 KAR 31:010 Fees {#sec-201-kar-31-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:010}

Section 1. Application Fee.

(1) The application fee for registration as a professional geologist or certification as a geologist-in-training shall be non-refundable pursuant to KRS 322A.050 and shall be paid with the filing of the application.

(2) The application fee for registration as a professional geologist or certification as a geologist-in-training shall be set at $225.

Section 2. Examination Fees. An applicant for registration as a professional geologist or certification as a geologist-in-training shall be responsible for payment of the required examination fee charged by the National Association of State Boards of Geology.

Section 3. Biennial Renewal Fees and Penalties. The fees established in subsections (1) through (5) of this section shall be paid in connection with licensure and certification renewals and late renewal penalties.

(1) The biennial renewal fee for registration as a professional geologist or certification as a geologist-in-training shall be set at $250.

(2) The late biennial renewal fee for registration or certification in active status as a professional geologist or certification as a geologist-in-training, including penalty, for late renewal during the ninety (90) day grace period shall be set at $300.

(3) The reinstatement fee for registration as a professional geologist or certification as a geologist-in-training renewal after the end of the ninety (90) day grace period and before the registration or certification is revoked pursuant to KRS 322A.060(3) shall be set at $350.

(4) In lieu of paying the biennial renewal fee, a person may opt to renew his or her registration or certification as inactive.

(a) The biennial inactive renewal fee shall be $100.

(b) A registration or certification may be renewed in inactive status indefinitely.

(d) The reinstatement fee for registration as a professional geologist or certification as a geologist-in-training as an inactive renewal after the end of the ninety (90) day grace period and before the registration or certification is revoked pursuant to KRS 322A.060(3) shall be $200.

(5) To reinstate a license from inactive status, a licensee shall remit the reinstatement fee in subsection (3) of this section.

Section 4. Duplicate Registration or Certification Fees. The fee for a duplicate of the original registration or certification certificate shall be ten (10) dollars.

History

RELATES TO: KRS 322A.050, 322A.060, 322A.070
STATUTORY AUTHORITY: KRS 322A.030(5), 322A.050, 322A.060(1), 322A.070(1), (3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8(2). The Kentucky Board of Registration for Professional Geologists is not among the agencies listed in Section 8(3) that require additional certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.040, 322A.050, and 322A.060 authorize the board to establish application, registration, renewal, and examination fees. KRS 322A.070(3) authorizes the board to replace registrations if needed. This administrative regulation establishes the fees charged by the board to apply for registration or certification, sit for the examination, and renew and reinstate a registration or certification.
History: 201 KAR 031:010.19 Ky.R. 1019; eff. 11-24-1992; Am. 20 Ky.R. 3222; eff. 8-4-1994; 28 Ky.R. 134; 560; eff. 9-10-2001; 32 Ky.R. 937; 1221; eff. 2-3-2006; 39 Ky.R. 2386; 40 Ky.R. 536; eff. 10-4-2013; 44 Ky.R. 127; 729; eff. 11-3-2017; Cert eff. 2-20-2020; 49 Ky.R. 1137; eff. 5-2-2023; 51 Ky.R. 1952, 52 Ky.R. 556; eff. 12-30-2025.

201 KAR 31:020 Compensation of board members {#sec-201-kar-31-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:020}

Section 1. Eligible members of the board shall receive compensation in the amount of $150 per day for each day of actual board service and travel expenses to the extent authorized by 200 KAR Chapter 2.

History

RELATES TO: KRS 322A.020(7)
STATUTORY AUTHORITY: KRS 322A.020(7), 322A.030
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.020(7) requires the board to set the compensation for board members by administrative regulation. This administrative regulation sets the compensation of board members.
History: 20 Ky.R. 451; eff. 10-8-93; 39 Ky.R. 2387; eff. 10-4-2013; Crt eff. 2-20-2020.

201 KAR 31:040 Applications and examinations {#sec-201-kar-31-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:040}

Section 1. General Requirements.

(1) The board shall furnish to applicants pertinent instructions which shall include:

(a) Arranging to take the required examination or examinations; and

(b) The place, the time, and the final date by which the board shall have received the applicant's materials.

(2) An applicant for examination shall submit a complete and notarized Application for Registration as a Professional Geologist and pay the application fees required by 201 KAR 31:010. Once the application has been approved by the board, the applicant shall arrangeto take the examination at the next regularly scheduled date.

(3) An applicant for registration shall submit with the notarized Application for Registration as a Professional Geologist:

(a) The fee as established in 201 KAR 31:010;

(b) A copy of passing examination results from the National Association of State Boards of Geology (ASBOG®) exam composed of the Fundamentals of Geology (FG) and the Practice of Geology (PG), if applicable;

(d) A copy of a job description for each position listed under employment history with a letter from the supervisor verifying the time, dates, and nature of the experience;

(e) A copy of each state certification, license, or registration ever held to practice geology, if applicable;

(f) Any supplemental sheets with details as to the state, agency, or organization's certificate, license, or registration number, date, and reason for action, if:

Ever refused certification, licensure, or registration or renewal; or
Ever had a certification, licensure, or registration to practice geology or any other profession revoked, suspended, or otherwise acted against in a disciplinary proceeding; and

(g) Any required documentation relating to:

A conviction of a crime in any jurisdiction that directly relates to the practice of geology or the ability to practice geology;
Indictment for, or the conviction of, a felony in any jurisdiction;
Being a subject of an investigation, injunction, fine or penalty concerning any alleged consumer, investor, or securities fraud in any jurisdiction; or
Being a defendant in any jurisdiction in a civil action arising out of the practice of geology.

(4) An applicant who fails to complete the application and examination process within one (1) year of the date of filing of the application shall file a new application and pay the fees required by 201 KAR 31:010 in order to be eligible for registration or certification.

Section 2. Examination for Registration.

(1) An applicant for registration shall submit to an examination composed of the Fundamentals of Geology (FG) and the Practice of Geology (PG) developed and owned by the National Association of State Boards of Geology (ASBOG®). The applicant shall obtain a scaled score equal to passage of seventy (70) percent on both the Fundamentals of Geology (FG) and the Practice of Geology (PG) examinations.

(2) If an applicant for registration fails one (1) or both of the examinations, the applicant may, with payment of the required fee, be rescheduled to take the examination at the next regularly scheduled examination date. An applicant who fails one (1) of the examinations shall be required to retake only the examination on which the applicant failed to achieve a passing scaled score.

Section 3. Examination for Certification as a Geologist-in-Training. An applicant for certification as a Geologist-in-Training shall:

(1) Submit to an examination composed of the Fundamentals of Geology (FG) developed and owned by the National Association of State Boards of Geology (ASBOG®);

(2) Obtain a scaled score equal to passage of seventy (70) percent; and

(3) Not take this examination prior to the applicant's final semester or quarter from an accredited college or university.

Section 4. Release of Information. A registered geologist or certified geologist-in-training shall complete and submit the Authorization for Release of Records form to the board to release a copy of his or her licensing or examination records to a third party.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Registration as a Professional Geologist", 10-10-2022; and

(b) "Authorization for Release of Records", 10-10-2022.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Registration for Professional Geologists, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, (502) 892-4261, Monday through Friday, 8 a.m. to 5:00 p.m. This material is also available on the board's Web site at https://bpg.ky.gov/.

History

RELATES TO: KRS 322A.030(3), (4), 322A.040(1)(c), 322A.045
STATUTORY AUTHORITY: KRS 322A.030(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.040(1)(c) requires administrative regulations governing the examination of applicants for registration. KRS 322A.045 requires the board to promulgate an administrative regulation governing the examination for an applicant for certification as a geologist-in-training. KRS 322A.030(5) authorizes the board to promulgate administrative regulations required to perform its duties. This administrative regulation establishes requirements concerning examinations.
History: 20 Ky.R. 3346; eff. 8-4-1994; 32 Ky.R. 938; 1221; eff. 2-3-2006; 39 Ky.R. 2388; 40 Ky.R. 537; eff. 10-4-2013; Cert eff. 2-20-2020; 49 Ky.R. 1140, 1605; eff. 5-2-2023.

201 KAR 31:050 Renewals {#sec-201-kar-31-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:050}

Section 1. Registration and Certification Renewals.

(1) A registered professional geologist or certified geologist-in-training shall before October 1 of each odd numbered year:

(a) Complete and file the Registration and Certification Renewal and Reinstatement form along with the following required documentation, if applicable:

Any required documentation for a felony conviction since the last application renewal; and
Any supplemental sheets with details relating to:

a. Denial of registration, certification, or licensure in another state; or

b. Disciplinary action in another state; and

(b) Pay to the board the renewal fee established by 201 KAR 31:010, Section 3.

(2)

(a) A certificate of registration that is not renewed before October 1 of each odd numbered year shall expire as provided by KRS 322A.060(1).

(b) A certificate for a geologist-in-training that is not renewed before October 1 of each odd numbered year shall expire as provided by KRS 322A.070.

Section 2. Late Renewals. A ninety (90) day grace period shall be allowed beginning October 1 of each odd numbered year, during which a registered professional geologist or certified geologist-in-training may:

(1) Continue to practice; and

(2) Renew his or her certificate of registration or certification by filing a completed Registration and Certification Renewal and Reinstatement form and by paying the renewal fee as provided by 201 KAR 31:010, Section 3.

Section 3. Suspension for Non-renewal.

(1) A certificate of registration or certification that is not renewed on or before December 29 of each odd numbered year shall be suspended for non-renewal.

(2) Upon suspension, the registered professional geologist or certified geologist-in-training shall:

(a) Not practice geology in Kentucky;

(b) Be notified by the board at the last known address available to the board of the suspension; and

Section 4. Reinstatement. After the ninety (90) day grace period and before the end of two (2) years, a professional geologist or geologist-in-training suspended for failure to renew may have his or her certificate of registration or certification reinstated upon:

(1) Payment of the reinstatement fee as provided by 201 KAR 31:010, Section 3;

(2) Completion of the Registration and Certification Renewal and Reinstatement form; and

(3) Documentation of employment and description of job duties from the time of suspension until the date of the renewal application.

Section 5. Inactive Renewals and Reactivation.

(1) A person who renews his or her registration or certification as inactive shall complete and submit Registration and Certification Renewal and Reinstatement form and remit the fee in 201 KAR 31:010, Section 3.

(2) A person may maintain an inactive registration or certification indefinitely if he or she pays the required biennial inactive renewal fees when due.

(3) A person with a registration or certification that is inactive shall not engage in the practice of geology and shall at all times be bound by the board's code of professional conduct in 201 KAR 31:060, the provisions of KRS Chapter 322A, and any other administrative regulation promulgated by the board.

(4) To reactivate a registration or certification, an inactive registrant or certificate holder shall complete and submit the Registration and Certification Renewal and Reinstatement form and remit the fee in 201 KAR 31:010, Section 3.

Section 6. Incorporation by Reference.

(1) The "Registration and Certification Renewal and Reinstatement form", 10-10-2022, is incorporated by reference.

History

RELATES TO: KRS 322A.060, 322A.070
STATUTORY AUTHORITY: KRS 322A.030(5), 322A.060, 322A.070
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.060 establishes conditions for the renewal, suspension, and revocation of certificates of registration. KRS 322A.070 authorizes the board to determine the initial and expiration dates for certificates of certification. KRS 322A.030(5) authorizes the board to promulgate administrative regulations required to perform its duties. This administrative regulation establishes procedures for the renewal of certificates of registration and certification.
History: 22 Ky.R. 998; Am. 1303; eff. 1-8-1996; 28 Ky.R. 135, 561; eff. 9-10-2001; 32 Ky.R. 940, 1222; eff. 2-3-06; 39 Ky.R. 2391; 40 Ky.R. 538; eff. 10-4-2013; Cert eff. 2-20-2020; 49 Ky.R. 1142, 1606; eff. 5-2-2023.

201 KAR 31:060 Code of professional conduct {#sec-201-kar-31-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:060}

Section 1. Public Trust and Welfare.

(1) The public practice of geology requires professional ethical conduct and professional responsibility, as well as scientific knowledge on the part of the registered professional geologist or geologist-in-training.

(2) A registered professional geologist or geologist-in-training shall protect, to the fullest extent possible, the public health and welfare, and public and private property, in carrying out the public practice of geology.

Section 2. Integrity in Professional Practice.

(1) A registered professional geologist or geologist-in-training shall be guided by the highest standards of ethics, honesty, integrity, personal honor, fairness, and professional conduct when engaged in the public practice of geology.

(2) A registered professional geologist or geologist-in-training shall provide professional service only within his or her scope of competency as determined by education, training, or experience in the technical areas involved.

(3) A registered professional geologist or geologist-in-training shall:

(a) Render professional services and shall apply appropriate technical knowledge and skills consistent with the standards of the profession;

(b) Distinguish between fact and opinion in all estimates, descriptions, locations, and evaluations provided;

(d) Base his or her professional conclusions upon empirical knowledge and commonly recognized geological principles.

(4) A registered professional geologist or geologist-in-training shall not use, issue, or provide false, misleading, or deceptive information.

(5) A registered professional geologist shall sign and seal only professional work for which he or she has direct professional knowledge for which he or she shall be responsible.

Section 3. Relationship of Registered Professional Geologists and Geologist-In-Training to Employer or Client.

(1) A registered professional geologist and geologist-in-training shall provide adequate and accurate representation of his or her credentials, qualifications, and scope of responsibilities for all previous professional and academic experience when negotiating with prospective employers or clients.

(2) A registered professional geologist and geologist-in-training shall protect the interest of his or her employer or client, and the confidentiality of information obtained from an employer or client.

(3) It shall not be a violation of subsection (2) of this section if a registered professional geologist or a geologist-in-training reports in good faith an immediate or potential danger to the health, safety, or welfare of the public to the appropriate federal, state, or local authority.

(4) A registered professional geologist or geologist-in-training shall avoid conflict of interest with an employer or client and shall disclose the circumstances to the employer or client if a conflict exists. A registered professional geologist or geologist-in-training shall disclose to all parties:

(a) Any financial interest, compensation, or other value made to any person for the purpose of securing a contract, assignment, or engagement;

(b) Any financial or beneficial interest the registered professional geologist or geologist-in-training has in any contract or entity providing goods or services, other than services for the public practice of geology, to a project or engagement;

(c) Any financial interest, compensation, or other value from more than one (1) employer or client on the same or substantially similar project; or

(d) Any financial interest, compensation, or other value which affects the registered professional geologist's or geologist-in-training's employment or client.

(5) A registered professional geologist or geologist-in-training in the public practice of geology shall not engage in fraud or material deception in the delivery of professional services, including reimbursement or compensation.

(6) A registered professional geologist or geologist-in-training shall give reasonable notice of withdrawal of service from an employer or client except that the registered professional geologist or geologist-in-training may withdraw without reasonable notice if:

(a) The registered professional geologist or geologist-in-training fails to receive adequate compensation, or has reasonable cause to believe that compensation for services performed will not be received;

(b) The registered professional geologist or geologist-in-training knows, or has reasonable cause to believe, that continued employment will result in a violation of KRS Chapter 322A, 201 KAR Chapter 31, or otherwise be in violation of local, state, or federal law;

(c) The registered professional geologist or geologist-in-training knows, or has reasonable cause to believe, that the employer or client is in violation of local, state, or federal law or is involved in fraudulent or deceptive practices, or practices dangerous to the public health and welfare or property; or

(d) The registered professional geologist or geologist-in-training knows, or has reasonable cause to believe, that continued employment may result in sickness or injury to the registered professional geologist, geologist-in-training, or third-parties who may be affected.

Section 4. Relationship of Professional Geologists and Geologists-in-Training to Other Related Disciplines.

(1) A registered professional geologist or geologist-in-training shall:

(a) Give credit for work done by others to whom credit is due;

(b) Not plagiarize oral and written communications; and

(2) A registered professional geologist or geologist-in-training shall engage, or advise an employer or client to engage, other experts or specialists if in the best interests of the employer or client.

(3) If a registered professional geologist or geologist-in-training has knowledge or reasonable cause to believe another person or geologist is in violation of any provision of KRS Chapter 322A or 201 KAR Chapter 31, the registered professional geologist or geologist-in-training shall file an initiating complaint pursuant to 201 KAR 31:090.

(4) A registered professional geologist shall provide adequate supervision and training to other registered professional geologists or other geologists-in-training the registered professional geologist is supervising, and make them aware of this code of professional conduct.

Section 5. Grounds for Disciplinary Action.

(1) A registered professional geologist or geologist-in-training shall not:

(a) Violate any provision of KRS Chapter 322A or 201 KAR Chapter 31 including this code of professional conduct;

(b) Issue a false, misleading, or deceptive statement or information, or make a sensational, exaggerated, or unwarranted statement while engaged in the public practice of geology;

(d) Fail to comply with an order issued by the board;

(e) Fail to cooperate with the board by:

Unreasonably refusing to furnish a document or other tangible evidence requested by the board;
Unreasonably refusing to furnish in writing a complete explanation covering a matter contained in a complaint against the registered professional geologist or geologist-in-training filed with the board;
Not appearing before the board at a time and place designated by the board during the investigation of a complaint or hearing without good cause; or
Not properly responding to a subpoena issued by the board.

(f) Aide or abet an unregistered person or uncertified in the public practice of geology when registration or certification is required;

(g)

Be convicted of:

a. A felony; or

b. A misdemeanor which may impact that person's ability to engage in the public practice of geology with reasonable care and skill; and

A conviction shall include:

a. A finding or verdict of guilt;

b. An admission of guilt;

c. A plea of Alford or nolo contendere; or

d. The suspension or deferral of a sentence; or

(h) Engage in the public practice of geology if the registered professional geologist or geologist-in-training may be impaired by a reason of a mental, physical, or other condition that impedes his or her ability to practice competently.

(2) A registered professional geologist shall not:

(a) Fail to provide adequate supervision to persons for whom the registered professional geologist is professionally responsible; and

(b) Sign, seal, or stamp professional geological work not prepared under his or her direct professional knowledge, control or supervision.

History

RELATES TO: KRS 322A.010, 322A.030(6), 322A.100
STATUTORY AUTHORITY: KRS 322A.030
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.030(6) requires the board to promulgate by administrative regulation a code of professional conduct. KRS 322A.030(5) authorizes the board to promulgate administrative regulations necessary to conduct its responsibilities and duties. KRS 322A.100 authorizes the board to discipline a registered professional geologist or geologist-in-training. This administrative regulation establishes a code of professional conduct, which includes a list of grounds for disciplinary action against a registered professional geologist or geologist-in-training.
History: 23 Ky.R. 213; Am. 1583; eff. 9-13-96; 32 Ky.R. 941; 1223; eff. 2-3-2006; 39 Ky.R. 2391; 40 Ky.R. 537; eff. 10-4-2013; Crt eff. 2-20-2020.

201 KAR 31:080 Geologist-in-training {#sec-201-kar-31-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:080}

Section 1. Examination and Passing Score.

(1) The examination required by KRS 322A.045(2) shall be the Fundamentals of Geology (FG), developed and owned by the National Association of State Boards of Geology (ASBOG®).

(2) The passing score on the examination shall be seventy (70) percent.

Section 2. Rights and Privileges. A geologist-in-training shall:

(1) Prepare geologic reports, documents, or conduct any geological work only while under the direct supervision of a registered professional geologist;

(2) Clearly identify himself or herself on any geologic reports or documents and to the public as a "geologist-in-training";

(3) Limit his or her professional geologic work to the specific services for which he or she is competent based on professional, training, education, and experience; and

(4) Not provide supervision for a registered professional geologist or another geologist-in-training.

Section 3. Incorporation by Reference.

(1) "Application for Certification as a Geologist-in-Training", July 10, 2013 edition, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Registration for Professional Geologists, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, (502) 564-3296, Monday through Friday, 8 a.m. to 5:00 p.m.

History

RELATES TO: KRS 322A.010(6), 322A.045(2), 322A.070(5)
STATUTORY AUTHORITY: KRS 322A.030(5), 322A.045(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.070(5) authorizes the board to issue a certificate as a geologist-in-training to a person who pays the required fee and who, in the opinion of the board, meets the requirements established in KRS 322A.045. KRS 322A.010(6) authorizes the board to set the academic qualifications and establishes the examination and passing score required for certification as a geologist-in-training. KRS 322A.070(5) indicates that a person who is issued a certificate as a geologist-in-training is entitled to certain rights and privileges while credentialed. KRS 322A.030(5) authorizes the board to promulgate administrative regulations necessary to the conduct of its responsibilities and duties. This administrative regulation establishes the examination, and the required passing score for certification, and establishes the rights and privileges relative to the practice of a geologist-in-training.
History: 32 Ky.R. 1012; 1224; eff. 2-3-2006; 39 Ky.R. 2391; 40 Ky.R. 540; eff. 10-4-2013; Crt eff. 2-20-2020; TAm eff. 10-13-2022.

201 KAR 31:090 Complaint management process {#sec-201-kar-31-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:090}

Section 1. Definitions.

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

(2) "Charge" means a specific allegation contained in a Notice of Administrative Hearing, as established in subsection (7) of this section, issued by the board alleging a violation of a specified provision of KRS Chapter 322A or 201 KAR Chapter 31.

(3) "Complaints committee" means the committee appointed pursuant to Section 7 of this administrative regulation.

(4) "Informal proceeding" means a proceeding instituted before, during, or after the disciplinary process with the intent of reaching a disposition of a matter.

(5) "Initiating complaint" means a written statement alleging possible misconduct by a registered professional geologist or geologist-in-training, or other person which might constitute a violation of KRS Chapter 322A or 201 KAR Chapter 31.

(6) "Investigator" means an individual designated by the board to assist the board in the investigation of a complaint.

(7) "Notice of Administrative Hearing" means a formal administrative pleading authorized by the board which sets forth charges against a registered professional geologist or geologist-in-training and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B.

Section 2. Receipt of Initiating Complaints.

(1)

(a) An initiating complaint may be submitted by an individual, organization, entity, or the board based on information in its possession.

(b) An initiating complaint shall be in writing and shall be signed by the person offering the initiating complaint.

(2) Upon receipt of an initiating complaint.

(a) A copy of the initiating complaint shall be sent to the individual named in the initiating complaint, along with a request for that individual's response to the initiating complaint.

(b) The individual shall submit a written response within twenty (20) days from the date of receipt.

Section 3. Initial Review.

(1)

(a) After the receipt of an initiating complaint and the expiration of the period for the individual's response, the complaints committee shall consider the initiating complaint, the individual's response, and other relevant material available and make a recommendation to the board.

(b) The board shall determine whether there is enough evidence to warrant an investigation of the initiating complaint.

(2) If, in the opinion of the board, an initiating complaint does not warrant an investigation of the initiating complaint, the board shall dismiss the initiating complaint and shall notify both the complaining party and the individual of the outcome of the initiating complaint.

(3) If, in the opinion of the board, an initiating complaint warrants an investigation against either a registered professional geologist, geologist-in-training, or a person who may be practicing without appropriate credential, the board shall authorize an investigator to investigate the matter and make a report to the complaints committee.

Section 4. Results of Formal Investigation; Board Decision on Hearing.

(1)

(a) Upon completion of an investigation, the investigator shall submit a report to the complaints committee of the facts regarding the initiating complaint.

(b) The complaints committee shall review the investigative report and make a recommendation to the board.

(c) The board shall determine whether there is enough evidence to believe that a violation of KRS Chapter 322A or 201 KAR Chapter 31 may have occurred and whether a Notice of Administrative Hearing shall be filed.

(2)

(a) If, in the opinion of the board, an initiating complaint does not warrant the issuance of a Notice of Administrative Hearing, the board shall dismiss the initiating complaint or take other action in accordance with Section 5 of this administrative regulation.

(b) The board shall notify both the complaining party and the individual of the outcome of the initiating complaint.

(3) If, in the opinion of the board, a person may be practicing without appropriate credential, the board may:

(a) Issue a letter ordering that person to cease and desist from the uncredentialed practice of geology or using any words or phrases prohibited by KRS 322A.090(2); or

Section 5. Settlement by Informal Proceedings; Letter of Admonishment.

(1) The board, through counsel and the complaints committee, may enter into informal proceedings with the individual who is the subject of the initiating complaint for the purpose of appropriately dispensing with the matter.

(a) 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 initiating complaint.

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

(2)

(a) The board may issue a written admonishment to the registered professional geologist or geologist-in-training if in the judgment of the board:

An alleged violation is not of a serious nature; and
The evidence presented to the board after the investigation and appropriate opportunity for the registered professional geologist or geologist-in-training to respond, provides a clear indication that the alleged violation did in fact occur.

(b) A copy of the admonishment shall be placed in the permanent file of the registered professional geologist or geologist-in-training.

(c) Within thirty (30) days of receipt of a written admonishment, the registered professional geologist or geologist-in-training may file:

A response to the written admonishment which shall be placed in the registered professional geologist's or geologist-in-training's permanent file; or
A request for hearing with the board. Upon receipt of this request, the board shall set aside the written admonishment and set the matter for hearing pursuant to the provisions of KRS Chapter 13B.

Section 6. Notice and Service Process. A notice required by KRS Chapter 322A or this administrative regulation shall be issued pursuant to KRS 13B.040.

Section 7. Complaints Committee. The Complaints Committee shall:

(1) Be appointed by the chair of the board to:

(a) Review an initiating complaint or investigative report; and

(b) Participate in an informal proceeding to resolve a formal complaint;

(2) Consist of two (2) board members, who may be assisted by board staff, an investigator, and counsel.

History

RELATES TO: KRS 322A.030(6), (7), (8), 322A.100(1)-(5)
STATUTORY AUTHORITY: KRS 322A.030(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.030(8) allows any person or organization to file a complaint regarding misconduct against any registered professional geologist or geologist-in-training. KRS 322A.090(2) prohibits any person not registered by the board from practicing geology or using or otherwise assuming in any way any title or description tending to convey the impression that the person is a registered professional geologist. This administrative regulation establishes procedures for the investigation of a complaint received by the board.
History: 32 Ky.R. 1013; 1225; eff. 2-3-2006; 39 Ky.R. 2395; 40 Ky.R. 540; eff. 10-4-2013; Crt eff. 2-20-2020.

201 KAR 31:100 Administrative subpoena {#sec-201-kar-31-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 31:100}

Section 1. Definitions.

(1) "Document" means information in any form or format that is relevant to a review or investigation conducted by the board and may include:

(a) Originals, copies, and drafts;

(b) Written documents;

(d) Books;

(e) Computer files;

(f) Photographs;

(g) Audio and video recordings;

(h) Correspondence;

(i) Electronic mail; or

(j) Drawings and blueprints.

(2) "Respondent" means any person, individual, corporation, business trust, estate, trust partnership, limited liability company, association, organization, joint venture, government or any subdivision, agency or instrumentality thereof, or any other legal or commercial entity.

Section 2. The Kentucky Board of Registration for Professional Geologists may issue an administrative subpoena to investigate a complaint or suspected violation of KRS Chapter 322A.

Section 3. Administrative Subpoenas.

(1) The board shall issue a subpoena in accordance with KRS 322A.030(12) to require the production of books, papers, documents, or other evidence at a specified time and place.

(2) If information requested by the board is encrypted, the respondent shall:

(a) Provide the information in a readable format; and

(b) Provide proof acceptable to the board that the requested information has been translated to a readable format without error or omission.

(3) A person or entity served with a subpoena in accordance with subsection (1) of this section shall not intentionally destroy, alter, or falsify documents requested by the board.

Section 4. Noncompliance.

(1) If a person fails without good cause to produce requested documents in accordance with Section 3(1) of this administrative regulation, the board may apply to the circuit court of the county in which compliance is sought for an appropriate order to compel compliance with the provisions of the subpoena.

(2) If a person served with a subpoena issued pursuant to Section 3(1) of this administrative regulation believes that the subpoena seeks to compel the production of documents that are protected, privileged, or not properly the subject of an administrative subpoena, the individual may, prior to the date designated for the production of the documents, apply to the circuit court of the county in which compliance is sought for an appropriate protective order limiting the scope of the subpoena or quashing it entirely.

History

RELATES TO: KRS 322A.030(12)
STATUTORY AUTHORITY: KRS 322A.030(5), (12)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 322A.030(5) authorizes the Kentucky Board of Registration for Professional Geologists to promulgate administrative regulations required to perform its duties. KRS 322A.030(12) authorizes the board to issue subpoenas to assist in the investigation of a complaint or a suspected violation of KRS Chapter 322A. This administrative regulation establishes procedures for issuing an administrative subpoena.
History: 41 Ky.R. 210; Am. 441; eff. 10-3-2014; Crt eff. 2-20-2020.

Chapter 32 Board of Licensure of Marriage and Family Therapists

201 KAR 32:010 Definitions for 201 KAR Chapter 32 {#sec-201-kar-32-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:010}

Section 1. Definitions.

(1) "Academic courses offered by an accredited postsecondary institution" means a marriage and family therapy course, designated by a marriage and family therapy course title or content, beyond the undergraduate level.

(2) "Approved" means recognized by the Kentucky Board of Licensure of Marriage and Family Therapists.

(3) "Approved supervisor" means an individual who:

(a) Holds a designation as an approved supervisor or supervisor in training granted by the American Association for Marriage and Family Therapy; or

(b) Is licensed as a marriage and family therapist in the Commonwealth of Kentucky with a minimum of five (5) years of experience in the practice of marriage and family therapy, eighteen (18) months of which shall be as a therapist licensed in the Commonwealth of Kentucky.

(4) "Clinical supervision" means the direct, face-to-face interaction between the supervisor and supervisee which utilizes a partnership aimed at enhancing the professional development of supervisees in providing marriage and family therapy services.

(5) "Continuing education hour" means fifty (50) clock minutes of participating in continuing educational experiences.

(6) "Equivalent course of study" means a master's or doctoral degree from a regionally accredited institution in a mental health field closely related to marriage and family therapy which either contains, or has been supplemented by, the coursework in each of the basic core areas listed in 201 KAR 32:020, Section 2(2).

(7) "Program" means an organized learning experience planned and evaluated to meet behavioral objectives; programs may be presented in one (1) session or in a series.

(8) "Provider" means an organization approved by the Kentucky Board of Licensure for Marriage and Family Therapists for providing continuing education programs.

(9) "Raw data" means video recorded sessions, live observation, or co-therapy with a board approved supervisor.

(10) "Relevant" means having content applicable to the practice of marriage and family therapy as determined by the board.

(11) "Successful completion" means that the licensee has satisfactorily met the specific requirements of the program and the licensee has earned the continuing education hours.

(12) "Two (2) years experience in the practice of marriage and family therapy" means a minimum of two (2) years' of the practice of marriage and family therapy consisting of 1,000 hours of direct, face-to-face contact with individuals, couples, and families in the practice of marriage and family therapy under the supervision of an approved supervisor.

History

RELATES TO: KRS 335.330
STATUTORY AUTHORITY: KRS 335.320
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.320(9) requires the board to promulgate administrative regulations to implement the purpose and scope of KRS 335.300 to 335.399. This administrative regulation establishes definitions for 201 KAR Chapter 32.
History: 22 Ky.R. 419; Am. 903; eff. 10-19-95; 26 Ky.R. 109; 722; eff. 10-20-99; 30 Ky.R. 978; 1764; eff. 1-23-2004; 38 Ky.R. 1366; 1552; eff. 3-21-2012; Crt eff. 2-27-2020.

201 KAR 32:020 Equivalent course of study {#sec-201-kar-32-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:020}

Section 1. Definition. "Related field" means psychology, community mental health, social work, or professional counseling.

Section 2. An applicant for licensure as a marriage and family therapist shall:

(1) Comply with the requirements of KRS 335.330; and

(2) Submit an application on the Application for Licensure as a Marriage and Family Therapist or Marriage and Family Therapist Associate form, incorporated by reference in 201 KAR 32:025.

(3) An applicant completing a postgraduate degree program, master's degree program, or doctoral degree program accredited by the Commission on Accreditation of Marriage and Family Education who also has completed a master's or doctoral degree program in a related field may count clinical contact hours and clinical supervision hours earned in a Commission on Accreditation of Marriage and Family Education postgraduate degree program, masters degree program, or doctoral degree program towards the clinical supervision requirements for licensure.

Section 3. The basic core areas that are necessary in order to qualify as an equivalent course of study, shall include the following:

(1) Marriage and family studies. This area shall include a minimum of three (3) courses (nine (9) semester hours, twelve (12) quarter hours, or 135 didactic contact hours). Courses in this area shall be theoretical in nature and have a major focus of system theory orientation, and may include:

(a) Systems theory;

(b) Family development;

(d) Cultural issues in families;

(e) Family subsystems;

(f) Major models of family systems theory; or

(g) Gender issues in families;

(2) Marriage and family therapy. This area shall include a minimum of three (3) courses (nine (9) semester hours, twelve (12) quarter hours, or 135 didactic contact hours). Courses in this area shall have a major focus on family systems theory and systemic therapeutic interventions. Courses shall relate to major theories of family systems change and therapeutic practices evolving from each theoretical model. Examples include:

(a) Structural communications family therapy;

(b) Strategic object relations family therapy;

(d) Intergenerational family therapy;

(e) Solution oriented family therapy;

(f) Narrative family therapy; and

(g) Systemic sex therapy;

(3) Human development. This area shall include a minimum of three (3) courses (nine (9) semester hours, twelve (12) quarter hours, or 135 didactic contact hours). Courses in this area shall provide knowledge of individual human personality development in both normal and abnormal manifestations. Topic areas include, for example:

(a) Human development;

(b) Personality theory;

(d) Effects of gender and cultural issues on human development;

(4) Psychopathology and Diagnostic and Statistical Manual of Mental Disorders. This area shall include a one (1) course minimum (three (3) semester hours, four (4) quarter hours, or forty-five (45) didactic contact hours). Courses in this area shall include psychopathology, diagnosis through use of the Diagnostic and Statistical Manual of Mental Disorders, or applications of the Diagnostic and Statistical Manual of Mental Disorders to marriage and family therapy;

(5) Professional studies. This area shall include a minimum of one (1) course minimum (three (3) semester hours, four (4) quarter hours, or forty-five (45) didactic contact hours). Courses include, for example:

(a) Professional ethics in marriage and family therapy;

(b) Legal responsibilities of the therapist;

(d) Licensure or certification legislation; and

(e) Independent practice issues;

(6) Research. This area shall include a minimum of one (1) course minimum (three (3) semester hours, four (4) quarter hours, or forty-five (45) didactic contact hours). Courses may include:

(a) Statistics;

(b) Research methods;

(d) Other courses designed to assist the student to understand and perform research; or

(7) Practicum or internship. The practicum or internship shall include a minimum of one (1) year or 300 hours of supervised direct client contact with individuals, couples, and families for family therapy.

(a) An applicant who did not complete a clinical practicum in graduate school may satisfy the practicum requirement with his or her first 300 post masters' client contact hours.

(b) These hours shall not be counted toward the two (2) years of required post master's experience or the 200 hours of clinical supervision.

Section 4. A course used to fulfill one (1) of the requirements established in Section 2 of this administrative regulation shall not be used to fulfill more than one (1) of the basic core area requirements.

Section 5.

(1) An applicant who completed a qualifying graduate degree in a mental health field prior to 1985 may substitute conferences, workshops, seminars, or in-service training related to marriage and family therapy attended or presented as a substitute for college coursework required in Section 3 of this administrative regulation.

(2) Forty-five (45) contact hours of relevant content shall equal three (3) semester hours of credit.

(3) A list of equivalencies the applicant wishes to have considered shall be organized by core area as established in Section 3 of this administrative regulation.

(4) Appropriate documentation shall include:

(a) Date;

(b) Title;

(d) Sponsoring organization;

(e) Presenter, including presenter's qualifications;

(f) Number of contact hours attended or presented; and

(g) Certificates of attendance.

Section 6. Other acceptable equivalencies shall be considered as follows:

(1) One (1) graduate level course taught on a subject relevant to marriage and family therapy after 1985 shall be considered equivalent to three (3) semester hours of credit.

(2) Publication on a subject relevant to marriage and family therapy dated after 1985 may be submitted as equivalencies as acceptable to the board. Credit shall be granted as follows:

(a)

A chapter in a book is equivalent to three (3) semester hours of credit.
An applicant who authors or edits a book shall be given credit equivalent to six (6) semester hours of credit.
An applicant shall submit a copy of the title page, table of contents, and bibliography.

(b)

Publication in a professional refereed journal shall be equivalent to three (3) semester hours of credit.
An applicant shall submit the journal table of contents and a copy of the article as it appeared in the journal including bibliography.

History

RELATES TO: KRS 335.330(1), (2)
STATUTORY AUTHORITY: KRS 335.320(9), 335.330(1), (2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.330(1) provides that the board shall define a course of study equivalent to a master's degree in marriage and family therapy and promulgate the equivalency standard by administrative regulations. This administrative regulation establishes the criteria for the equivalent course of study.
History: 22 Ky.R. 420; Am. 903; eff. 10-19-95; 26 Ky.R. 425; 723; eff. 10-20-99; 35 Ky.R. 1861; 2412; eff. 6-5-2009; 38 Ky.R. 1368; 1553; eff. 3-21-2012; Crt eff. 2-27-2020.

201 KAR 32:030 Fees {#sec-201-kar-32-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:030}

Section 1. Initial Application Fee. The initial application fee for licensure as a marriage and family therapist shall be:

(1) Fifty (50) dollars;

(2) Nonrefundable; and

(3) Payable to the Kentucky State Treasurer.

Section 2. Initial Licensure Fee. The initial fee for licensure as a marriage and family therapist shall be:

(1) $175;

(2) Nonrefundable; and

(3) Payable to the Kentucky State Treasurer.

Section 3. Initial Application.

(1) An applicant for licensure as a marriage and family therapist shall submit a completed Licensure as a Marriage and Family Therapist Application to the board in accordance with KRS 335.330 and with the fees required under Sections 1 and 2 of this administrative regulation.

(2) The applicant shall complete six (6) hours of training in the field of suicide assessment, treatment, and management every six (6) years as required by 201 KAR 32:060, Section 1(4).

(3) The applicant shall complete the three (3) hours of training in the field of domestic violence, elder abuse, neglect, and exploitation within three (3) years of licensure as required by 201 KAR 32:060, Section 1(5).

(4) The applicant shall document professional experience obtained as a marriage and family therapy associate, including 1,000 client hours over a minimum of two (2) years, and verify clinical supervision as required by 201 KAR 32:035.

Section 4. Examination Fee.

(1) An applicant shall pass the National Marital and Family Therapy Examination administered and verified by the Association of Marital and Family Therapy Regulatory Boards.

(2) The applicant shall pay the required examination fee.

Section 5. Renewal Fee.

(1) A licensed marriage and family therapist shall submit a completed Licensure as a Marriage and Family Therapist Renewal Application to the board in accordance with KRS 335.340.

(2) The fee for renewal of licensure as a marriage and family therapist shall be:

(a) $150 annually;

(b) Nonrefundable; and

(3) The licensee shall complete six (6) hours of training in the field of suicide assessment, treatment, and management every six (6) years as required by 201 KAR 32:060, Section 1(4).

(4) The licensee shall complete the three (3) hours of training in the field of domestic violence, elder abuse, neglect, and exploitation within three (3) years of licensure as required by 201 KAR 32:060, Section 1(5).

(5) The licensee shall submit proof of completion of the continuing education requirements under 201 KAR 32:060.

Section 6. Late Renewal Fees.

(1) A licensee who renews a license during the ninety (90) day grace period provided by KRS 335.340(3) shall pay a late renewal fee of seventy-five (75) dollars in addition to the payment of the renewal fee as established in Section 5 of this administrative regulation.

(2) The fee shall be:

(a) Nonrefundable; and

(b) Payable to the Kentucky State Treasurer.

Section 7. Administrative Fine. A licensee who fails to meet the continuing education unit requirements as set forth in 201 KAR 32:060, by the renewal date, shall pay an additional administrative fine of seventy-five (75) dollars.

Section 8. Reinstatement of Expired License.

(1) In accordance with KRS 335.340, an expired license shall be reinstated by:

(a) Submitting a completed Application for License Reactivation;

(b) Paying of the renewal fee as established in Section 5 of this administrative regulation for each year since the date of last active licensure;

Nonrefundable; and
Payable to the Kentucky State Treasurer; and

(d) Meeting all other requirements of this section of this administrative regulation.

(2) The applicant for reinstatement of an expired license shall submit proof of:

(a) Completion of fifteen (15) hours of continuing education for each year since the date of last active licensure as required by 201 KAR 32:060;

(b) Completion of six (6) hours of training in the field of suicide assessment, treatment and management every six (6) years as required by 201 KAR 32:060, Section 1(4); and

(c) Completion of three (3) hours of training in the field of domestic violence, elder abuse, neglect, and exploitation within three (3) years of licensure as required by 201 KAR 32:060, Section 1(5).

Section 9. Fees for Providers of Continuing Education.

(1) There shall be a nonrefundable fee of $100 for a single continuing education workshop offered an unlimited number of times in a calendar year, January 1 to December 31. The provider shall submit the Continuing Education Program Provider Approval Application at least sixty (60) days in advance of the commencement of the program and with the applicable fee required under this subsection.

(2) There shall be a nonrefundable fee of $300 for a provider designated as an approved sponsor for continuing education and that is providing more than one (1) continuing education program for two (2) consecutive calendar years, January 1 to December 31. The provider shall submit the Application for Continuing Education Sponsor at least sixty (60) days in advance of the commencement of the program and with the applicable fee required under this subsection.

(3) The marriage and family therapist, and the marriage and family therapy associate shall submit the Application for Continuing Education Program Approval Individual for post approval only.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Licensure as a Marriage and Family Therapist Application", July 2016;

(b) "Licensure as a Marriage and Family Therapist Renewal Application", July 2016;

(d) "Continuing Education Program Provider Approval Application", July 2021;

(e) "Application for Continuing Education Program Approval Individual", 2016; and

(f) "Application for Continuing Education Sponsor", May 2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensure for Marriage and Family Therapists, 500 Mero Street, 2SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m.

History

RELATES TO: KRS 335.330, 335.340(1), (3), 335.342
STATUTORY AUTHORITY: KRS 335.320(4), 335.330, 335.340(1), (3), 335.348
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.330 requires the board to promulgate an administrative regulation establishing the initial fee for licensure required to be paid by an applicant for licensure and requires an applicant to pass a written examination prescribed by the board. KRS 335.340(1) requires that all licenses issued under KRS 335.330 shall be renewed annually, and that the board promulgate an administrative regulation establishing the fee for licensure renewal. KRS 335.340(3) requires the board to promulgate an administrative regulation establishing the late renewal fee. This administrative regulation establishes fees for licensure as a marriage and family therapist or marriage and family therapy associate.
History: 22 Ky.R. 421; Am. 904; eff. 10-19-1995; 24 Ky.R. 642; 1132; eff. 11-14-1997; 28 Ky.R. 136; 561; eff. 9-10-2001; 35 Ky.R. 1863; 2415; eff. 7-31-2009; 43 Ky.R. 240, 536; eff. 10-19-2016; 47 Ky.R. 1611, 2608; 48 Ky.R. 329; eff. 8-26-2021.

201 KAR 32:035 Supervision of marriage and family therapy associates {#sec-201-kar-32-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:035}

Section 1. Definitions.

(1) "Group supervision" means supervision of three (3) to six (6) supervisees with the supervisor.

(2) "Individual supervision" means supervision of one (1) or two (2) supervisees with the supervisor.

(3) "Qualified mental health professional" means a licensed marriage and family therapist, licensed psychologist, licensed psychiatrist, licensed professional clinical counselor, or licensed clinical social worker.

(4) "Raw data" means video recorded sessions, live observation, or co-therapy with a board-approved supervisor.

(5) "Two (2) years of post-licensure experience in the practice of marriage and family therapy" means a minimum of two (2) years of the practice of marriage and family therapy consisting of 1,000 hours of direct, face-to-face or telehealth contact with individuals, couples, families, and groups in the practice of marriage and family therapy under the supervision of an approved supervisor. Face-to-face for the purposes of this definition includes synchronous contact via technology assisted services for those who have met the training requirements of 201 KAR 32:110.

Section 2. Qualifications for Board-Approved Supervisors Status.

(1) Until December 31, 2015, a board-approved supervisor shall be:

(a) An American Association for Marriage and Family Therapy (AAMFT) approved supervisor in good standing;

(b) An AAMFT supervisor candidate; or

(c) A marriage and family therapist in good standing, who is licensed in Kentucky and has a minimum of five (5) years of post-licensure experience in the practice of marriage and family therapy.

(2) Except as established in subsection (3) of this section, effective January 1, 2016, a board-approved supervisor shall be:

(a) An American Association for Marriage and Family Therapy (AAMFT) approved supervisor in good standing, who is licensed in Kentucky and has a minimum of two (2) years of post-licensure experience in the practice of marriage and family therapy;

(b) An AAMFT supervisor candidate in good standing who is licensed in Kentucky and has three (3) years of post-licensure experience in the practice of marriage and family therapy; or

(c) A marriage and family therapist in good standing, who is licensed in Kentucky and has a minimum of five (5) years of post-licensure experience in the practice of marriage and family therapy, with the last eighteen (18) months of experience being in Kentucky.

(3) AAMFT approved supervisors, AAMFT supervisor candidates, and non-AAMFT board approved supervisors, approved as of December 31, 2015, shall maintain board approved status.

(4) To obtain initial board-approved supervisor status, an applicant who is not an AAMFT supervisor or supervisor candidate in good standing shall provide proof of completion of six (6) hours of board-approved continuing education courses in supervision.

(a) The course shall be taken within the two (2) years preceding the date of application to become a board-approved supervisor.

(b) This requirement shall be in addition to the hours of continuing education required for licensure renewal.

Kentucky law governing the practice of marriage and family therapy, both in KRS 335.300 to 335.399 and 201 KAR Chapter 32;
Theories of supervision;
Ethical issues involved in supervision; and
Supervisor responsibilities such as logs, treatment planning, and recording.

(5) To maintain board-approved supervisor status, a non-AAMFT approved supervisor shall complete at least two (2) hours of continuing education in supervision every year. These two (2) hours shall be included in the hours of continuing education required for licensure renewal. Each approved course shall be live or online and shall include:

(a) Kentucky law governing the practice of marriage and family therapy, both in KRS 335.300 to 335.399 and 201 KAR Chapter 32;

(b) Theories of supervision;

(d) Supervisor responsibilities such as logs, treatment planning, and recording.

(6) To renew as a board-approved supervisor, an AAMFT approved supervisor or supervisor candidate shall complete at least one (1) hour of continuing education every year in Kentucky law governing the practice of marriage and family therapy found both in KRS 335.300 to 335.399 and 201 KAR Chapter 32. The course shall be attended live or online. The one (1) hour shall be included in the hours of continuing education required for licensure renewal.

Section 3. Clinical Supervision.

(1) Clinical supervision shall:

(a) Be equally distributed throughout the qualifying period and shall average at least four (4) hours per month as specified in the supervision contract;

(b) Be clearly distinguishable from psychotherapy, didactic enrichment, or training activities;

(d) Be direct, face-to-face contact between the supervisor and supervisee or be conducted via live video conferencing if both the supervisor and supervisee have met the educational requirements of 201 KAR 32:110, Section 3(1) and (2); and

(e) Continue until the supervisee is licensed by the board.

(2) The supervision process shall focus on:

(a) Accurate diagnosis of client problems leading to proficiency in applying professionally recognized nomenclature and developing a plan for treatment as established in DSM 5: Diagnostic and Statistical Manual of Mental Disorders, 5th Edition (2013);

(b) Development of treatment skills appropriate to the therapeutic process;

(d) Acknowledgment of an awareness of the use of the professional self of the therapist in the process of therapy;

(e) Increased theoretical and applied knowledge for the therapist;

(f) Acquisition of a greater depth of knowledge and range of techniques in the provision of marriage and family therapy; and

(g) Awareness of ethical issues in practice, in order to safeguard and enhance the quality of care available to marriage and family therapy clients.

Section 4. Standards for Raw Data Used for Supervision. The use of raw data in a supervision session shall constitute a minimum of fifty (50) hours of the 200 hours of required supervision. In a group setting, raw data can only be used for an individual presenting or conducting the raw data, not the entire group.

Section 5. In a therapy session involving a board-approved supervisor and supervisee:

(1) The role of the board-approved supervisor as a supervisor or co-therapist shall be clearly defined prior to beginning a therapy session; and

(2) The supervisees shall receive credit for client contact hours and supervision hours.

Section 6. Documentation Requirements.

(1) The board-approved supervisor and marriage and family therapy associate shall maintain copies of the completed Supervisory Log, which shall document:

(a) The frequency and type of supervision provided; and

(b) The method of supervision utilized, such as observation, dialogue and discussion, and instructional techniques employed.

(2) No more than 100 hours of supervision shall take place in group supervision.

(3) At least 100 hours shall take place in individual supervision.

Section 7. Number of Supervisees.

(1) A board-approved supervisor shall not supervise more than twelve (12) marriage and family therapy associates at the same time, unless approved by the board.

(2) A request to supervise more than twelve (12) marriage and family therapy associates shall be submitted to the board for approval and shall demonstrate in writing the supervisor's plan and ability to supervise additional marriage and family therapy associates.

Section 8. Temporary Supervision.

(1) In extenuating circumstances, if a marriage and family therapy associate is without supervision, the associate may continue working up to ninety (90) calendar days under the supervision of a qualified mental health professional while an appropriate board-approved supervisor is sought and a new supervision contract is submitted to the board. Extenuating circumstances include situations such as death or serious illness of the board-approved supervisor, a leave of absence by the supervisor, or the termination of the supervisor's employment.

(2)

(a) Within thirty (30) calendar days of a change in status of board-approved supervision, the supervisee shall:

Notify the board of these circumstances; and
Submit, in writing, a plan for resolution of the situation.

(b) The written plan shall include:

The name of the temporary supervisor;
Verification of the credential held by the temporary supervisor;
An address for the temporary supervisor; and
A telephone number for the temporary supervisor.

Section 9. Board-approved Supervisor's Responsibilities to Clients and Supervisees.

(1) A board-approved supervisor shall be responsible for ensuring the proper and appropriate delivery of marriage and family therapy services to clients.

(2) A board-approved supervisor shall be responsible for fostering the professional competence and development of the marriage and family therapy associates under his or her supervision.

(3) A board-approved supervisor shall be responsible for compliance with the code of ethics established in 201 KAR 32:050 and take steps to ensure that supervisees comply with the code of ethics as well.

Section 10. Incorporation by Reference. (1) "Supervisory Log", 7/2015, is incorporated by reference. (2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 335.300, 335.320(6), 335.330, 335.332
STATUTORY AUTHORITY: KRS 335.320(4), (5), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.320(9) requires the board to promulgate administrative regulations to implement KRS 335.300 to 335.399. KRS 335.320(4) requires the board to license applicants who satisfy the experience and educational requirements and who have paid the fee. KRS 335.320(5) requires the board to review and approve supervision contracts between marriage and family therapy associates and their approved supervisors. This administrative regulation establishes the supervision requirements for marriage and family therapy associates and their board-approved supervisors.
History: 35 Ky.R. 1956; Am. 2416; eff. 6-5-2009; 36 Ky.R. 1097; 2049-M; eff. 4-2-2010; 38 Ky.R. 1372; 1555; eff. 3-12-2012; 38 Ky.R. 1877; 39 Ky.R. 12; eff. 8-6-2012; 558; 1044; eff. 11-19-2014; 42 Ky.R. 837; 1553; 1720; eff. 12-16-2015; 47 Ky.R. 1614; 48 Ky.R. 330; eff. 8-26-2021.

201 KAR 32:050 Code of ethics {#sec-201-kar-32-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:050}

Section 1. Responsibility to Clients.

(1) A marriage and family therapist or a marriage and family therapist associate shall:

(a) Advance and protect the welfare of his or her client;

(b) Respect the rights of persons seeking his or her assistance; and

(2) A marriage and family therapist or marriage and family therapist associate shall not:

(a) Exploit the trust and dependency of a client;

(b) Engage in a dual relationship with a client, including a social, business, or personal relationship, that may:

Impair professional judgment;
Incur a risk of exploitation of the client; or
Otherwise violate a provision of this administrative regulation. If a dual relationship cannot be avoided, and does not impair professional judgment, incur a risk of exploitation of the client, or otherwise violate a provision of this administrative regulation, a therapist or therapist associate shall take professional precautions to ensure that judgment is not impaired and exploitation of the client does not occur. Professional precautions shall include:

a. Written informed consent by the client of the client's understanding of the general prohibitions against dual relationships;

b. Peer consultation by a licensed professional; and

c. Proper documentation of the precautions taken by the therapist or therapist associate.

(d) Use his or her professional relationship with a client to further his or her own interests;

(e) Continue therapeutic relationships unless it is reasonably clear that the client is benefiting from the relationship;

(f) Fail to assist a person in obtaining other therapeutic services if the therapist or therapist associate is unable or unwilling to provide professional help for appropriate reasons that include a threat or risk of harm to the therapist or therapist associate, a failure to pay for services previously provided, or a severe injury or medical illness suffered by the therapist or therapist associate;

(g) Abandon or neglect a client in treatment without making arrangements for the continuation of treatment;

(h) Videotape, record, or permit third party observation of therapy sessions without having first obtained written informed consent from the client;

(i) Engage in sexual or other harassment or exploitation of a client, student, trainee, supervisee, employee, colleague, research subject, or actual or potential witness or complainant in investigations and ethical proceedings; or

(j) Diagnose, treat, or advise on problems outside the recognized boundaries of his or her competence.

Section 2. Confidentiality.

(1) A therapist or therapist associate shall respect and guard the confidences of each individual client.

(2) Marriage and family therapists and marriage and family therapist associates shall not disclose a client confidence except:

(a) As mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person or persons;

(c) If the therapist or therapist associate is a defendant in a civil, criminal, or disciplinary action arising from the therapy, confidences may be disclosed only in the course of that action; or

(d) If a waiver has been obtained in writing, confidential information shall be revealed only in accordance with the terms of the waiver. If more than one (1) person in a family receives therapy, unless a waiver is executed by each family member receiving therapy, who is legally competent to execute a waiver, a therapist or therapist associate shall not disclose information received from any family member.

(3) A marriage and family therapist or marriage and family therapist associate, shall not reveal any individual's confidences to others in the client unit without the prior written permission of that individual.

(4) A marriage and family therapist or marriage and family therapist associate may use client or clinical materials in teaching, writing, and public presentations if:

(a) A written waiver has been obtained in accordance with subsection (2)(d) of this section; or

(b) Steps have been taken to protect client identity and confidentiality.

(5) A marriage and family therapist or marriage and family therapist associate shall store or dispose of client records so as to maintain confidentiality.

Section 3. Professional Competence and Integrity. A marriage and family therapist or marriage and family therapist associate shall maintain standards of professional competence and integrity and shall be subject to disciplinary action:

(1)

(a) Upon conviction of a felony, or a misdemeanor related to his or her practice as a marriage and family therapist or marriage and family therapist associate.

(b) Conviction shall include conviction based on:

A plea of no contest or an "Alford Plea"; or
The suspension or deferral of a sentence.

(2) If his or her license or certificate is subject to disciplinary action by another state's regulatory agency that the board determines violates applicable Kentucky state law or administrative regulation;

(3) Upon a showing of impairment due to mental incapacity or the abuse of alcohol or other substances which negatively impact the practice of marriage and family therapy;

(4) If he or she misrepresented or concealed a material fact in obtaining or seeking reinstatement of a license or certificate;

(5) If he or she has refused to comply with an order issued by the board; or

(6) If he or she has failed to cooperate with the board by not:

(a) Furnishing in writing a complete explanation to a complaint filed with the board;

(b) Appearing before the board at the time and place designated; or

(7) Fails to notify the board in writing within ten (10) business days of a change in contact information.

Section 4. Responsibility to a Student or Supervisee.

(1) A marriage and family therapist or marriage and family therapist associate shall not exploit the trust and dependency of a student or supervisee.

(2) A marriage and family therapist or marriage and family therapist associate shall:

(a) Be aware of his or her influential position with respect to a student or supervisee; and

(b) Avoid exploiting the trust and dependency of these persons.

A therapist or therapist associate shall make every effort to avoid a dual relationship, including a social, business, or personal relationship, with a student or supervisee that may impair professional judgment or increase the risk of exploitation.
If a dual relationship cannot be avoided, a therapist or therapist associate shall take professional precautions to ensure judgment is not impaired and no exploitation occurs.
A therapist or therapist associate shall not provide therapy to a student, employee or supervisee.
A therapist or therapist associate shall not engage in sexual intimacy or contact with a student or supervisee.

(3) A marriage and family therapist or marriage and family therapist associate shall not permit a student or supervisee to perform or to hold himself or herself out as competent to perform professional services beyond his or her level of training, experience, and competence.

(4) A marriage and family therapist or marriage and family therapist associate shall not disclose a student's or supervisee's confidence except:

(a) As mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person or persons;

(c) If the therapist or therapist associate is a defendant in a civil, criminal, or disciplinary action arising from the supervision, the student's or supervisee's confidence may be disclosed only in the course of that action;

(d) In educational or training settings if there are multiple supervisors, to other professional colleagues who share responsibility for the training of the supervisee; or

(e) If there is a waiver previously obtained in writing, information shall be revealed only in accordance with the terms of the waiver.

Section 5. Financial Arrangements.

(1) A marriage and family therapist or marriage and family therapist associate shall make financial arrangements with a client, third party payor, or supervisee that are reasonably understandable and conform to accepted professional practices.

(2) A marriage and family therapist or marriage and family therapist associate shall:

(a) Not offer or accept payment for referrals;

(b) Not charge excessive fees for services;

(d) Represent facts truthfully to clients, third party payors, and supervisees regarding services rendered.

Section 6. Advertising. A marriage and family therapist shall:

(1) Accurately represent his or her education, training, and experience relevant to his or her practice of marriage and family therapy;

(2) Not use professional identification, including a business card, office sign, letterhead, or telephone or association directory listing if it includes a statement or claim that is false, fraudulent, misleading, or deceptive.

(3) A statement shall be false, fraudulent, misleading, or deceptive if it:

(a) Contains a material misrepresentation of fact;

(b) Fails to state any material fact necessary to make the statement, in light of all circumstances, not misleading; or

Section 7. A marriage or family therapist associate may have business cards and letterhead if it is clearly stated that he or she is an associate. An associate shall not represent or imply that he or she is licensed to practice as a marriage and family therapist.

History

RELATES TO: KRS 335.320(7), 335.348
STATUTORY AUTHORITY: KRS 335.320(7), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.320(7) and (9) require the board to promulgate a code of ethics for licensed marriage and family therapists and marriage and family therapist associates. This administrative regulation establishes the required code of ethics.
History: 22 Ky.R. 1911; Am. 23 Ky.R. 123; eff. 7-5-1996; 26 Ky.R. 111; 726; eff. 10-20-1999; 38 Ky.R. 1375; eff. 3-21-2012; 44 Ky.R. 40; eff. 7-17-2017; Cert eff. 7-17-2024.

201 KAR 32:060 Continuing education requirements {#sec-201-kar-32-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:060}

Section 1. Accrual of Continuing Education Hours; Computation of Accrual.

(1) Effective January 1, 2017, a minimum of fifteen (15) approved continuing education hours shall be accrued by each licensee and a minimum of ten (10) approved continuing education hours shall be accrued by each associate during each one (1) year renewal period.

(2) All hours shall be in "the practice of marriage and family therapy" as defined by KRS 335.300(4) and shall relate to the professional application of psychotherapeutic and systems theories and techniques in the delivery of services to individuals, couples, and families.

(3) Three (3) hours of the hours required by subsection (1) of this section for licensees and associates shall be accrued in the field of professional marriage and family therapy ethics.

(4) Commencing on January 1, 2017, each licensee and associate shall be required to show proof of completion of six (6) hours of continuing education in suicide assessment, treatment, and management every six (6) years beginning January 1, 2015 as required by KRS 210.366. These hours shall be in addition to the requirements set forth in subsection (1) of this section unless preapproved by the board as meeting the requirements set forth in subsection (2) of this section or meets requirements of Section 2 of this administrative regulation.

(5) Within three (3) years of initial licensure or certification, each licensee and associate shall successfully complete a three (3) hour training that covers dynamics of domestic violence, elder abuse, neglect, and exploitation; effects of domestic violence and elder abuse, neglect, and exploitation on adult and child victims; legal remedies for protection; lethality and risk issues; model protocols for addressing domestic violence and elder abuse, neglect, and exploitation; available community resources and victim services and reporting requirements as required by KRS 194A.540.

Section 2. Methods of Acquiring Continuing Education Hours. Continuing education hours applicable to the renewal of the license or permit shall be directly related to the professional growth and development of marriage and family therapy practitioners and associates. Education hours shall be earned by completing any of the educational activities established in this section.

(1) Programs not requiring board review and approval. Programs from the following sources shall be determined as relevant to the practice of marriage and family therapy and shall be approved without further review by the board:

(a) Programs provided or approved by the American Association for Marriage and Family Therapy (AAMFT) and its state affiliates;

(b) Academic courses as defined in 201 KAR 32:010; and

(c) Continuing education programs offered by Commission on Accreditation for Marriage and Family Therapy Education accredited institutions.

(2) Programs requiring board review and approval. Programs from the following sources shall be reviewed and may be determined to be relevant and subsequently approved by the board:

(a) Relevant programs including online study courses, manualized training, and face-to-face workshops, by other organizations, educational institutions, or other service providers approved by the board;

(b) Relevant programs or academic courses presented by the licensee. Presenters of relevant programs or academic courses may earn full continuing education credit for each contact hour of instruction, not to exceed one-half (1/2) of the continuing education renewal requirements. Credit shall not be issued for repeated instruction of the same course; and

(c) Relevant publications in a professionally recognized or juried publication. Credit shall not be granted except for those publications that were published within the one (1) year period immediately preceding the renewal date. A licensee shall earn one-half (1/2) of the continuing education hours required for a relevant publication. More than one (1) publication shall not be counted during each renewal period.

Section 3. Continuing Education Providers.

(1) Any entity seeking to obtain approval of a continuing education program prior to its offering shall pay the fee as established in 201 KAR 32:030, Section 9, and submit a Continuing Education Program Provider Approval Application, as incorporated by reference in 201 KAR 32:030, Section 10, to the board at least sixty (60) days in advance of the program. The application shall include the:

(a) Type of learning activity;

(b) Subject matter;

(d) Number of continuing education hours offered.

(2) A continuing education activity shall be qualified for preapproval if the activity being presented:

(a) Is an organized program of learning;

(b) Pertains to subject matters that integrally relate to the practice of marriage and family therapy;

(d) Is conducted by individuals who have relevant educational training or experience.

(3) An approved continuing education sponsor is a person or organization which is approved by the board to provide more than one (1) continuing education program over a two (2) consecutive calendar year period of time.

(a) Any person or organization seeking to obtain approval as a continuing education sponsor shall:

Pay the fee as established in 201 KAR 32:030, Section 9; and
Complete the Application for Continuing Education Sponsor, as incorporated by reference in 201 KAR 32:030, Section 10, and submit it at least sixty (60) days in advance of offering courses. The application shall include the following:

a. Continuing education sponsor provider information;

b. Sponsor administrator information;

c. One (1) sample continuing education course that would qualify for approval under Section 1(2) of this administrative regulation. Although only one (1) course is submitted, it is understood that this course serves as an example of all courses provided;

d. The sample course provided shall include the following:

(i) Published course or similar description;

(ii) Complete resume of each instructor;

(iii) Copy of the program indicating hours of education;

(iv) Timed agenda, including coffee and lunch breaks listed;

(v) Copy of the evaluation tool to be used;

(vi) Official certificate from the provider. The official certificate shall include the following statement: "KY LMFT Board granted approval for this program on _______ (date)."; and

(vii) The documents submitted in this subsection shall be kept on file for each of the programs and courses presented as board-approved continuing education hours. The board may request a copy of this information at any time;

e. The delivery format for which the applicant is applying;

f. A description of how the continuing education of licensed marriage and family therapist and permitted marriage and family therapy associates support the overall goals of the provider;

g. A description of the target audience, including education level and profession, to whom the program is directed;

h. A statement that the applicant will provide all legally required disability accommodations to participants at live events;

i. A statement that all live programs offered for board-approved credit will be presented in facilities compliant with all federal and state laws, including the Americans with Disabilities Act, 42 U.S.C. 12101, et seq.;

j. A description of the process by which the applicant selects presenters for the continuing education programs;

k. A statement of whether the provider maintains policies concerning program fee, refunds, and cancelations;

l. A description of the organization's procedure for verifying attending, including sign-in sign-out procedures;

m. A description of the organization's procedure for distributing certificates of completion;

n. A description of the record-keeping process that will be utilized to maintain all materials for a period of five (5) years following each program;

o. A description of the method by which program evaluations are obtained from participants and how the evaluation results are used for future program planning; and

p. An attestation that the information provided in the application:

(i) Is complete;

(ii) If approved as a continuing education sponsor, the provider will comply with the terms set forth by the board;

(iii) Board approval will be for a period of two (2) consecutive calendar years;

(iv) Board approval will include all programs and courses that meet board continuing education requirements; and

(v) That the board has the right to audit, at any time, programs and courses to evaluate if they comply with board administrative regulations.

(b) An approved continuing education sponsor shall submit to the board an annual report of the education programs offered during the year.

The six (6) hours of board-approved continuing education courses in supervision under 201 KAR 32:035, Section 2(4);
The two (2) hours of continuing education in supervision under 201 KAR 32:035, Section 2(5) needed by a non-AAMFT approved supervisor to maintain board-approved supervisor status;
The one (1) hour of continuing education in Kentucky law required under 201 KAR 32:035, Section 2(6);
The three (3) hours of marriage and family therapy ethics required by Section 1(3) of this administrative regulation; and
The fifteen (15) hour telehealth course required by 201 KAR 32:110, Section 3.

(d) The applicant shall designate an authorized representative to serve as the sponsor administrator.

The administrator is responsible for assuring:

a. That the content of all programs offering continuing education hours meet the qualifications of Section 1(2) of this administrative regulation; and

b. That the programs are conducted by individuals who have relevant education training or experience.

The administrator shall serve as the primary contact person with the board concerning sponsor program matters.

Section 4. Responsibilities and Reporting Requirements of Licensees and Associates.

(1) Licensees and associates shall:

(a) Be responsible for obtaining required continuing education hours;

(b) Identify personal continuing education needs;

(d) Seek ways to integrate new knowledge, skills, and attitudes.

(2) Each person holding a license or permit shall:

(a) Select approved activities by which to earn continuing education hours;

(b) If seeking approval for continuing education from a program not already approved pursuant to Section 2(2) of this administrative regulation and not exempted from requiring board approval pursuant to Section 2(1) of this administrative regulation, submit an Application for Continuing Education Program Approval Individual, as incorporated by reference in 201 KAR 32:030, Section 10 to the board for consideration. The application shall include the:

Agenda that is detailed, timed, and includes topics and presenters;
Presenter's biography, including education;
Credentials of all presenters;
All presenters' experience related to topic;
Description of training; and
Objectives and goals;

(c) Maintain records of continuing education hours. Each licensee and associate shall maintain, for a period of one (1) year from the date of renewal, all documentation verifying successful completion of continuing education hours. During each renewal period, up to fifteen (15) percent of all licensees and associates shall be required by the board to furnish documentation of the completion of the appropriate number of continuing education hours for the current renewal period. Verification of continuing education hours shall not otherwise be reported to the board;

(d) Document attendance and participation in a continuing education activity in the form of official documents including transcripts, certificates, or affidavits signed by instructors. The type of documentation required shall vary depending on the specific activity submitted to the board for approval; and

(e) Fully comply with the provisions of this administrative regulation. Failure to comply shall constitute a violation of KRS 335.340(7) and may result in the refusal to renew, suspension, or revocation of the license or permit.

Section 5. Carry-over of Continuing Education Hours, Prohibited. There shall not be a carry-over of continuing education hours earned in excess of those required under Section 1 of this administrative regulation into the immediately following renewal period.

Section 6. Board to Approve Continuing Education Hours; Appeal Upon Approval Denial. In the event of denial, in whole or part, of any Application for Continuing Education Program Approval Individual, as incorporated by reference in 201 KAR 32:030, Section 10, the licensee or associate shall have the right to request reconsideration by the board of its decision. The request shall be in writing and shall be received by the board within thirty (30) days after the date of the board's decision denying approval of continuing education hours.

Section 7. Waiver or Extensions of Continuing Education.

(1) The board may, in individual cases involving medical disability, illness, or undue hardship, grant waivers of the minimum continuing education requirements or extensions of time within which to fulfill the same or make the required reports.

(2) A request for waiver or extension shall be in writing and submitted within the renewal grace period.

(3) A written request for waiver or extension of time involving medical disability or illness shall be submitted by the licensee or associate accompanied by a verifying document signed by a licensed physician, a physician's assistant, or a nurse practitioner, and shall be received by the board within the grace period.

(4) A written request for waiver or extension of time involving undue hardship shall be submitted by the licensee or associate accompanied by a verifying document signed by the licensee or associate, and shall be received by the board within the grace period.

(5) A waiver of the minimum continuing education requirements or an extension of time within which to fulfill the continuing education requirements may be granted by the board for a period of time not to exceed one (1) calendar year.

(6) If the medical disability, illness, or undue hardship upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the licensee or associate shall reapply for the waiver or extension in writing prior to the expiration of the previous extension or waiver.

History

RELATES TO: KRS 194.540, 210.366, 335.300(4), 335.340
STATUTORY AUTHORITY: KRS 335.320(4), (9), 335.340(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.320(4) requires the board to license marriage and family therapist applicants who satisfy experience and education requirements and have paid the fee required in KRS 335.330. KRS 335.320(9) requires the board to promulgate administrative regulations to implement KRS 335.330 to 335.339. KRS 335.340(7) authorizes the board to promulgate administrative regulations to establish the fees and other requirements for a permit as a marriage and family therapy associate. This administrative regulation establishes the requirements for continuing education and the methods and standards for the accreditation of continuing education courses.
History: 23 Ky.R. 215; Am. 1584; eff. 9-18-1996; 26 Ky.R. 426; 728; eff. 10-20-1999; 30 Ky.R. 981; 1766; eff. 1-23-2004; 38 Ky.R. 1378; 1557; eff. 3-21-2012; 42 Ky.R. 509; 1557; 1722; eff. 12-16-2015; 44 Ky.R. 41; eff. 7-17-2017; 47 Ky.R. 1616, 2610; 48 Ky.R. 332; eff. 8-26-2021.

201 KAR 32:070 Complaint procedure {#sec-201-kar-32-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:070}

Section 1. Definitions.

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

(2) "Charge" means a specific allegation contained in a formal complaint, as defined in subsection (5) of this section, issued by the board alleging a violation of a specified provision of KRS Chapter 335 or 201 KAR Chapter 32.

(3) "Complaint" means a written allegation of misconduct by a credentialed individual or other person that may constitute a violation of KRS Chapter 335 or 201 KAR Chapter 32.

(4) "Complaint screening committee" means a committee consisting of three (3) persons on the board appointed by the chairman of the board to review complaints, investigative reports, and to participate in informal proceedings to resolve a formal complaint, and in addition to board members, the executive director of the board or another staff member may be appointed to serve on this committee.

(5) "Formal complaint" means a formal administrative pleading authorized by the board that charges a licensed individual or other person with an alleged violation and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B or requests the court to take criminal or civil action.

(6) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of reaching a dispensation of any matter without further recourse to 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.

Section 2. Receipt of Complaints.

(1) A complaint:

(a) May be submitted by an:

Individual;
Organization; or
Entity;

(b) Shall be:

In writing using the Complaint Form and Instructions; and
Signed by the person offering the complaint; and

(2) Upon receipt of a complaint:

(a)

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.
The individual shall have a period of twenty (20) days from the date of receipt to submit a written response.

(b)

Upon receipt of the written response of the individual named in the complaint, a copy of the response shall be sent to the complainant.
The complainant shall have seven (7) days from the receipt to submit a written reply to the response.

Section 3. Initial Review.

(1)

(a) After the receipt of a complaint and the expiration of the period for the individual's response, 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.

(b) 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.

Section 4. 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.

(a) The committee shall review the investigative report and make a recommendation to the board.

(b) The board shall determine whether there has been a violation of KRS Chapter 335 or 201 KAR Chapter 32 and a complaint shall be filed.

(2) If the board determines that a complaint does not warrant issuance of a formal complaint, 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 violation has occurred but is not serious, the board shall issue a written admonishment to the licensee.

(a) A copy of the written admonishment shall be placed in the permanent file of the licensee.

(b)

The licensee shall have the right to file a response in writing to the admonishment within thirty (30) days of its receipt and may have it placed in his permanent file.

a. Alternatively, the licensee may file a request for a hearing with the board within thirty (30) days of the admonishment.

b. Upon receipt of the request, the board shall set aside the written admonishment and set the matter for hearing pursuant to the provisions of KRS Chapter 13B.

(4) 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 that states clearly the charge or charges to be considered at the hearing.

(a) The formal complaint shall be reviewed by the board and, if approved, signed by the chairman and served upon the individual as required by KRS Chapter 13B.

(b) The formal complaint shall be processed in accordance with KRS Chapter 13B.

(5) If the board determines that a person may be in violation of KRS 335.305(1), it shall:

(a) Order the individual to cease and desist from further violations of KRS 335.305(1);

(b) Forward information to the county attorney of the county of residence of the person allegedly violating KRS 335.305(1) with a request that appropriate action be taken pursuant to KRS 335.399; or

Section 5. 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 chairman.

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

Section 6. Notice and Service of Process. A notice required by KRS Chapter 335 or this administrative regulation shall be issued pursuant to KRS Chapter 13B.

Section 7. Notification. The board shall make public:

(1) Its final order in a disciplinary action pursuant to KRS 335.350 with the exception of a written admonishment issued pursuant to Section 4(3) of this administrative regulation; and

(2) An action to restrain or enjoin a violation of KRS 335.305(1).

Section 8. Incorporation by Reference.

(1) "Complaint Form and Instructions", 2009, is incorporated by reference.

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

History

RELATES TO: KRS 335.305(1), 335.348, 335.350, 335.399
STATUTORY AUTHORITY: KRS 335.320(9), 335.325
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.320(9) requires the Kentucky State Board of Licensure for Marriage and Family Therapists to promulgate administrative regulations to implement KRS Chapter 335. This administrative regulation establishes procedures for the filing, evaluation, and disposition of administrative complaints.
History: 28 Ky.R. 189; Am. 562; eff. 9-10-2001; 35 Ky.R. 1867; 2417; eff. 6-5-09; Crt eff. 2-27-2020.

201 KAR 32:081 Inactive licensure status {#sec-201-kar-32-081 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:081}

Section 1. Inactive licensure status may be granted to a licensee pursuant to KRS 335.325(6) upon written request to the board.

(1) The licensee shall be relieved of his obligation to pay the renewal fee, but shall meet the annual requirements for continuing education as established in 201 KAR 32:060.

(2) The licensee may return to active status within three (3) years of being granted inactive licensure status upon:

(a) Written notification to the board;

(b) Payment of the current renewal fee as set forth in 201 KAR 32:030; and

(c) Demonstration of compliance with all continuing education requirements, as established in 201 KAR 32:060, for each year during the period of inactive licensure status.

(3)

(a) If the licensee does not reactivate his license before the third anniversary date of the granting of inactive licensure status, then the license shall be forfeited.

(b) Following forfeiture of a license under the provisions of this section, any person desiring to practice marriage and family therapy in the Commonwealth of Kentucky shall:

File a new application for licensure with the board;
Pay the initial fees for application and licensure; and
Meet current requirements for initial licensure, as established by statute and administrative regulation.

History

RELATES TO: KRS 335.325(6)
STATUTORY AUTHORITY: KRS 335.320(9), 335.325(6)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.325(6) enables the board to grant retired or inactive status to licensees under the conditions set forth by administrative regulation. This administrative regulation establishes the requirements for inactive licensure status.
History: 26 Ky.R. 2427; Am. 27 Ky.R. 744; eff. 9-11-2000; Crt eff. 2-27-2020.

201 KAR 32:101 Reinstatement of license subject to disciplinary action {#sec-201-kar-32-101 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:101}

Section 1. Definition. (1) "A license voluntarily surrendered as if revoked" means the process by which a person who holds a license issued by the board, knowingly and willingly, returns the license to the board, forfeiting all rights and privileges associated with that license, in settlement of a disciplinary action initiated by the board.

Section 2. Reinstatement of a License Revoked by Disciplinary Action of the Board.

(1) If a license has been revoked, an individual may apply for reinstatement by:

(a) Completing the License Reinstatement form;

(b) Paying the initial licensure fee as set forth in 201 KAR 32:030;

(d) Taking the licensure examination and achieving a passing score; and

(e) The applicant shall show evidence of completion of fifteen (15) hours of continuing education for each year since the date of revocation in accordance with the requirements established in 201 KAR 32:060.

(2)

(a) A hearing shall be held to determine whether or not to reinstate the former licensee.

(b) The board shall consider the information contained in the application and the testimony and evidence obtained in the hearing.

(c) Based upon the information gathered the board shall determine if reinstatement of the license would be a threat to public safety, health and welfare.

(d) If the board finds that there no longer exists a danger to the public, it may reinstate the license.

(e) If the board finds that the danger still exists, it may refuse to reinstate the license.

Section 3. Reinstatement of a License which was Voluntarily Surrendered as if Revoked.

(1) If a license has been voluntarily surrendered as if revoked, an individual may apply for reinstatement by:

(a) Completing the License Reinstatement form;

(b) Paying the initial licensure fee as established in 201 KAR 32:030;

(d) Notifying the board, in writing, that the requirements of agreed order have been met or completed; and

(e) Notifying the board, in writing, to request that a hearing be held to determine if the issuance of a license would no longer be a threat to public safety and welfare;

(2) An individual whose license has been voluntarily surrendered as if revoked shall be required to comply with the annual continuing education requirements for the period during which the license was voluntarily surrendered in accordance with the requirements established in 201 KAR 32:060.

Section 4. Incorporation by Reference.

(1) "License Reinstatement form," (2000 Edition), Kentucky Board of Licensure for Marriage and Family Therapists, is incorporated by reference.

(2) This material may be inspected, copied, or obtained at the Kentucky Board of Licensure for Marriage and Family Therapists, 911 Leawood Drive, Berry Hill Annex, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 335.325(5), 335.340(5), (7)
STATUTORY AUTHORITY: KRS 335.320(9), 335.348, 335.360
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.348 empowers the board to punish a licensee for violation of the statutes and administrative regulations governing the practice of marriage and family therapy. This includes the ability to revoke a license. KRS 335.360 permits a person whose license has been revoked to apply for reinstatement after five (5) years. This administrative regulation establishes the requirements for reinstatement of a license that has been the subject of disciplinary action by the board.
History: 26 Ky.R. 2427; Am. 27 Ky.R. 744; eff. 9-11-2000; Crt eff. 2-27-2020.

201 KAR 32:110 Telehealth {#sec-201-kar-32-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 32:110}

Section 1. Definitions.

(1) "Asynchronous" means a communication that does not occur simultaneously in real time.

(2) "Electronic communication" means the use of Web sites, cell phones, email, texting, online social networking, video, or other digital methods and technology used to send and receive messages or post information.

(3) "Encryption" means a mathematical process that converts text, video, or audio streams into a scrambled, unreadable format when transmitted electronically.

(4) "Fee-splitting" means offering or accepting payment for referrals other than in an employer-employee or contractor-contractee relationship.

(5) "HIPAA" means the Health Insurance Portability and Accountability Act of 1996, Pub L. No. 104-191, 110 Stat. 1936 (1996).

(6) "HITECH" means the Health Information Technology for Economic and Clinical Health Act of 2009, 42 U.S.C. 17901-17953.

(7) "Social media" means a Web-based communication tool that enables people to interact with each other by both sharing and consuming information.

(8) "Synchronous" means a communication that occurs simultaneously in real time.

(9) "Telehealth" is defined by KRS 335.380(3).

Section 2. Licensure, Standard of Practice, and Competency.

(1) License or permit required. Each licensed marriage and family therapist, or permitted marriage and family therapy associate practicing telehealth in this state shall be licensed by the board, or hold a permit issued by the board, and comply with all statutes, administrative regulations, and ethics guidelines applicable to the practice of marriage and family therapy.

(2) Standard of appropriate practice. A licensed marriage and family therapist, or permitted marriage and family therapy associate providing telehealth services in this state shall be held to the same standards of practice as those applicable for in-person therapy settings.

(3) Competency. A licensed marriage and family therapist, or permitted marriage and family therapy associate shall only provide telehealth services in this state in those instances in which the licensed marriage and family therapist, or permitted marriage and family therapy associate has successfully completed all requirements set forth in Section 3(1) of this administrative regulation.

(4) Continued competency. A licensed marriage and family therapist, or permitted marriage and family therapy associate providing telehealth services in this state shall have an ongoing obligation to assess his or her technical and clinical competency to render these services by successfully completing all requirements set forth in Section 3(2) of this administrative regulation.

(5) Fee splitting. A licensed marriage and family therapist, or permitted marriage and family therapy associate providing telehealth services shall not split fees.

Section 3. Education and Continuing Education Requirements.

(1) Initial educational requirements. Effective January 1, 2020, a licensed marriage and family therapist, or a permitted marriage and family therapy associate providing telehealth services in this state, and a licensed marriage and family therapist who is supervising a marriage and family therapy associate providing telehealth services in this state shall have completed fifteen (15) hours of board-approved training in the practice of telehealth as provided in 201 KAR 32:060, Section 2(2), which shall include three (3) hours of ethics in the practice of telehealth. Each approved course shall be live or online. Areas to be covered in the training shall include:

(a) Appropriateness of teletherapy;

(b) Teletherapy theory and practice;

(d) Legal and ethical issues;

(e) Handling online emergencies; and

(f) Best practices and informed consent.

(2) Continuing education requirements. A licensed marriage and family therapist, or permitted marriage and family therapy associate who has completed the initial training in the practice of telehealth shall complete at least two (2) credit hours of continuing education approved by the board, in accordance with 201 KAR 32:060, in the practice of telehealth during each subsequent renewal period.

(3) Credit hours earned to comply with subsections (1) and (2) of this Section may be applied to continuing education requirements set forth in 201 KAR 32:060.

Section 4. Verification of the Client. Prior to providing initial telehealth services in this state a licensed marriage and family therapist, or permitted marriage and family therapy associate shall require the client to produce a valid photo identification. If the client is a minor, prior to providing telehealth services in this state a licensed marriage and family therapist, or permitted marriage and family therapy associate shall verify the identity of the parent, guardian, or other person consenting to the minor's treatment.

Section 5. Client Assessment.

(1) Initial assessment. Prior to providing telehealth services in this state a licensed marriage and family therapist, or permitted marriage and family therapy associate shall conduct an initial assessment of the client to determine if telehealth is an appropriate delivery of treatment considering the professional, intellectual, or emotional needs of the client.

(2) Ongoing assessment. Throughout the duration of providing telehealth services in this state, a licensed marriage and family therapist, or permitted marriage and family therapy associate shall engage in a continual assessment of the appropriateness of providing these services to the client.

(3) Telehealth may not be appropriate if the client:

(a) Recurrently experiences, or is likely to experience, crises or emergencies;

(b) Is a suicide risk, or likely to become a suicide risk;

(d) Otherwise poses a risk to themselves or to others.

Section 6. Informed Consent.

(1) Generally. Prior to providing telehealth services in this state, the licensed marriage and family therapist, or permitted marriage and family therapy associate providing these services shall obtain the informed consent of the client, which shall include:

(a) Disclosure of specific information regarding the licensed marriage and family therapist's, or permitted marriage and family therapy associate's:

Training and credentials;
License or permit number;
Physical location and contact information;
Social media policy;
Encryption policy; and
Collection, documentation, tracking, and storage of client information;

(b) Client confidentiality and the limits to confidentiality in electronic communication;

(d) The specific services to be provided;

(e) The risks and benefits of engaging in telehealth in the clinical setting;

(f) The possibility of technology failure and alternate methods of service delivery;

(g) Time zone differences, if any;

(h) Cultural or language differences that may affect the delivery of services;

(i) The possible denial of insurance benefits;

(j) The pertinent legal rights and limitations governing practice across state lines or international boundaries, if applicable; and

(k) Whether delivery of service will be asynchronous or synchronous.

(2) Minors. Except as allowed by KRS 214.185, if the client is a minor, prior to providing telehealth services in this state the licensed marriage and family therapist, or permitted marriage and family therapy associate shall, pursuant to Section 4 of this administrative regulation, verify the identity of the parent, guardian, or other person consenting to the minor's treatment and obtain from that person the informed consent required by this section.

Section 7. Emergency Procedures, Coordination of Care and Referrals. Prior to providing telehealth services in this state, the licensed marriage and family therapist, or permitted marriage and family therapy associate shall establish with the client:

(1) Acceptable ways to contact the licensed marriage and family therapist, or permitted marriage and family therapy associate in an emergency;

(2) Emergency procedures to include emergency services at the client's location;

(3) Coordination of care with other professionals; and

(4) Conditions under which telehealth services may be terminated and a referral made to in-person care.

Section 8. Compliance with Privacy Laws, Documentation, and Recordkeeping. A licensed marriage and family therapist, or permitted marriage and family therapy associate performing telehealth services in this state shall:

(1) Comply with all privacy laws and regulations relating to the transmission and protection of protected health information, including HIPAA and HITECH; and

(2) Comply with all state and federal laws and regulations relating to the practice of telehealth, documentation of services delivered, and related recordkeeping.

History

RELATES TO: KRS 335.300, 335.305, 335.310, 335.320, 335.325, 335.332, 335.380, 335.399
STATUTORY AUTHORITY: KRS 335.320(9), 335.380
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.320(9) requires the Board of Licensure for Marriage and Family Therapists to promulgate administrative regulations to implement the purpose and scope of KRS 335.300 to 335.399. KRS 335.380 requires the board to promulgate administrative regulations to govern telehealth services in the provision of marriage and family therapy services. This administrative regulation establishes procedures for the use of telehealth by licensees and associates.
History: 45 Ky.R. 1855, 27005; eff. 5-3-2019; 47 Ky.R. 548, 707; eff. 10-28-2020.

Chapter 33 Board of Licensure and Certification for Dietitians and Nutritionists

201 KAR 33:010 Fees {#sec-201-kar-33-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 33:010}

Section 1. Application Fee.

(1) The application fee for licensure as a dietitian shall be fifty (50) dollars.

(2) The application fee for certification as a nutritionist shall be fifty (50) dollars.

(3) The application fee for dual licensure as a dietitian and certification as a nutritionist shall be fifty (50) dollars.

(4) Application fees shall not be refundable.

Section 2. Renewal Fees and Penalties.

(1) The annual renewal fee for licensure or certification shall be fifty (50) dollars for each credential;

(2) The late renewal fee for late renewal during the sixty (60) day grace period shall be twenty-five (25) dollars for each credential; and

(3) The reinstatement fee for licensure or certification renewal after the end of the sixty (60) day grace period shall be fifty (50) dollars for each credential.

(4) Renewal and reinstatement fees shall not be refundable.

(5) In order to be considered for reinstatement, a retired licensee shall pay a reinstatement fee of fifty (50) dollars and all renewal fees from the date of election of that status.

Section 3. Duplicate Registration Fees. The fee for a duplicate license or certificate shall be ten (10) dollars.

Section 4. Inactive and Retired Status.

(1) A licensee who holds an inactive license shall pay fifteen (15) dollars annually to establish or retain inactive status.

(2) A licensee who retires a license shall not be required to pay an annual fee licensure.

History

RELATES TO: KRS 310.050(1)
STATUTORY AUTHORITY: KRS 310.041(1), (5), (9), 310.050
NECESSITY, FUNCTION, AND CONFORMITY: KRS 310.041(1) and (9) require the Kentucky Board of Licensure and Certification for Dieticians and Nutritionists to promulgate administrative regulations for the licensure and certification of dietitians and nutritionists. KRS 310.041(5) and 310.050 require the board to establish appropriate licensure and certification fees by administrative regulation. The administrative regulation establishes fees for dietitian and nutritionist licensure.
History: 22 Ky.R. 999; 1304; eff. 1-8-1996; 36 Ky.R. 1307; 1906; eff. 3-5-2010; 41 Ky.R. 560; eff. 11-19-2014; Cert. eff. 10-28-2021.

201 KAR 33:030 Continuing education requirements for licensees and certificate holders {#sec-201-kar-33-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 33:030}

Section 1.

(1)

(a) The annual continuing education compliance period shall extend from November 1 of each year to October 31 of the next year.

(b) Prior to renewal of a license or certificate for the next licensure or certification period, a licensee or certificate holder shall have earned fifteen (15) hours of approved continuing education during the compliance period.

(c) A person who is either licensed as a dietitian or certified as a nutritionist, or who is both a licensed dietitian and certified nutritionist, shall have earned a total of fifteen (15) hours of approved continuing education during the compliance period, prior to renewal of a license or certificate for the next licensure period.

(2) An initial licensee or certificate holder shall be exempt from the continuing education requirements for the first license or certification renewal.

(3) No more than fifteen (15) hours of continuing education may be carried over into the next continuing education period.

(4) It shall be the responsibility of each licensee or certificate holder to finance the costs of continuing education.

(5) For purposes of the audit set forth in subsection (8) of this section, every licensee or certificate holder shall maintain a record of all continuing education courses attended for two (2) years after the continuing education period. Appropriate documentation to be kept shall include:

(a) Certificates of attendance for the prior-approved continuing education;

(b) Transcripts for academic coursework;

(d) Proof of attendance, description of activity, and professional qualifications of the presenter for continuing education activities.

(6) Each licensee or certificate holder shall sign a statement on the Renewal Application form, as incorporated by reference in 201 KAR 33:020, indicating compliance with the continuing education requirements. A license or certificate shall not be renewed without this sworn statement.

(7) A certified nutritionist shall submit a completed Continuing Education Submission Form for Certified Nutritionists Only.

(8)

(a) The board shall audit at least fifteen (15) percent of licensees' or certificate holders' continuing education records each year.

(b) Licensees or certificate holders who are audited shall be chosen in a random manner or at the discretion of the board. The board's determination shall be based on:

Disciplinary action against the licensee or certificate holder; or
Question of the validity of the continuing education credit.

(c) Falsifying reports, records, or other documentation relating to continuing education requirements shall result in formal disciplinary action.

(9)

(a) A document that reflects a continuing valid registration with the Commission on Dietetic Registration shall constitute proof of compliance with the continuing education requirement by a person licensed as a dietitian or certified as a nutritionist.

(b) A membership card shall not constitute compliance with paragraph (a) of this subsection.

Section 2. Approved Continuing Education Activities.

(1) Hours of continuing education credit may be obtained by attending and participating in a continuing education activity, interactive workshop, seminar, or lecture that has been approved by the board.

(2) Criteria for subject matter.

(a) Subject matter for continuing education hours shall reflect the educational needs of the licensed dietitian or certified nutritionist and the nutritional health needs of the consumer.

(b) Subject matter shall be limited to offerings that are scientifically founded and offered at a level beyond entry-level dietetics for professional growth.

(c) The following areas shall be appropriate subject matter for continuing education credit if they are directly related to the practice of dietetics or nutrition:

Sciences on which dietetic practice, dietetic education, or dietetic research is based including nutrition, biochemistry, physiology, food management, and behavioral and social sciences to achieve and maintain people's nutritional health;
Nutrition therapy related to assessment, counseling, teaching, or care of clients in any setting; or
Management or quality assurance of food and nutritional care delivery systems.

(3) Standards for approval of continuing education programs and activities. A continuing education activity shall be approved if it:

(a) Constitutes an organized program of learning, including a workshop or symposium, which contributes directly to the professional competency of the licensee or certificate holder;

(b) Pertains to subject matters that relate integrally to the practice of dietetics or nutrition; and

(4) Academic coursework.

(a) Coursework shall be eligible for credit if it:

Has been completed at a U.S. regionally accredited college or university; and
Is beyond entry-level dietetics.

(b) One (1) academic semester credit shall equal fifteen (15) continuing education hours.

(d) An audited class shall equal eight (8) continuing education hours for a semester or five (5) continuing education hours for a quarter.

(5) Scholarly publications.

(a) A publication shall be approved if it:

Is published in a recognized professional journal or other publication; and
Relates to nutrition and dietetic practice, nutrition and dietetic education, or nutrition and dietetic research.

(b) Continuing education credit hours for authorship of a scholarly publication shall be reported using the requirements established in this paragraph.

Authorship.

a. A single author shall be reported if the author is the sole author listed.

b. A senior author shall be reported if the author is the first of two (2) or more authors listed.

c. A co-author shall be reported if the author is the second of two (2) authors listed.

d. A contributing author shall be reported for all but the senior of three (3) or more authors.

For the publication of a research paper, a licensee or a certificate holder shall receive continuing education credit of:

a. Ten (10) hours if he or she is the single author;

b. Eight (8) hours if he or she is the senior author;

c. Five (5) hours if he or she is a co-author; or

d. Three (3) hours if he or she is a contributing author.

For the publication of a technical article, a licensee or a certificate holder shall receive continuing education of:

a. Five (5) hours if he or she is the single author;

b. Four (4) hours if he or she is the senior author;

c. Three (3) hours if he or she is a co-author; or

d. Two (2) hours if he or she is a contributing author.

For the publication of an information-sharing article, a licensee or a certificate holder shall receive one (1) hour of continuing education credit.
For the publication of an abstract, a licensee or a certificate holder shall receive continuing education of:

a. Two (2) hours if he or she is the single author or the senior author; or

b. One (1) hour if he or she is a co-author.

(6) Poster sessions.

(a) Continuing education credit shall be approved for attending juried poster sessions that meet the criteria for appropriate subject matter established in subsection (3) of this section upon submission of the documentation required in paragraph (c) of this subsection.

(b) One (1) hour of continuing education credit shall be allowed for each hour of posters reviewed not to exceed three (3) hours in a continuing education year.

(c) The following documentation shall be submitted for approval of continuing education credit for attending juried poster sessions:

Certificate of attendance or completion indicating:

a. The date of the session;

b. The number of hours requested;

c. The objectives of the session; and

d. The session provider;

An agenda or outline of the session;
A program, flyer, or brochure describing the poster session; or
Handouts from the poster session.

(7) Continuing education hours for presenters.

(a) Credit shall not be given for presentations to the lay public.

(b) Credit shall be allowed only once for the same presentation.

(d) Two (2) hours per topic shall be allowed for presenters of juried poster sessions that meet the criteria for appropriate subject matter established in subsection (3) of this section.

(e) A copy of the presentation or poster, abstract or manuscript, and documentation of the peer review process shall be included in the licensee's or certificate holder's documentation list.

(8) Exhibits.

(a) Continuing education credits may be obtained for attending exhibits that meet the criteria for appropriate subject matter established in subsection (3) of this section upon submission of the documentation required in paragraph (c) of this subsection.

(b) One (1) hour of continuing education credit shall be allowed for each hour of exhibits reviewed not to exceed three (3) hours in a continuing education year.

Date;
Provider;
Timeline; and
Content of the exhibits.

(9) Residency and fellowship programs.

(a) Fifteen (15) hours of continuing education credit shall be granted for completion of a residency or fellowship program, if the program is:

At the postbaccalaureate level;
Dietetics-related;
Formalized or structured experiences; and
Sponsored by a U.S. regionally accredited college or university of an institution accredited or approved by the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) or the National Committee for Quality Assurance (NCQA).

(b) Documentation of compliance with paragraph (a) of this subsection shall be submitted and shall include:

Certificate of completion; and
Name, address, phone number, e-mail address, and fax number of the provider.

(10) Certification program.

(a) Fifteen (15) hours of continuing education credit shall be granted for completion of a certification approved by the board that:

Is dietetics-related;
Requires that candidates meet eligibility requirements; and
Requires that a candidate or certificate holder pass an examination to become certified initially, and to be recertified.

(b) Up to fifteen (15) hours of continuing education credit, for the exam only, may be carried over to the following year.

(c) Documentation. A document verifying the date of issue; duration of certification; and name, address, phone number, e-mail address, and fax number of the provider shall be submitted.

(11) Self study courses.

(a) Fifteen (15) hours of continuing education credit shall be granted for completion of a Commission on Dietetic Registration preapproved self-study program that meets the following criteria:

The program shall address a single specific subject in depth;
Test items shall accompany the program and be based on its content; and
The program may be audio-based; computer based; printed; video-, DVD-, or CD-based; or Web-based.

(b) The following documentation shall be submitted:

A certificate of attendance or completion;
An agenda or outline of the program; and
Description of the objectives, date, timeline, and provider of the program.

Section 3. Procedures for Prior Approval of Continuing Education Activities.

(1) A person seeking prior approval of a course, program, or other continuing education activity shall apply to the board for approval at least sixty (60) days in advance of the commencement of the activity.

(2) The application shall state the:

(a) Dates;

(b) Subjects offered;

(d) Total hours of instruction; and

(e) Names and qualifications of speakers.

(3) The board shall approve or deny timely and complete applications before the commencement of the activity.

(4) Review of programs.

(a) The board may monitor and review any continuing education program already approved by the board.

(b) Upon evidence of significant variation in the program presented from the program approved, the board may disapprove all or any part of the approved hours granted the program.

(5) Programs pertaining to the following subject areas shall require preapproval by the board:

(a) Experiential skill development, which shall be limited to fifteen (15) hours;

(b) Independent learning programs that are sponsored and related to nutrition and dietetic practice, nutrition and dietetic education, or nutrition and dietetic research, which shall be limited to ten (10) hours;

(c) Study groups involving nutrition and dietetic practice, nutrition and dietetic education, or nutrition and dietetic research, which shall be limited to ten (10) hours; and

(d) Professional reading of journal articles related to nutrition and dietetic practice, nutrition and dietetic education, or nutrition and dietetic research, which shall be limited to three (3) hours.

Section 4. Subsequent Approval of Continuing Education Activities.

(1)

(a) Individual or group educational activities for which program providers or sponsors have not requested continuing education hour approval prior to the date of the activity may be approved by the board for continuing education credit.

(b) An activity that has received prior approval shall not be submitted on a subsequent approval basis.

(2) The person seeking subsequent approval of continuing education activities shall submit the following information regarding the program attended:

(a) Dates;

(b) Subjects offered;

(d) Total hours of instruction;

(e) Names and qualifications of speakers;

(f) A timing outline, including time spent for registration, introductions, welcomes, and coffee and meal breaks; and

(g) The number of continuing education hours requested.

(3) A request for approval of a continuing education program based on:

(a) A program that does not require preapproval shall be submitted within sixty (60) days of completion;

(b) Authorship of a publication shall be submitted within six (6) months of the date of publication; and

(4) Documentation of attendance at a workshop, seminar, or lecture related to nutrition and dietetic practice, nutrition and dietetic education, or nutrition and dietetic research that has not been approved by the Commission on Dietetic Registration shall be submitted within sixty (60) days of attendance.

(5) An activity that has not received prior approval may be submitted by individuals on a subsequent approval basis with rationale demonstrating continuing education value.

Section 5. Provider Preapproval.

(1) A provider of a continuing education program seeking to obtain prior approval from the board for continuing education certification shall provide the following documentation to the board not less than sixty (60) days prior to the event:

(a) Dates;

(b) Subjects offered;

(d) Total hours of instruction; and

(e) Names and qualifications of speakers.

(2) The board shall approve or deny timely and complete applications before the commencement of the activity.

(3) Review of programs.

(a) The board may monitor and review any continuing education program already approved by the board.

(b) Upon evidence of significant variation in the program presented from the program approved, the board may disapprove all or any part of the approved hours granted the program.

Section 6. Appeals Procedure.

(1) A licensee or certificate holder may appeal decisions regarding continuing education by filing a written appeal.

(2) An appeal shall be sent to the board within thirty (30) calendar days after notification of denial and shall be considered by the board at its next scheduled meeting.

Section 7. Waiver of Continuing Education.

(1) A licensee or certificate holder who is medically disabled or ill based upon the verification document signed by a licensed physician shall be granted:

(a) A waiver of the continuing education requirements; or

(b) An extension of time within which to complete continuing education requirements or make required reports.

(2) A written request for waiver or extension of time shall be:

(a) Submitted by the licensee or certificate holder; and

(b) Accompanied by a verifying document signed by a licensed physician.

(3) A waiver of the minimum continuing education requirements or extensions of time to complete them shall not be granted for more than one (1) calendar year.

(4) If the medical disability or illness upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the licensee or certificate holder shall reapply for further waiver or extension.

Section 8. Continuing Education Requirements for Retired or Inactive Licensees or Certificate Holders.

(1)

(a) A licensee or certificate holder who holds an inactive license or certificate shall not be required to obtain continuing education.

(b) Upon application to return to active status, the licensee or certificate holder shall present evidence that the licensee or certificate holder has fulfilled the continuing education requirements for the two (2) year period immediately prior to the application for reinstatement.

(2)

(a) A retired licensee or certificate holder shall not be required to obtain continuing education.

(b) Upon application to return to active status, the licensee or certificate holder shall present evidence that the licensee or certificate holder has fulfilled all past-due continuing education requirements from the date of retirement.

Section 9. Incorporation by Reference.

(1) "Continuing Education Submission Form for Certified Nutritionists Only", July 2015, is incorporated by reference.

History

RELATES TO: KRS 310.050(3)
STATUTORY AUTHORITY: KRS 310.041(1), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 310.041(1) requires the board to promulgate administrative regulations establishing continuing education requirements. This administrative regulation establishes continuing education requirements for dietitians and nutritionists.
History: 22 Ky.R. 1001; Am. 1455; eff. 2-12-1996; 33 Ky.R. 879; 1292; eff. 11-15-2006; 36 Ky.R. 1311; 1907; eff. 3-5-2010; 42 Ky.R. 1299; 2324; eff. 3-4-2016; Cert. eff. 3-3-2023.

201 KAR 33:050 Complaint procedure {#sec-201-kar-33-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 33:050}

Section 1. Definitions.

(1) "Chairperson" means the chairperson or secretary of the board.

(3) "Complaint" means a written allegation of misconduct by a credentialed dietitian or nutritionist that may constitute a violation of KRS Chapter 310 or 201 KAR Chapter 33.

(4) "Formal complaint" means a formal administrative pleading authorized by the board that sets forth charges against a licensed dietitian or nutritionist and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B or requests the court to take criminal or civil action.

(5) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of reaching a dispensation of any matter without further recourse to formal disciplinary procedures under KRS Chapter 13B.

(6) "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.

Section 2. Receipt of Complaints.

(1) A complaint:

(a) May be submitted by an:

Individual;
Organization; or
Entity;

(b) Shall be:

In writing; and
Signed by the person offering the complaint; and

(2) Upon receipt of a complaint:

(a)

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.
The individual shall be allowed a period of twenty (20) days from the date of receipt to submit a written response.

(b)

Upon receipt of the written response of the individual named in the complaint, a copy of that response shall be sent to the complainant.
The complainant shall have seven (7) days from the date of receipt to submit a written reply to the response.

Section 3. Initial Review.

(1) The board shall establish a complaint committee composed of two (2) board members the purpose of which shall be to review complaints and information and make recommendations to the board about prospective action related to those complaints.

(2) After the receipt of a complaint and the expiration of the period for the individual's response, the compliant committee shall consider the individual's response, complainant's reply to the response, and any other relevant material available. The compliant committee shall determine whether there is enough evidence to warrant a formal investigation of the complaint. After making this determination, the complaint committee shall recommend further action or disposition to the board.

(3) 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.

(4) If the board determines that a complaint warrants a formal investigation, it shall:

(a) Authorize an investigation into the matter; and

(b) Order a written report to be made to the compliant committee.

Section 4. Results of Formal Investigation; Board Decision on Hearing.

(1) Upon completion of the formal investigation, the investigator shall submit a verbal report to the complaint committee of the facts regarding the complaint.

(a) The compliant committee shall determine if there has been a prima facie violation of KRS Chapter 310 or 201 KAR Chapter 33 and if a complaint should be filed.

(b) After making this determination, the compliant committee shall recommend further action or disposition to the board.

(2) If the board determines that a letter of complaint does not warrant issuance of a formal complaint, 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 violation has occurred but is not serious, the board shall issue a written admonishment to the licensee. A copy of the written admonishment shall be placed in the permanent file of the licensee.

(a) The licensee shall have the right to file a response to the admonishment, in writing, within thirty (30) days of its receipt and may have it placed in the permanent file.

(b)

Alternatively, the licensee may file a request for a hearing with the board within thirty (30) days of the admonishment.
Upon receipt of the request, the board shall set aside the written admonishment and set the matter for hearing pursuant to the provisions of KRS Chapter 13B.

(4) If the board determines that a letter of complaint warrants the issuance of a formal complaint against a respondent, the board shall prepare a formal complaint that 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 chairperson and served upon the individual as required by KRS Chapter 13B.

(5) If the board determines that a person may be in violation of KRS 310.070(1), it shall:

(a) Order the individual to cease and desist from further violations of KRS 310.070(1);

(b) Forward information to the county attorney of the county of residence of the person allegedly violating KRS 310.070(1) with a request that appropriate action be taken under KRS 310.990; or

Section 5. Settlement by Informal Proceedings.

(1) The board through counsel 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 chairperson.

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

Section 6. Notice and Service of Process. A notice required by KRS Chapter 310 or this administrative regulation shall be issued pursuant to KRS Chapter 13B.

Section 7. Notification. The board shall make public:

(1) Its final order in a disciplinary action under KRS 310.042 with the exception of a written admonishment issued pursuant to Section 4(3) of this administrative regulation; and

(2) An action to restrain or enjoin a violation of KRS 310.070(1).

History

RELATES TO: KRS 310.041(3), (8), 310.042(2), 310.070(1), 310.990
STATUTORY AUTHORITY: KRS 310.041(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 310.041(1) requires the Kentucky Board of Licensure and Certification for Dietitians and Nutritionists to promulgate administrative regulations. This administrative regulation establishes procedures for the filing, evaluation, and disposition of administrative complaints.
History: 27 Ky.R. 3392; eff. 12-19-2001; Am. 36 Ky.R. 1314; 1910; eff. 3-5-2010; Crt eff. 2-21-2020.

201 KAR 33:060 Supervision requirements {#sec-201-kar-33-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 33:060}

Section 1. Definitions.

(1) "Dietary services" means the data collection, observation, and implementation of nutrition care protocols as established by the supervisor.

(2) "Supervisee" means a person performing dietary services pursuant to KRS 310.070(2)(f).

(3) "Supervision" means the process of utilizing a partnership between a supervisor and a supervisee aimed at overseeing and insuring the overall quality of care for the client or patient.

(4) "Supervisor" means a licensed dietitian or certified nutritionist who is supervising a person performing dietary services pursuant to KRS 310.070(2)(f).

Section 2.

(1) A supervisor shall be responsible for the actions of the supervisee.

(2) A supervisor shall maintain individual records for each supervisee which shall include the following information:

(a) Name of supervisee;

(b) Name and license number of the supervisor;

(d) A statement that the supervisor shall provide adequate direct supervision to the supervisee to insure the provision of quality dietary services by the supervisee.

History

RELATES TO: KRS 310.070(2)(f)
STATUTORY AUTHORITY: KRS 310.041(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 310.070(2)(f) establishes that persons employed in a hospital or nursing home may perform dietary services under the supervision of a licensed dietitian or certified nutritionist. This administrative regulation establishes the specific requirements to be met by supervisors of those persons.
History: 27 Ky.R. 3393; Am. 28 Ky.R. 1360; eff. 12-19-2001; Crt eff. 2-21-2020.

Chapter 34 Board of Licensure for Professional Art Therapists

201 KAR 34:010 Licensure of professional art therapists {#sec-201-kar-34-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:010}

Section 1.

(1) Proof of certification or registration with the Art Therapy Credentials Board, Inc. shall be accepted as evidence that the applicant has met the educational and experiential requirements for licensure as set forth in KRS 309.133(1).

(2) Supervision shall be considered appropriate if:

(a) For group supervision it:

Is provided by an approved supervisor to an individual or a group not exceeding six (6) individuals;
Enhances the professional development of a supervisee in the provision of professional art therapy services; and
Is equally distributed throughout the period of supervision; and

(b) For individual supervision, it consists of case consultation between the supervisor and the supervisee that is restricted to the supervisee's cases.

(3) An approved supervisor shall be licensed as a professional art therapist in the Commonwealth of Kentucky with a minimum of four (4) years of experience in the practice of art therapy.

(4) To identify a license holder as a licensed professional art therapist, a licensed professional art therapist may use "LPAT".

(5) To qualify, an internship experience shall have been an internship in the field of art therapy.

(6) To qualify, a trainee's postgraduate experience shall have been the practice of art therapy after completion of and receipt of the qualifying degree pursuant to KRS 309.133.

(7)

(a) The practice of art therapy shall include the rendering to individuals, families, or groups, services that use art media and verbalization as a means of expression and communication to promote perceptive, intuitive, affective and expressive experiences that:

Alleviate distress, reduce physical, emotional, behavioral, and social impairment; and
Lead to growth or reintegration of one's personality.

(b) Art therapy services shall include:

Assessment and evaluation;
Development of treatment plans, goals and objectives;
Case management services; and
Therapeutic verbal and visual treatment.

(8) "Twenty-one (21) semester hours of sequential course work in the history, theory, and practice of art therapy" shall include completion of the following:

(a) A minimum of twenty-one (21) semester hours, thirty-one (31) quarter hours, or 315 clock hours in art therapy courses from an accredited institution as defined in KRS 309.130(5);

(b) The required core curriculum shall include the following components:

History of art therapy;
Theory of art therapy;
Techniques of practice in art therapy;
The application of art therapy with people in different treatment settings;
Psychopathology;
Assessment of patients and diagnostic categories;
Ethical and legal issues of art therapy practice;
Standards of good practice in art therapy; and
Matters of cultural diversity bearing on the practice of art therapy.

History

RELATES TO: KRS 309.1315(5), 309.133
STATUTORY AUTHORITY: KRS 309.1315(1), (11), (12)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(1) requires the board to promulgate administrative regulations to implement the provisions of KRS 309.130 to 309.1399. This administrative regulation establishes the requirements for licensure of professional art therapists.
History: 22 Ky.R. 1913; Am. 23 Ky.R. 125; eff. 7-5-1996; 36 Ky.R. 638; 1017; eff. 12-4-2009; Crt eff. 2-27-2020; Crt eff. 9-9-2026.

201 KAR 34:015 Examination {#sec-201-kar-34-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:015}

Section 1. General Requirements.

(1) An applicant for examination shall:

(a) Submit a complete LPAT 09(2009) application; and

(b) Pay the applicable fees established in 201 KAR 34:020.

(2) Once the application has been approved by the board, the applicant shall be scheduled to take the examination at the next regularly-scheduled date.

Section 2. Examination for Licensure. An applicant for licensure shall take the Art Therapy Credentials Board Certification Examination and obtain a passing score.

Section 3. Incorporation by Reference.

(1) "LPAT 09", 2009, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Division of Occupations and Professions, 500 Mero Street, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 309.1315(1)-(4), 309.133(1)
STATUTORY AUTHORITY: KRS 309.1315(1)-(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315 requires the board to promulgate an administrative regulation establishing the examination requirements for an applicant for licensure. KRS 309.133 requires an applicant to successfully complete the required examination prior to licensure. This administrative regulation prescribes the procedures to be followed in making application to the board for licensure.
History: 28 Ky.R. 1010; eff. 12-19-2001; 36 Ky.R. 639; eff. 12-4-2009; Crt eff. 2-27-2020; TAm eff. 2-11-2021; Crt eff. 9-9-2026.

201 KAR 34:020 Fees {#sec-201-kar-34-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:020}

Section 1. Application Fee.

(1)

(a) The application fee for board review of the Application for Licensed Professional Art Therapist required by 201 KAR 34:025, Section 1(1), shall be $100.

(b) The application fee for board review of the Application for Licensed Professional Art Therapist Associate required by 201 KAR 34:025, Section 1(2), shall be fifty (50) dollars.

(2) The application fee shall be nonrefundable.

Section 2. Examination Fee. The applicant shall pay the national examination fee established by the National Art Therapy Credentials Board.

Section 3. Initial Licensure Fee.

(1)

(a) The initial licensure fee shall be $100 for licensure as a licensed professional art therapist.

(b) The initial licensure fee shall be fifty (50) dollars for licensure as a licensed professional art therapist associate.

(2) If the applicant successfully completes all requirements for licensure, this fee shall cover licensure for the initial two (2) year period.

Section 4. Renewal Fee.

(1) The renewal fee for licensed professional art therapist licensure shall be $200 for a two (2) year period.

(2) The renewal fee for licensed professional art therapist associate licensure shall be $100 for a two (2) year period.

Section 5. Late Fee. The late fee for a licensee who applies for renewal within the ninety (90) day grace period established in KRS 309.1335(2) shall be fifty (50) dollars, which shall be paid in addition to the renewal fee set out in Section 4 of this administrative regulation. Any license not renewed within the ninety (90) day grace period shall be suspended. A person shall not engage in the practice professional art therapy with a suspended license.

Section 6. Reinstatement Fee.

(1) The reinstatement fee for a licensee who applies for reinstatement more than ninety (90) days but prior to 180 days after the original renewal deadline shall be:

(a)

$100 for a licensed professional art therapist; or
Fifty (50) dollars for a licensed professional art therapist associate; and

(b) Paid in addition to the renewal fee set out in Section 4 of this administrative regulation.

(2)

(a) A licensed professional art therapist who applies for reinstatement shall submit the LPAT Reinstatement Form.

(b) A licensed professional art therapist associate who applies for reinstatement shall submit the LPATA Reinstatement Form.

Section 7. Board Examination Fee.

(1) The board examination fee for completing an examination offered by the board shall be ten (10) dollars per credit hour, but not more than thirty (30) dollars for each board examination.

(2) A board examination fee shall be paid for each board examination listed in regulation 201 KAR 34:030, Section 3(3) that a license holder renewing an active board issued license or board approved supervisor completes and submits to the board.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "LPAT Reinstatement Form", March 2021; and

(b) "LPATA Reinstatement Form", March 2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 5 p.m.

History

RELATES TO: KRS 309.133, 309.134, 309.1335, 309.138
STATUTORY AUTHORITY: KRS 309.1315(1), (4), (13), 309.1335, 309.135
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(1), (4), and (13), and 309.135 require the board to promulgate an administrative regulation establishing fees for licensure, examination, renewal, and reinstatement of the license. This administrative regulation establishes those fees.
History: 28 Ky.R. 1011; eff. 12-19-2001; Am. 36 Ky.R. 641; 1081; eff. 12-4-2009; 37 Ky.R. 443; 11-5-2010; 40 Ky.R. 1427; 2284; eff. 5-2-2014; 44 Ky.R. 43; eff. 8-4-2017; TAm eff. 2-11-2021; Cert. eff. 8-2-2024.

201 KAR 34:025 Application; approved programs {#sec-201-kar-34-025 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:025}

Section 1. Application.

(1) A person seeking licensure as a licensed professional art therapist shall submit an Application for Licensed Professional Art Therapist to obtain a license to engage in the practice of professional art therapy after the requirements established in KRS 309.133 are met.

(2) A person seeking licensure as a licensed professional art therapist associate shall submit an Application for Licensed Professional Art Therapist Associate to obtain a license to engage in the practice of professional art therapy after the requirements established in KRS 309.134(1) are met.

(3) The application required pursuant to subsection (1) and (2) of this section shall be accompanied by the appropriate nonrefundable application fee established in 201 KAR 34:020.

(4) The application shall be signed by the applicant.

(5)

(a) The application for a licensed professional art therapist license shall include a copy of the applicant's current registration and certification card issued by the Art Therapy Credentials Board, Inc.

(b) Proof of certification or registration shall constitute evidence that the licensed professional art therapist applicant has met the educational and experiential requirements for licensure established in KRS 309.133(1).

(6)

(a) The licensed professional art therapist or licensed professional art therapist associate applicant shall ensure that a certified, official transcript from the college or university registrar's office is transmitted to the board upon application to substantiate that the applicant has been awarded or conferred a master's or doctoral degree in art therapy from a program accredited by the American Art Therapy Association (AATA).

(b) If the licensed professional art therapist or licensed professional art therapist associate applicant does not possess a degree from an AATA accredited program, the applicant's degree shall meet the requirements of Section 2 of this administrative regulation.

Section 2. Degree from a non-accredited program.

(1) A master's or doctoral degree from a college or university approved by the board pursuant to KRS 309.133(2) or 309.134 shall be a degree program that is listed as accredited by the American Art Therapy Association.

(2) If an applicant's master's or doctoral degree is not listed as accredited by the American Art Therapy Association, then the applicant shall demonstrate that the degree consisted of at least sixty (60) semester hours as evidenced by a certified copy of an academic transcript of coursework at the graduate level.

(3)

(a) The coursework for the degree shall include twenty-four (24) semester hours of sequential course work in art therapy courses from an accredited institution as defined in KRS 309.130(6).

(b) The coursework in art therapy shall include the following components:

History of art therapy;
Theory of art therapy;
Techniques of practice in art therapy;
The application of art therapy with people in different treatment settings;
Psychopathology in the practice of art therapy;
Assessment of patients and diagnostic categories;
Ethical and legal issues of art therapy practice;
Standards of good practice in art therapy; and
Matters of cultural diversity bearing on the practice of art therapy.

(c) In addition to the coursework in art therapy, the degree shall include twenty-four (24) semester hours covering the following related content areas:

Psychopathology;
Human growth and development;
Counseling and psychological theories;
Cultural and social diversity;
Assessment;
Research;
Studio art; and
Career and lifestyle development.

(4) The degree shall include the supervised internship experience required by KRS 309.133(1)(a) or (b).

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Licensed Professional Art Therapist", March 2014; and

(b) "Application for Licensed Professional Art Therapist Associate", March 2014.

History

RELATES TO: KRS 303.130, 309.133, 309.134
STATUTORY AUTHORITY: KRS 309.1315(1), (4), 309.133, 309.134
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(1) requires the Kentucky Board of Licensure for Professional Art Therapists to promulgate administrative regulations necessary to carry out the provisions of KRS 309.130 to 309.1399. KRS 309.1315(4) requires the board to process applications for licensure. KRS 309.133 and 309.134 authorize the board to review and approve, or reject the qualifications of all applicants for licensure. This administrative regulation establishes the procedure for submitting an application for licensure.
History: 40 Ky.R. 1515; 2285; eff. 5-2-2014; TAm eff. 2-11-2021; Crt eff. 4-15-2021.

201 KAR 34:030 Continuing education requirements {#sec-201-kar-34-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:030}

Section 1. Definitions.

(1) "Academic course" means a course offered by an accredited postsecondary institution that is an:

(a) Art therapy course, designated by an art therapy course title or content, beyond the undergraduate level; or

(b) Academic course, relevant to professional art therapy, beyond the undergraduate level.

(2) "Approved" means recognized by the Kentucky Board of Licensure for Professional Art Therapists.

(3) "Continuing education hour" means fifty (50) clock minutes of participating in continuing educational experiences.

(4) "Program" means an organized learning experience:

(a) Planned and evaluated to meet behavioral objectives; and

(b) Presented in one (1) session or series.

(5) "Provider" means an individual or an organization that provides or sponsors continuing education programs and is approved by the board.

(6) "Relevant" means having content applicable to the practice of professional art therapy as evaluated by the board.

(7) "Successful completion" means that the license holder has:

(a)

Satisfactorily met the specific requirements of the program; and
Earned the continuing education hours; or

(b) Received a passing score from the board for completing a board examination.

Section 2. Accrual of Continuing Education Hours; Computation of Accrual.

(1) A minimum of forty (40) continuing education hours shall be accrued by a licensed professional art therapist during the two (2) year licensure period for renewal.

(2) A minimum of eighteen (18) continuing education hours shall be accrued by a licensed professional art therapy associate during the two (2) year licensure period for renewal.

(3) All hours shall be in or related to the field of professional art therapy.

(4) A licensee shall obtain three (3) hours of continuing education on ethics included within the hours required by subsection (1) and (2) of this section during the two (2) year licensure period for renewal.

(5) Continuing education activities shall be in the following content areas in order to be considered relevant:

(a) Psychological and psychotherapeutic theories and practice;

(b) Art therapy assessment;

(d) Client populations;

(e) Art theory and media; and

(f) Professionalism and ethics.

Section 3. Methods of Acquiring Continuing Education Hours. Continuing education hours applicable to the renewal of the certificate shall be directly related to the professional growth and development of a professional art therapy practitioner. Hours may be earned by completing any of the following educational activities:

(1) Programs not requiring board review and approval. A program provided or approved by any of the following providers shall be relevant to the practice of professional art therapy and shall be approved without further review by the board:

(a) The American Art Therapy Association, Inc. or any of its state affiliates;

(b) The Art Therapy Credentials Board, Inc.;

(d) The National Association of Social Workers and its state affiliates;

(e) The American Psychological Association and its state affiliates;

(f) The American Counseling Association and its state affiliates;

(g) The National Board of Certified Counselors and its state affiliates;

(h) The Association for Addiction Professionals (NAADAC) and its state affiliates;

(i) The Department for Behavioral Health, Developmental and Intellectual Disabilities;

(j) The Employee Assistance Professionals Association; and

(k) Academic courses as established in Section 1(1) of this administrative regulation. A general education course, elective, or course designated to meet degree requirements shall not be acceptable. Academic credit equivalency for continuing education hours shall be based on one (1) credit hour equals fifteen (15) continuing education hours.

(2) Programs requiring board review and approval. A program from any of the following sources shall be reviewed by the board and evaluated whether it is relevant:

(a) A program, including a home study course, webinar, and in-service training provided by another organization, educational institution, or service provider approved by the board;

(b) A program or academic course presented by the license holder. A presenter of a relevant program or academic course shall earn two (2) continuing education hours for each contact hour of instruction. Credit shall not be issued for repeated instruction of the same course;

(c) A publication in a professionally recognized or juried publication. Continuing education hours shall be granted for a relevant publication as follows:

Five (5) continuing education hours for each published abstract or book review;
Ten (10) continuing education hours for each published article;
Twenty (20) continuing education hours for each book chapter or monograph; and
Forty (40) continuing education hours for each published book; and

(d) An exhibition in a juried art show. An exhibitor at a juried art show shall earn ten (10) continuing education hours for an exhibition and is limited to one (1) exhibition per renewal cycle.

(3) Board examination. A license holder shall submit an Application for Examination Continuing Education Credit to receive continuing education credit for completing a board examination. The board shall only grant board examination continuing education credit to an active license holder renewing an active board issued license and to a board approved supervisor. Upon application, and payment of the board examination fee established in 201 KAR 34:020, Section 7(1), the board shall credit a license holder with three (3) continuing education credit hours for successfully completing a training examination offered by the board. A license holder may complete more than one (1) board examination but shall be awarded no more than eighteen (18) continuing education credit hours for completing board examinations during a two (2) year licensure period. Three (3) credit hours shall be awarded for successfully completing each of the following board examinations:

(a) Art therapy assessment examination;

(b) Art therapy and client populations examination;

(d) Art therapy theory and media examination;

(e) Art therapy professionalism and ethics examination; and

(f) Board-approved supervisor training examination.

(4) A license holder shall submit a written request to the board to repeat a continuing education program or board examination during the two (2) year licensure period. Preapproval shall be required for repeating a program or examination for credit toward the minimum continuing education requirement for renewal. The request to repeat a continuing education program or board examination shall be submitted to the board before repeating the program or examination. A board examination fee shall be paid for repeated examinations.

Section 4. Procedures for Preapproval of Continuing Education Programs.

(1) Any entity seeking to obtain approval of a continuing education program shall submit a complete Application for Continuing Education Program Approval prior to its offering and shall apply to the board at least sixty (60) days in advance of the commencement of the program.

(2) A continuing education program shall be qualified for approval if the board finds the activity being presented:

(a) Is an organized program of learning;

(b) Lists goals and objectives;

(d) Contributes to the professional competency of the licensee; and

(e) Is conducted by individuals who have educational training or experience acceptable to the board.

(3)

(a) The board may approve a specific continuing education program that is not listed in Section 3(1) of this administrative regulation if the provider of the program:

Files a written request for approval;
Pays an annual processing fee of seventy-five (75) dollars; and
Provides the information on a continuing education program that it proposes to provide that meets the requirements established in this administrative regulation.

(b) The approval of a program pursuant to paragraph (a) of this subsection shall permit the provider to offer the program for a period of one (1) calendar year.

(4)

(a) A license holder may request an individual review of a nonapproved continuing education activity completed during the earning period if, within thirty (30) days after the expiration of the immediate past license period, the license holder has:

Requested the review by applying for individual review; and
Paid a fee of twenty (20) dollars.

(b) The review shall be based on the standards established by this administrative regulation.

Qualify as if it has been obtained from an approved provider; and
Be limited to the particular offering upon which the request for individual review is based.

Section 5. Procedures for Approval of Continuing Education Programs.

(1) A course that has not been preapproved may be used for continuing education if approval is secured from the board.

(2) The applicant shall submit a complete Application for Continuing Education Program Approval that includes the following information and fees:

(a) A published course or seminar description;

(b) The name and qualifications of the instructor including resume or vitae;

(d) Number of continuing education hours requested;

(e) Official certificate of completion or college transcript from the provider or college;

(f) Letter requesting continuing education credits approval;

(g) The applicable fee identified in Section 4 of this administrative regulation; and

(h) Program evaluation.

Section 6. Responsibilities and Reporting Requirements of License Holders.

(1) During the license renewal period, the board shall require up to fifteen (15) percent of all license holders to furnish documentation of the completion of the appropriate number of continuing education hours. Verification of continuing education hours shall not otherwise be reported to the board.

(2) A license holder shall:

(a) Be responsible for obtaining required continuing education hours;

(b) Identify his or her continuing education needs and seek activities that meet those needs;

(d) Select board approved activities by which to earn continuing education hours;

(e) Submit to the board, if applicable, a request for approval for continuing education activities not otherwise approved by the board;

(f) Document attendance, participation in, and successful completion of continuing education activity for a period of two (2) years from the date of the renewal; and

(g) Maintain records of continuing education hours;

(3) The following items may be used to document continuing education activity:

(a) Transcript;

(b) Certificate;

(d) Receipt for the fee paid to the provider; or

(e) Written summary of experiences that are not formally or officially documented otherwise.

(4) A license holder shall comply with the provisions of this administrative regulation. Failure to comply shall constitute a violation of KRS 309.137(1) and shall result in disciplinary action pursuant to that statutory provision.

Section 7. Carry-over of Continuing Education Hours, Prohibited. Continuing education hours earned in excess of those required under Section 2 of this administrative regulation shall not be carried over into the immediately following license renewal period.

Section 8. Board to Approve Continuing Education Hours; Appeal of Denial.

(1) If an application for approval of continuing education hours is denied, in whole or in part, the person holding a license shall have the right to appeal the board's decision.

(2) An appeal shall be:

(a) In writing;

(b) Received by the board within thirty (30) days after the date the notification of the decision denying approval of continuing education hours is mailed; and

Section 9. Waiver or Extensions of Continuing Education.

(1) On application, the board may grant a waiver of the continuing education requirements or an extension of time within which to fulfill the requirements in the following cases:

(a) Medical disability of the license holder;

(b) Illness of the license holder or an immediate family member;

(d) Active duty military service or deployment.

(2) A written request for waiver or extension of time shall be:

(a) Submitted by the person holding the license;

(b) Accompanied by a verifying document signed by a licensed physician or an authority verifying the need for an extension of time or waiver; and

(c) Received by the board before the expiration of the two (2) year licensure period for renewal and before the beginning of the ninety (90) day grace period established by KRS 309.1335(2) for the license.

(3) A wavier of or extension of time within which to fulfill the minimum continuing education requirements shall not exceed one (1) year.

(4) If the medical disability, illness, or military service upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the person holding licensure shall reapply for the waiver or extension.

Section 10. Continuing Education Requirements for Reinstatement or Reactivation of Licensure.

(1) A person requesting reinstatement or reactivation of professional art therapist licensure shall submit evidence of forty (40) hours of continuing education within the twenty-four (24) month period immediately preceding the date on which the request for reinstatement or reactivation is submitted to the board.

(2) If the board reinstates a professional art therapist license, the person shall obtain forty (40) hours of continuing education within six (6) months of the date on which licensure is reinstated.

(3) A person requesting reinstatement or reactivation of professional art therapist associate licensure shall submit evidence of eighteen (18) hours of continuing education within the twenty-four (24) month period immediately preceding the date on which the request for reinstatement or reactivation is submitted to the board.

(4) If the board reinstates a professional art therapist associate license, the person shall obtain eighteen (18) hours of continuing education within six (6) months of the date on which licensure is reinstated.

(5) The continuing education hours received in compliance with this section shall be in addition to the continuing education requirements established in Section 2 of this administrative regulation and shall not be used to comply with the requirements of that section.

Section 11. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Examination Continuing Education Credit", March 2021; and

(b) "Application for Continuing Education Program Approval", October 2016.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 911 Leawood Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 5 p.m.

History

RELATES TO: KRS 309.133, 309.1335(1)(c), 309.134, 309.137
STATUTORY AUTHORITY: KRS 309.1315(1), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(1) and (9) require the board to promulgate administrative regulations necessary to carry out the provisions of KRS 309.130 to 309.1399 and to establish the criteria for continuing education. KRS 309.1335(1)(c) authorizes the board to promulgate an administrative regulation requiring licensed professional art therapists and licensed professional art therapist associates to complete continuing education requirements as a condition of renewal of their license. This administrative regulation delineates the requirements for continuing education and prescribes methods and standards for the accreditation of continuing education courses.
History: 25 Ky.R. 476; 824; eff. 10-12-1998; 36 Ky.R. 642; 1018; eff. 12-4-2009; 40 Ky.R. 1428; 2286; eff. 5-2-2014; 44 Ky.R. 43; eff. 8-4-2017; TAm eff. 2-11-2021; Cert eff. 8-2-2024.

201 KAR 34:040 Code of ethics {#sec-201-kar-34-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:040}

Section 1. Responsibility to Patients.

(1) A licensed professional art therapist and a licensed professional art therapist associate shall:

(a) Advance and protect the welfare of the patient;

(b) Respect the rights of a person seeking assistance;

(d) Display a copy of his or her license in the principle place of business.

(2) A licensed professional art therapist and a licensed professional art therapist associate shall not:

(a) Discriminate against or refuse professional service to anyone on the basis of:

Race;
Gender;
Religion; or
National origin;

(b) Exploit the trust and dependency of a patient;

Impair professional judgment;
Incur a risk of exploitation of the patient; or
Otherwise violate a provision of this administrative regulation. If a dual relationship cannot be avoided, and does not impair professional judgment, incur a risk of exploitation of the patient, or otherwise violate a provision of this administrative regulation, a therapist shall take professional precautions to ensure that judgment is not impaired and exploitation of the patient does not occur. Some examples of these professional precautions include peer supervision and documentation.

(d) Engage in a sexual relationship with a current patient or with a former patient for two (2) years following the termination of therapy;

(e) Use the professional relationship with a patient to further personal interests;

(f) Continue therapeutic relationships unless it is reasonably clear that the patient is benefiting from the relationship;

(g) Fail to assist a person in obtaining other therapeutic services if the therapist is unable or unwilling, for appropriate reasons, to provide professional help;

(h) Abandon or neglect a patient in treatment without making reasonable arrangements for the continuation of treatment;

(i) Videotape, record, or permit third-party observation of therapy sessions without having first obtained written informed consent from the patient;

(j) Engage in sexual or other harassment or exploitation of a patient, student, trainee, supervisee, employee, colleague, research subject, or actual or potential witness or complainant in investigations and ethical proceedings; or

(k) Diagnose, treat, or advise on problems outside the recognized boundaries of competence.

Section 2. Confidentiality.

(1) A licensed professional art therapist and a licensed professional art therapist associate shall respect and guard the confidences of each individual patient.

(2) A licensed professional art therapist and a licensed professional art therapist associate shall not disclose a patient confidence except:

(a) As mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person;

(c) During the course of a civil, criminal, or disciplinary action arising from the therapy at which the licensed professional art therapist or licensed professional art therapist associate is a defendant; or

(d) In accordance with the terms of a written informed consent agreement.

(3) A licensed professional art therapist and a licensed professional art therapist associate may use patient or clinical materials in teaching, writing, and public presentations if:

(a) Written informed consent has been obtained in accordance with subsection (2)(d) of this section; or

(b) The licensee has acted to protect patient identity and confidentiality.

(4) A licensed professional art therapist and a licensed professional art therapist associate shall store or dispose of patient records so as to maintain confidentiality.

Section 3. Public Use and Reproduction of Patient Art Expression and Therapy Sessions.

(1) A licensed professional art therapist and a licensed professional art therapist associate shall obtain written informed consent from the patient or a legal guardian, if applicable, before:

(a) Photographing or videotaping a patient's art expression;

(b) Making an audio recording of an art therapy session;

(d) Duplication of an art therapy session in any matter.

(2) A licensed professional art therapist and a licensed professional art therapist associate shall not use clinical materials in teaching, writing, and public presentations unless written informed consent has been previously obtained from the patient or, if applicable, a legal guardian. The licensee shall take steps necessary to protect patient identity and disguise any part of the art expression or video tape that reveals patient identity.

(3) A licensed professional art therapist and a licensed professional art therapist associate shall obtain written, informed consent from a patient or legal guardian, if applicable, before displaying the patient's art in a:

(a) Gallery;

(b) Mental health facility;

(d) Another public place.

(4) A licensed professional art therapist and a licensed professional art therapist associate shall display a patient's art expression in an appropriate and dignified manner.

Section 4. Professional Competence and Integrity. A licensed professional art therapist and a licensed professional art therapist associate shall maintain standards of professional competence and integrity and shall be subject to disciplinary action for:

(1) Misrepresentation or concealment of a material fact in obtaining or seeking reinstatement of a license;

(2) Refusing to comply with an order issued by the board; or

(3) Failing to cooperate with the board by not:

(a) Furnishing in writing a complete explanation to a complaint filed with the board;

(b) Appearing before the board when requested and at the place designated; or

Section 5. Responsibility to a Student, Intern, or Supervisee. A licensed professional art therapist and a licensed professional art therapist associate shall:

(1) Be aware of his or her influential position with respect to a student, intern, or supervisee;

(2) Avoid exploiting the trust and dependency of a student or supervisee;

(3) Try to avoid a social, business, personal, or other dual relationship that may:

(a) Impair professional judgment; and

(b) Increase the risk of exploitation;

(4) Take precautions to ensure that judgment is not impaired and to prevent exploitation if a dual relationship cannot be avoided;

(5) Not provide therapy to:

(a) A student;

(b) An intern;

(d) A supervisee;

(6) Not engage in sexual intimacy or contact with:

(a) A student;

(b) An intern; or

(7) Not permit a student, intern, or supervisee to perform or represent himself or herself as competent to perform a professional service beyond his or her level of:

(a) Training;

(b) Experience; or

(8) Not disclose the confidence of a student, intern, or supervisee unless:

(a) Permitted or mandated by law;

(b) It is necessary to prevent a clear and immediate danger to a person;

(c) During the course of a civil, criminal, or disciplinary action arising from the supervision, at which the licensed professional art therapist or licensed professional art therapist associate is a defendant;

(d) In an educational or training setting, of which there are multiple supervisors or professional colleagues who share responsibility for the training of the supervisee; or

(e) In accordance with the terms of a written informed consent agreement.

History

RELATES TO: KRS 309.1315(15)
STATUTORY AUTHORITY: KRS 309.1315(1), (15)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(1) requires the board to promulgate administrative regulations necessary to carry out the provisions of KRS 309.130 to 309.1399. KRS 309.1315(15) requires the board to establish a code of ethics for licensed professional art therapists and licensed professional art therapist associates. This administrative regulation establishes the required code of ethics.
History: 25 Ky.R. 476; Am. 826; eff. 10-12-1998; 36 Ky.R. 645; 1020; eff. 12-4-2009; 40 Ky.R. 1431; 2288; eff. 5-2-2014; Crt eff. 4-15-2021.

201 KAR 34:050 Complaint procedure {#sec-201-kar-34-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:050}

Section 1. Definitions.

(1) "Act" means KRS 309.130 through 309.138.

(2) "Chair" means the chair or vice-chair of the board.

(3) "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 the KRS 309.130 through 309.138 or of 201 KAR Chapter 34.

(4) "Complaint" means any written allegation of misconduct by an individual licensed by the board or other person which might constitute a violation of KRS 309.130 through 309.138 or of 201 KAR Chapter 34.

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

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

Section 2. Receipt of Complaints.

(1) A complaint:

(a) May be submitted to the board by an:

Individual;
Organization; or
Entity.

(b) Shall be:

In writing; and
Signed by the person offering the complaint.

(2) Upon receipt of a complaint:

(a) 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. The individual shall be allowed a period of twenty (20) days from the date of receipt to submit a written response.

(b) Upon receipt of the written response of the individual named in the complaint, a copy of the response shall be sent to the complainant. The complainant shall have seven (7) days from the receipt to submit a written reply to the response.

Section 3. Initial Review.

(1) After the receipt of a complaint and the expiration of the period for the individual's response, the board shall consider the individual's response, complainant's reply to the response, and any other relevant material available and determine whether a formal investigation of the complaint is warranted.

(2) If the board determines that a formal investigation is not warranted and that the 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 board at the earliest opportunity.

Section 4. Result of Formal Investigation.

(1) Upon completion of the formal investigation, the investigator shall present a synopsis of the facts compiled in the investigation of the complaint to the board and a recommendation regarding the disposition of the complaint.

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

(a) Dismiss the complaint; and

(b) Notify the complainant and respondent of the board's decision.

(3) If the board determines that probable cause exists that a violation of the Act or 201 KAR Chapter 34 has occurred, the board shall:

(a) Authorize the board attorney to prepare a formal complaint which states clearly the charge or charges to be considered at the hearing on the matter to be held pursuant to the requirements of KRS Chapter 13B; and

(b) Review the formal complaint which, if approved, shall be 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 of KRS 309.1305(2), it shall:

(a) Forward information to the county attorney of the county of residence of the person allegedly violating KRS 309.1305(2) with a request that appropriate action be taken under KRS 309.1339; or

(b) Initiate action in Franklin Circuit Court to seek injunctive relief to stop the unauthorized practice of licensed professional art therapy.

Section 5. Settlement by Informal Proceedings.

(1) The board through counsel and a board member designated by the board 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.

History

RELATES TO: KRS 309.137
STATUTORY AUTHORITY: KRS 309.1315(1), (10)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315 authorizes the board to promulgate administrative regulations establishing a procedure by which the board will institute actions against a licensee for violation of the provisions of KRS 309.130 to 309.1399 or 201 KAR Chapter 34 or for professional misconduct. This administrative regulation sets forth the procedure and process by which those complaints shall be reviewed by the board.
History: 28 Ky.R. 1012; Am. 1361; eff. 12-19-2001; 36 Ky.R. 646; eff. 12-4-2009; 44 Ky.R. 46; eff. 8-4-2017; Cert eff. 8-2-2024.

201 KAR 34:060 Qualifying experience under supervision {#sec-201-kar-34-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:060}

Section 1. Definitions.

(1) "Direct client contact hours" means hours spent providing art therapy services to a client in an individual, couple, family, or group format.

(2) "Face-to-face supervision" means:

(a) Two (2)-way interactive supervision, simultaneous video and audio, if at least two (2) hours of supervision per month are conducted in person; or

(b) All supervision is conducted in person.

(3) "Group supervision" means the supervision of no more than six (6) supervisees at the same time.

(4) "Individual supervision" means case consultation between the supervisor and the supervisee that is restricted to the supervisee's cases.

(5) "Supervisee" means a licensed professional art therapy associate who works with clients under board-approved supervision.

(6) "Supervision" means the educational process of utilizing a partnership between a supervisor and a supervisee aimed at enhancing the professional development of the supervisee in the practice of professional art therapy.

(7) "Supervisor of record" means a board-approved licensed professional art therapist who meets the requirements established in Section 2 of this administrative regulation.

Section 2. Board-approved Supervisors.

(1) To be eligible as a board-approved supervisor, a licensed professional art therapist shall have a minimum of four (4) years of licensed experience as a professional art therapist.

(2) The following shall render an applicant ineligible for board-approved supervisor status:

(a) An unresolved citation filed against him or her by a licensing board or similar agency;

(b) A disciplinary action that resulted in the suspension or probation of a license; or

(3) In order to obtain board-approved supervisor status, an applicant shall:

(a) Submit a Board-Approved Supervisor Application; and

(b) Successfully complete the Board-Approved Supervisor Examination.

Section 3. Examination.

(1) The Board-Approved Supervisor Examination shall cover:

(a) Kentucky law governing the practice of art therapy contained in both KRS Chapter 309 and 201 KAR Chapter 34, theories of supervision, ethical issues involved in supervision, and supervisor responsibilities; and

(b) Documentation in a supervision log that includes supervision times as well as the planning and treatment utilized.

(2) To take the examination, an applicant shall submit to the board:

(a) An Application for Examination Continuing Education Credit form; and

(b) Payment of thirty (30) dollars in the form of a check or money order made payable to the Kentucky State Treasurer.

(3) Upon receipt of the application and fee, the board shall send the applicant the exam to complete and return within thirty (30) days of receipt.

(4) The board shall notify the applicant of the examination results and, if a score of eighty (80) percent or above is obtained, the board shall send the applicant a certificate confirming board-approved supervisor status and the receipt of three (3) hours continuing education credit.

Section 4. Expiration and Grace Period.

(1) Board-approved supervisor status shall expire three (3) years from the date of approval.

(2) To renew, a board-approved supervisor shall follow the steps listed in Section 3(2) through (4) of this administrative regulation. The Board-Approved Supervisor Examination shall be taken within ninety (90) days prior to or following the board-approved supervisor's expiration date.

(3) A board-approved supervisor may continue supervising for ninety (90) days after the expiration date while awaiting approval of a renewal application.

(4) Failure to renew in accordance with this administrative regulation shall result in termination of board-approved supervisor status.

Section 5. Prohibition. A board-approved supervisor shall not serve as a supervisor of record for more than six (6) licensed professional art therapist associates at the same time.

Section 6. Reciprocity An applicant for licensure with supervision obtained outside of Kentucky shall demonstrate that his or her out-of-state supervisor has substantially equivalent qualifications at the time of the supervision as those established in this administrative regulation.

Section 7. Supervisory Agreement.

(1) Prior to beginning supervision, a licensed professional art therapist associate applicant shall submit to the board a Supervisory Agreement with a supervisor of record.

(2) The Supervisory Agreement shall include the following:

(a) The name of the supervisee;

(b) The name and license number of the supervisor of record;

(d) A detailed description of the nature of the practice including:

The type of clients who will be seen;
An accurate assessment of client problems leading to proficiency in applying professionally recognized nomenclature and developing a plan for treatment that meets currently recognized standards in the profession;
The therapies and treatment modalities that will be used including the prospective length of treatment;
Problems that will be treated; and
The nature, duration, and frequency of the supervision, including the:

a. Number of hours of supervision per week;

b. Amount of group and individual supervision;

c. Ethical considerations for the use of internet, social networking, and electronic media for the transmission of case information; and

d. Number of hours of face-to-face supervision, including how that supervision shall be obtained; and

(e) A statement that the supervisor of record understands that he or she shall be held accountable to the board for the care given to the supervisee's clients.

(3) A copy of the supervisor's current certificate as a board-approved supervisor shall be attached to the Supervisory Agreement.

(4) Changes to that portion of the Supervisory Agreement that describes the nature of the practice and experience that the supervisee is to obtain shall be submitted to the board for approval.

(5) If the supervisee changes his or her supervisor of record, a new Supervisory Agreement shall be submitted to the board for approval.

(6) A supervisee shall submit a completed supervisory agreement for each supervisor of record.

Section 8. Notice to Client. A licensed professional art therapy associate practicing under a supervisor of record shall notify in writing each client of the associate or by posting a notification that shall include:

(1) The name, office address, telephone number, and license number of the supervisor of record; and

(2) A statement that the supervisee is licensed by the board.

Section 9. Experience under supervision.

(1) Experience under supervision shall consist of:

(a) On average, at least two (2) meetings and four (4) hours total of face-to-face supervision each month;

(b) Direct responsibility for a specific individual or group of clients; and

(c) Broad exposure and opportunity for skill development with a variety of dysfunctions, diagnoses, acuity levels, and population groups.

(2) For extenuating circumstances beyond the supervisor's or supervisee's control, such as in cases of disability, illness, or undue hardship, the board may, upon written request by the supervisor and supervisee, grant a limited waiver from the monthly meeting and face-to-face supervision requirements of this section.

(3) In extenuating circumstances, if a licensed professional art therapist associate is without supervision, the associate may continue working for up to ninety (90) calendar days under the supervision of a clinical supervisor while a board-approved supervisor is sought and a new supervisory agreement is submitted to the board.

(a) Extenuating circumstances may include situations such as death or serious illness of the board-approved supervisor, a leave of absence by the supervisor, or termination of the supervisor's employment.

(b) The supervisee shall notify the board of these extenuating circumstances within ten (10) days of the occurrence and shall submit, in writing, a plan for resolution of the situation within thirty (30) calendar days of the change in status of board-approved supervision. The written plan shall include:

The name of the temporary supervisor;
Verification of the credential held by the temporary supervisor;
An email address and a postal address for the temporary supervisor and the supervisee; and
A telephone number for the temporary supervisor.

Section 10. Supervision Requirements.

(1) Supervision shall relate specifically to the qualifying experience and shall focus on:

(a) The accurate assessment of a client problem leading to proficiency in applying professionally recognized clinical nomenclature;

(b) The development and modification of the treatment plan;

(d) Ethical problems in the practice of art therapy; and

(e) The development and use of the professional self in the therapeutic process.

(2) Supervision shall total a minimum of 100 hours and 1,000 direct client contact hours that shall include individual supervision of no less than one (1) hour for every ten (10) hours of client contact.

(3) A supervisee shall not obtain more than twenty-five (25) hours of the required supervision by group supervision.

Section 11. Documentation Requirements.

(1) The supervisor of record and licensed professional art therapy associate shall maintain copies of any completed supervision logs, which shall document:

(a) The frequency and type of supervision provided; and

(b) The method of supervision utilized, such as observation, dialogue and discussion, and instructional techniques employed.

(2) Documentation shall distinguish between individual and group supervision.

Section 12. A licensed professional art therapist engaged in board-approved supervision pursuant to this administrative regulation shall be referred to as "licensed professional art therapist supervisor" and may use the acronym "LPAT-S".

Section 13. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Supervisory Agreement", March 2021;

(b) "Board-Approved Supervisor Application", March 2021; and

History

RELATES TO: KRS 309.1315, 309.133, 309.134
STATUTORY AUTHORITY: KRS 309.1315
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315 requires the board to promulgate administrative regulations necessary to carry out the provisions of KRS 309.130 to 309.1399, to approve the level of supervision for a person seeking licensure, and to establish requirements for supervision and qualifications of supervisors. This administrative regulation establishes supervision requirements and qualifications necessary to be a board-approved supervisor.
History: 201 KAR 034:060. 40 Ky.R. 2387; 41 Ky.R. 33; eff. 8-1-2014; 44 Ky.R. 2568; 45 Ky.R. 337; eff. 8-31-2018; TAm eff. 2-11-2021; Crt eff. 6-25-2025.

201 KAR 34:070 Inactive status {#sec-201-kar-34-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 34:070}

Section 1. Request for Inactive Status.

(1) A licensee may request that the licensee's license be placed on inactive licensure status by submitting to the board a written request for the licensee's license to be placed on inactive status.

(2) If the board grants the request for inactive status, the board shall notify the licensee that the licensee is relieved of the licensee's obligation to pay the license renewal fee established in 201 KAR 34:020 for the licensee's license level.

(3) If the request for inactive status is denied, the licensee shall have thirty (30) days from the date of the denial to pay the renewal fee.

Section 2. Inactive Status.

(1) While on inactive status, the licensee shall meet the requirements for continuing education as established in 201 KAR 34:030.

(2) The licensee may remain on inactive status for two (2) years, unless an extension of time is granted under Section 3 of this administrative regulation.

(3) The two (2) year period of inactive status shall begin when the board notifies the licensee that it has granted the request for inactive status.

Section 3. Extension of Inactive Status.

(1) A licensee whose license is on inactive status may request one extension, not to exceed two (2) years, of the inactive-license status for an undue hardship or an extenuating circumstance, such as a prolonged illness, loss of a job, or an inability to competently engage in the practice of professional art therapy.

(2) The licensee shall submit to the board:

(a) A written request to continue the license on inactive status;

(b) An explanation of the undue hardship or extenuating circumstance; and

(c) A copy of continuing education certificates of completion or attendance, awarded to the licensee during the period of inactive status, to show proof of continuing education requirements for renewal as established in 201 KAR 34:030.

(3) The extension request shall be received by the board no sooner than ninety (90) days and no later than sixty (60) days before the end of the two (2) year period of inactive status.

(4) If the appropriate paperwork is received timely, a two (2) year extension shall be automatically granted.

(5) If the extension is denied, the licensee shall have thirty (30) days to resubmit the request.

Section 4. License Expiration. If the licensee does not submit a request for extension of the inactive-license status or the licensee fails to reactivate the licensee's license before the license expiration date, the license shall expire.

Section 5. Return to Active-License Status.

(1) At any time within the two (2) year period of being granted inactive-licensure status, a licensee may request the licensee's license be returned to active status by submitting to the board:

(a) A written request to the board to return the licensee's license to active status;

(b) Payment of the current license renewal fee as set forth in 201 KAR 34:020; and

(2) The board will notify the licensee in writing that his or her license is reactivated and will be effective upon the date listed in the written correspondence.

Section 6. Renewal of Expired License. Following expiration of a license under Section 4 of this administrative regulation, a licensee who desires to practice professional art therapy in Kentucky shall:

(1) File with the board the appropriate application for licensure under 201 KAR 34:025;

(2) Pay the initial fees for application and licensure under 201 KAR 34:020; and

(3) Meet current requirements for initial licensure, as established by KRS Chapter 309 and 201 KAR Chapter 34.

Section 7. This administration regulation shall not apply to a licensed professional art therapist or a licensed professional art therapist associate, who under KRS 309.1335(4), enters into retirement status or wishes to resume practice after a period of retirement.

History

RELATES TO: KRS 309.1315(17)
STATUTORY AUTHORITY: KRS 309.1315(1), (17)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(1) requires the board to promulgate administrative regulations necessary to carry out the provisions of KRS 309.130 to 309.1399. KRS 335.1315(17) requires the board to establish conditions for inactive status and return to active status for license holders. This administrative regulation establishes the conditions for inactive status and return to active status for license holders.
History: 47 Ky.R. 2497; 48 Ky.R. 1527; eff. 2-1-2022.

Chapter 35 Board of Certification of Alcohol and Drug Counselors

201 KAR 35:010 Definitions for 201 KAR Chapter 35 {#sec-201-kar-35-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:010}

Section 1.

(1) "Academic course" means a course that is offered by a postsecondary institution accredited by a recognized accreditation agency and that is:

(a) An alcohol and drug counseling course, designated by title or content; or

(b) An academic course, relevant to alcohol and drug counseling.

(2) "Applicant" means an individual who has applied for temporary registration, registration, temporary certification, certification, or licensure in accordance with KRS 309.084 or a credential holder renewing a credential in accordance with KRS 309.085.

(3) "Approved" means recognized by the Kentucky Board of Alcohol and Drug Counselors.

(4) "Board" is defined by KRS 309.080(1).

(5) "Certified alcohol and drug counselor associate I" is defined by KRS 309.080(2).

(6) "Certified alcohol and drug counselor associate II" is defined by KRS 309.080(3).

(7) "Certified alcohol and drug counselor" is defined by KRS 309.080(4).

(8) "Certified clinical supervisor" is defined by KRS 309.080(5).

(9) "Chair" means the chairperson or vice-chairperson of the board.

(10) "Charge" means a specific allegation contained in a formal complaint, as established in subsection (15) of this section, issued by the board alleging a violation of a specified provision of KRS Chapter 309, the administrative regulations promulgated thereunder, or another state or federal statute or regulation.

(11) "Classroom hour" means an academic hour from an accredited institution or continuing education hour.

(12) "Client" means:

(a) An individual, family, or group who directly receives services from an alcohol and drug counselor or peer support specialist;

(b) A corporate entity or other organization if the contract is to provide an alcohol and drug counselor or peer support specialist service of benefit directly to the corporate entity or organization; or

(c) A legal guardian who is responsible for making decisions relative to the provision of services for a minor or legally incompetent adult.

(13) "Clinical supervision" means a disciplined, tutorial process wherein principles are transformed into practical skills, with four (4) overlapping foci: administrative, evaluative, clinical, and supportive.

(14) "Clinical supervisor" means:

(a) A certified alcohol and drug counselor who:

Has at least two (2) years of post-certification experience;
Has attended the board-sponsored supervision training;
Provides supervision; and
Has a credential that is currently in good standing with the board; or

(b) A licensed clinical alcohol and drug counselor who:

a. Has at least twelve (12) months of post-licensure experience; or

b. Has attended the board-sponsored supervision training;

Who provides supervision; and
Has a credential that is currently in good standing with the board.

(15) "Complaint" means a written allegation of misconduct by a credentialed individual or another person, alleging a violation of:

(a) KRS 309.080 to 309.089;

(b) Administrative regulations promulgated in accordance with KRS 309.080 to 309.089;

(d) A combination of paragraphs (a), (b), or (c) of this subsection.

(16) "Complaint screening committee" means a committee that reviews complaints, investigates reports, participates in informal proceedings to resolve a formal complaint, and consists of up to three (3) board members appointed by the chair.

(17) "Continuing education hour" means fifty (50) clock minutes of participating in a continuing education experience.

(18) "Credential holder" means a person who has a credential issued by the board pursuant to KRS 309.080 to 309.089.

(19) "Disciplinary action" means to:

(a) Revoke, suspend, place on probation, or restrict the credential holder; and

(b) Publicly reprimand, publicly admonish, or fine.

(20) "Education program" means an organized learning experience:

(a) Planned and evaluated to meet behavioral objectives; and

(b) Presented in one (1) session or in a series.

(21) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of reaching a resolution of a matter without further recourse to formal disciplinary procedures under KRS Chapter 13B.

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

(23) "Licensed alcohol and drug counselor" is defined by KRS 309.080(7).

(24) "Licensed clinical alcohol and drug counselor" is defined by KRS 309.080(8).

(25) "Licensed clinical alcohol and drug counselor associate" is defined by KRS 309.080(9).

(26) "Licensee" is defined by KRS 309.080(10).

(27) "Provider" means an organization approved by the Kentucky Board of Alcohol and Drug Counselors for providing continuing education programs.

(28) "Registered alcohol and drug peer support specialist" is defined by KRS 309.080(12).

(29) "Registrant" is defined by KRS 309.080(13).

(30) "Relevant" means having content applicable to the practice of alcohol and drug counseling in accordance with the requirements of 201 KAR 35:040, Section 3(2).

(31) "Work experience" means the hours spent performing the services, tasks, and reports necessary for providing counseling, intervention, or support services to a person with a substance use disorder or that person's significant others.

History

RELATES TO: KRS 309.080, 309.0805, 309.081, 309.0813, 309.084, 309.085, 309.086, 309.087, 309.089, 309.0830, 309.0834
STATUTORY AUTHORITY: KRS 309.0813(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813 requires the Kentucky Board of Alcohol and Drug Counselors to promulgate administrative regulations for the administration and enforcement of KRS 309.080 to 309.089 and for establishing requirements for alcohol and drug counselors, certified clinical supervisors, and peer support specialists. This administrative regulation establishes definitions of terms used by the board in administrative regulations pertaining to the administration and enforcement of KRS 309.080 to 309.089, credentialing of alcohol and drug counselors, certified clinical supervisors, and peer support specialists.
History: 42 Ky.R. 144; 2034; eff. 2-5-2016; 47 Ky.R. 2071; 48 Ky.R. 62, 334; eff. 8-26-2021.

201 KAR 35:020 Fees {#sec-201-kar-35-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:020}

Section 1. Application Fees.

(1) The application fee for board review of an application for a licensed clinical alcohol and drug counselor, licensed clinical alcohol and drug counselor associate, licensed alcohol and drug counselor, certified alcohol and drug counselor, certified alcohol and drug counselor associate II, certified alcohol and drug counselor associate I, or registered alcohol and drug peer support specialist, Application, KBADC Form 1, shall be fifty (50) dollars. The application fee for a certified clinical supervisor, Application for Certified Clinical Supervisor, KBADC Form 23, shall be fifty (50) dollars.

(2) The application fee shall be nonrefundable.

(3) An application shall lapse one (1) year from the date it is filed with the board office.

(4) If an approved applicant applies one (1) or more times after the original application lapses, the applicant shall comply with the requirements of this subsection.

(a) The applicant shall successfully complete the examination required by the board within one (1) year from the date the original application is filed.

(b) If the applicant does not successfully complete the examination within the time period required by paragraph (a) of this subsection, the applicant shall update and refile the application prior to sitting for the examination again.

Section 2. Comprehensive Examination Fees.

(1) An applicant for registration as an alcohol and drug peer support specialist shall pay an examination fee of $150. The fee for retaking the comprehensive examination for registration shall be $150.

(2) An applicant for certification as a certified alcohol and drug counselor, and an applicant for licensed alcohol and drug counselor shall pay an examination fee of $200. The fee for retaking the comprehensive examination for certification shall be $200.

(3) An applicant for licensed clinical alcohol and drug counselor and licensed clinical alcohol and drug counselor associate shall pay an examination fee of $200. The fee for retaking the comprehensive examination for licensure shall be $200.

(4) An applicant for certified clinical supervisor shall pay an examination fee of $200. The fee for retaking the comprehensive examination for licensure shall be $200.

Section 3. Credentialing Fees.

(1) The registration fee for an alcohol and drug peer support specialist shall be $100.

(2) The fee for a certified alcohol and drug counselor and licensed alcohol and drug counselor shall be $200.

(3) The licensure fee for a licensed clinical alcohol and drug counselor or licensed clinical alcohol and drug counselor associate shall be $300.

(4) The certification fee for a certified clinical supervisor shall be $200.

Section 4. Renewal Fees and Penalties.

(1)

(a) A registration, certificate, or license not renewed within ninety (90) days after the holder's renewal date shall be deemed cancelled in accordance with KRS 309.085(2).

(b) A person holding a cancelled registration shall not use the title "registered alcohol and drug peer support specialist," or hold himself or herself out as a registered alcohol and drug peer support specialist, or engage in the practice of alcohol and drug peer support services.

Use the title "certified alcohol and drug counselor," hold himself or herself out as a certified alcohol and drug counselor, or engage in the practice of alcohol and drug counseling.
Use the title "temporary certified alcohol and drug counselor," hold himself or herself out as a temporary alcohol and drug counselor, or engage in the practice of alcohol and drug counseling.
Use the title "licensed alcohol and drug counselor", hold himself or herself out as a licensed alcohol and drug counselor, or engage in the practice of alcohol and drug counseling.
Use the title "certified alcohol and drug counselor associate I," or hold himself or herself out as a certified alcohol and drug counselor associate I, or engage in the practice of alcohol and drug counseling.
Use the title "certified alcohol and drug counselor associate II," or hold himself or herself out as a certified alcohol and drug counselor associate II, or engage in the practice of alcohol and drug counseling.
Use the title "certified clinical supervisor", hold himself or herself out as a certified clinical supervisor, or otherwise represent himself or herself as a certified clinical supervisor.

(d) A person holding a canceled license shall not use the title "licensed clinical alcohol and drug counselor," or hold himself or herself out as a licensed clinical alcohol and drug counselor, or engage in the practice of alcohol and drug counseling.

(e) A person holding a canceled license as a licensed clinical alcohol and drug counselor associate shall not use the title "licensed clinical alcohol and drug counselor associate," or hold himself or herself out as a licensed clinical alcohol and drug counselor associate, or engage in the practice of alcohol and drug counseling.

(f) The certified clinical supervisor status of a person holding a canceled certified alcohol and drug counselor, licensed alcohol and drug counselor, or licensed clinical alcohol and drug counselor credential shall be revoked at the time of cancelation of the certified alcohol and drug counselor, licensed alcohol and drug counselor, or licensed clinical alcohol and drug counselor credential.

(2) The fees and penalties established in this subsection shall be paid in connection with registration, certification, or licensure renewals.

(a) The renewal fee for registration as a temporary registered alcohol and drug peer support specialist shall be fifty (50) dollars for a two (2) year period, and shall accompany the Application for Renewal, KBADC Form 16.

(b) The late renewal fee, including penalty, for the ninety (90) day grace period shall be $100 for registration as a temporary registered alcohol and drug peer support specialist for a two (2) year period.

(c) The renewal fee for registration as a registered alcohol and drug peer support specialist shall be $100 for a three (3) year period, and shall accompany the Application for Renewal, KBADC Form 16.

(d) The late renewal fee, including penalty, for the ninety (90) day grace period shall be $150 for registration as a registered alcohol and drug peer support specialist for a three (3) year period.

(e) The renewal fee for certification as a certified alcohol and drug counselor associate I, a certified alcohol and drug counselor associate II, or a temporary certified alcohol and drug counselor shall be $100 for a two (2) year period, and shall accompany the Application for Renewal, KBADC Form 16.

(f) The late renewal fee, including penalty, for the ninety (90) day grace period shall be $150 for certification as a certified alcohol and drug counselor associate I, a certified alcohol and drug counselor associate II, or a temporary certified alcohol and drug counselor for a two (2) year period.

(g) The renewal fee for certification as a certified alcohol and drug counselor shall be $200 for a three (3) year period, and shall accompany the Application for Renewal, KBADC Form 16.

(h) The late renewal fee, including penalty, for the ninety (90) day grace period shall be $250 for certification as a certified alcohol and drug counselor for a three (3) year period.

(i) The renewal fee for licensure as a licensed alcohol and drug counselor shall be $200 for a three (3) year period, and shall accompany the Application for Renewal, KBADC Form 16.

(j) The late renewal fee, including penalty, for the ninety (90) day grace period shall be $250 for licensure as a licensed alcohol and drug counselor for a three (3) year period.

(k) The renewal fee for a licensed clinical alcohol and drug counselor, and a licensed clinical alcohol and drug counselor associate shall be $300 for a three (3) year period, and shall accompany the Application for Renewal, KBADC Form 16.

(l) The late renewal fee for the ninety (90) day grace period, as well as licensure for a three (3) year period, shall be a:

$300 fee; and
Penalty fee of fifty (50) dollars.
The renewal fee for certification as a certified clinical supervisor shall be $200 for a three (3) year period, and shall accompany the Application for Renewal, KBADC Form 16.
The late renewal fee, including penalty, for the ninety (90) day grace period shall be $250 for certification as a certified clinical supervisor for a three (3) year period.

Section 5. Reinstatement of a Canceled Registration, Certificate, or Licensure.

(1) A canceled registration may be reinstated within one (1) year of the anniversary date of issue of renewal by:

(a) Submitting a completed Application for Reinstatement, KBADC Form 17;

(b) Proof of completion of continuing education in accordance with 201 KAR 35:040; and

(2) A canceled credential of a licensed alcohol and drug counselor, certified alcohol and drug counselor, certified alcohol and drug counselor associate II, and certified alcohol and drug counselor associate I may be reinstated within one (1) year of the anniversary date of issue of renewal by:

(a) Submitting a completed Application for Reinstatement, KBADC Form 17;

(b) Proof of completion of continuing education in accordance with 201 KAR 35:040; and

(3) A canceled license may be reinstated within one (1) year of the anniversary date of issue of renewal by:

(a) Submitting a completed Application for Reinstatement, KBADC Form 17;

(b) Proof of completion of continuing education in accordance with 201 KAR 35:040; and

$300 fee; and
Penalty fee of $100.

(4) A canceled credential of a certified clinical supervisor may be reinstated within one (1) year of the anniversary date of issue of renewal by:

(a) Submitting a completed Application for Reinstatement, KBADC Form 17;

(b) Proof of completion of continuing education in accordance with 201 KAR 35:040; and

Section 6. Duplicate Credential fee. The fee for a duplicate credential shall be twenty (20) dollars.

Section 7. Inactive Status Fees.

(1) The enrollment fee for voluntarily placing a registration, certificate, or license in inactive status in accordance with 201 KAR 35:080 shall be fifty (50) dollars.

(2) The annual renewal fee for a registration, certificate, or license enrolled in inactive status shall be twenty-five (25) dollars based on the renewal date.

(3)

(a) The fee for reactivation of a registration shall be $100 for a three (3) year period commencing on the date the board approves the written request for reactivation, as required by 201 KAR 35:080, Section 4.

(b) The fee for reactivation of a registration as a temporary registered alcohol and drug peer support specialist, certificate as a temporary certified alcohol and drug counselor, certificate as a certified alcohol and drug counselor associate I, and certificate as a certified alcohol and drug counselor associate II shall be fifty (50) dollars for a two (2) year period commencing on the date the board approves the written request for reactivation.

(c) The fee for reactivation of a certificate as a licensed alcohol and drug counselor or certified alcohol and drug counselor shall be $200 for a three (3) year period commencing on the date the board approves the written request for reactivation.

(d) The fee for reactivation of a license shall be $300 for a three (3) year period commencing on the date the board approves the written request for reactivation.

(e) The fee for reactivation of a certificate as a certified clinical supervisor that was held at the time the primary credential went into inactive or retired status shall be included in the fee for reactivation of the primary credential.

Section 8. Continuing Education Fees.

(1) For purposes of this administrative regulation, a continuing education sponsor shall be an individual or entity that provides a program of continuing education to credential holders that has been reviewed and approved by the board to meet the continuing education requirements set forth in 201 KAR 35:040.

(2) Approvals may consist of a single workshop or a program of courses and shall be effective for one (1) year from the date of approval.

(3) The fee for approval of an application for a single program provider shall be fifty (50) dollars.

(4) The fee for approval of an application for a continuing education sponsor providing a program of courses shall be $250.

(5) Continuing education sponsors who have received approval for their program of courses may apply for renewal of the approval in accordance with 201 KAR 35:040 and shall pay an annual renewal fee of $150.

(6)

(a) The fee for review of an application for a substantial change in curriculum of an approved program shall be fifty (50) dollars.

(b) A substantial change shall be considered as the addition of a workshop or course to a pre-approved program, or changes to the content of a pre-approved workshop or program which is in excess of twenty (20) percent.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "KBADC Form 1, Application", June 2021;

(b) "KBADC Form 16, Application for Renewal", March 2021;

(d) "KBADC Form 23, Application for Certified Clinical Supervisor", June 2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero St, 2 SC 32, Frankfort, Kentucky, Monday through Friday, 8:00 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.083, 309.0831, 309.0832, 309.0833, 309.084, 309.0841, 309.0842, 309.085(1)(a), 309.0830, 309.0834
STATUTORY AUTHORITY: KRS 309.0813(1), (4), (5), (12), 309.085(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(1) requires the Kentucky Board of Alcohol and Drug Counselors to promulgate administrative regulations for the administration and enforcement of KRS 309.080 to 309.089. KRS 309.0813(4) requires the board to promulgate an administrative regulation governing the administration and grading of the written examination, which applicants shall be required to successfully complete. KRS 309.0813(12) requires the board to promulgate administrative regulations establishing initial registration, certification, and licensure fees and renewal fees. This administrative regulation establishes those fees and prohibits the use of the credential titles by those whose credentials are canceled.
History: 23 Ky.R. 3456; Am. 3752; eff. 4-16-1997; 27 Ky.R. 2556; eff. 6-8-2001; 35 Ky.R. 318; 783; eff. 10-15-2008; 42 Ky.R. 1303; 2035; eff. 2-5-2016; 43 Ky.R. 1243, 1743; eff. 5-5-2017; 47 Ky.R. 2073; 48 Ky.R. 64, 335; eff. 8-26-2021.

201 KAR 35:025 Examinations {#sec-201-kar-35-025 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:025}

Section 1. Comprehensive Examination.

(1) An applicant for registration as an alcohol and drug peer support specialist shall take the comprehensive examination offered by the International Certification and Reciprocity Consortium.

(2) An applicant for certification as a certified alcohol and drug counselor shall take the comprehensive examination offered by the International Certification and Reciprocity Consortium.

(3) An applicant for licensure as a licensed alcohol and drug counselor shall take the comprehensive examination offered by the International Certification and Reciprocity Consortium.

(4) An applicant for licensure as a licensed clinical alcohol and drug counselor and licensed clinical alcohol and drug counselor associate shall take the comprehensive examination offered by the International Certification and Reciprocity Consortium.

(5) An applicant for certification as a certified clinical supervisor shall take the comprehensive examination offered by the International Certification and Reciprocity Consortium.

Section 2. Remediation Plan.

(1) If an applicant fails the examination, the applicant shall:

(a) Not retake the examination within ninety (90) days of the failed examination date;

(b) Submit a KBADC Form 19, Re-Examination Application; and

(2) If the applicant fails the examination twice or more, the applicant shall submit a remediation plan after each failed examination:

(a) To address the deficiencies cited in the examination results; and

(b) Cosigned by the board-approved supervisor.

(3) Upon completion of the remediation plan approved by the board, the applicant may request permission to retake the examination by filing a KBADC Form 19, Re-Examination Application, and submitting the examination fee for the respective examination listed in 201 KAR 35:020, Section 2.

Section 3. Incorporation by Reference.

(1) "KBADC Form 19, Re-Examination Application", December 2015, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero St, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.083(5), 309.0831(5), 309.0832(4), 309.0833, 309.0830, 309.0834
STATUTORY AUTHORITY: KRS 309.0813(1), (4), (5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(4) requires the board to promulgate an administrative regulation governing the administration and grading of the written examination, which applicants are required to successfully complete. This administrative regulation establishes those examination requirements for alcohol and drug peer support specialists, certified alcohol and drug counselors, licensed alcohol and drug counselors, licensed clinical alcohol and drug counselors, licensed clinical alcohol and drug counselor associates, and certified clinical supervisors.
History: 43 Ky.R. 130, 1722; eff. 5-5-2017; 47 Ky.R. 2077; 48 Ky.R. 68; eff. 8-26-2021.

201 KAR 35:040 Continuing education requirements {#sec-201-kar-35-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:040}

Section 1. Basic Continuing Education Requirements.

(1)

(a) A minimum of ten (10) continuing education hours each year shall be accrued by each person holding a registration as an alcohol and drug peer support specialist.

(b) A minimum of thirty (30) continuing education hours, including at least six (6) continuing education hours in ethics, each year shall be accrued by each person holding a certificate as a certified alcohol and drug counselor associate I or a certified alcohol and drug counselor associate II.

(c) A minimum of sixty (60) continuing education hours shall be accrued by each person holding a credential as a licensed alcohol and drug counselor or certified alcohol and drug counselor during the three (3) year certification period for renewal with at least three (3) continuing education hours in ethics.

(d) A minimum of sixty (60) continuing education hours shall be accrued by each person holding a license as a licensed clinical alcohol and drug counselor during the three (3) year licensure period for renewal with at least three (3) continuing education hours in ethics.

(e) A minimum of twenty (20) continuing education hours each year shall be accrued by each person holding a license as a licensed clinical alcohol and drug counselor associate. A licensed clinical alcohol and drug counselor associate shall obtain at least three (3) continuing education hours in ethics during the renewal cycle.

(2) A minimum of nine (9) continuing education hours shall be accrued by each person holding a certificate as a certified clinical supervisor during the three (3) year licensure period for renewal, at least three (3) hours of which shall be the board sponsored clinical supervision training. These hours may be included in the continuing education hours required for the certified alcohol and drug counselor, licensed alcohol and drug counselor, or licensed clinical alcohol and drug counselor credential held by the certified clinical supervisor.

(3) All continuing education hours shall be relevant to the field of alcohol and drug counseling.

(4) A credential holder shall determine prior to attending a specific continuing education program that the program:

(a) Has been approved by the board; or

(b) Is offered or sponsored by an organization approved by the board to provide continuing education programs.

(5) If the specific continuing education program is not preapproved as established in subsection (4) of this section, the credential holder may apply for board approval by providing the information required by Section 4 of this administrative regulation.

(6) A person credentialed by the board shall complete a minimum of six (6) hours of continuing education in suicide assessment, treatment, and management as required by KRS 210.366. The suicide assessment, treatment, and management continuing education course shall be approved by the board, be provided by an entity identified in Section 2(4)(b) of this administrative regulation, or be approved by one (1) of the following boards:

(a) Kentucky Board of Social Work;

(b) Kentucky Board of Licensure of Marriage and Family Therapists;

(d) Kentucky Board of Licensure for Pastoral Counselors;

(e) Kentucky Board of Examiners of Psychology; or

(f) Kentucky Board of Licensure for Occupational Therapy.

Section 2. Methods of Acquiring Continuing Education Hours.

(1) Continuing education hours applicable to the renewal of the credential shall be directly related to the professional growth and development of a credential holder.

(2) Continuing education hours may be earned by:

(a) Attending a continuing education program that has prior approval by the board;

(b) The completion of appropriate academic coursework; or

(3) At least fifty (50) percent of the required continuing education hours for a credential holder shall be earned through live synchronous or face-to-face continuing education presentations.

(4) Attendance at continuing education programs automatically approved by the board.

(a) A program relevant to the practice of alcohol and drug counseling that is provided, approved, or sponsored by any of the providers listed in paragraph (b) of this subsection shall be:

Approved without further review; and
Exempt from the program fee established in 201 KAR 35:020, Section 8.

(b) The provisions of this subsection shall apply to the following providers:

The National Association of Addiction Professionals (NAADAC) and its member boards;
The International Certification and Reciprocity Consortium (ICRC);
The Kentucky Cabinet for Health and Family Services, Division of Mental Health and Substance Abuse and its subcontractors;
Community Mental Health Centers;
The Kentucky School of Alcohol and Drug Studies;
An Addiction Technology Transfer Center (ATTC);
State or United States Regional Addiction Training Institute;
Clinical Applications of the Principles on Treatment of Addictions and Substance Abuse (CAPTASA); or
National Conference on Addiction Disorders (NCAD).

(5)

(a) Academic coursework. An academic course, as defined in 201 KAR 35:010, Section 1(1), shall not require board review or approval.

(b) A general education course, or elective designated to meet academic degree requirements, shall be acceptable for continuing education credit if it is relevant to the practice of alcohol and drug counseling.

(c) Academic credit equivalency for continuing education hours shall be based on one (1) credit hour equaling fifteen (15) continuing education hours.

(6) Alternative methods for obtaining continuing education hours; programs requiring board review and approval. The following activities shall be reviewed by the board to determine whether or not the activity complies with the requirements of Section 3(2) of this administrative regulation:

(a)

A program, including a home study course and in-service training provided by an organization or education institution not listed in subsection (4)(b) of this section; or
A program or academic course presented by the credential holder, who shall earn two (2) continuing education hours for each contact hour of instruction, unless it is repeated instruction of the same course; or

(b) A relevant publication in a professionally recognized or juried publication authored by the credential holder, who shall earn continuing hours as follows:

Five (5) continuing education hours for each published abstract or book review in a refereed journal;
Ten (10) continuing education hours for each book chapter or monograph;
Fifteen (15) continuing education hours for each published article in a refereed journal; and
Twenty (20) continuing education hours for each published book.

Section 3. Procedures for Preapproval of Continuing Education Programs.

(1) An applicant seeking to obtain approval of a continuing education program prior to its offering shall apply to the board at least thirty (30) days in advance of the commencement of the program, and shall provide the information required in Section 4 of this administrative regulation.

(2) A continuing education activity shall be qualified for approval if the activity:

(a) Is an organized program of learning;

(b) Pertains to subject matter relating to alcohol and drug counseling;

Refreshing knowledge and skills; or
Educating on a new topic or subject; and

(d) Is conducted by a competent instructor, as documented by appropriate academic training, professional licensure or certification, or professionally recognized experience.

(3)

(a) The board may monitor or review a continuing education program approved by the board, in accordance with this section.

(b) Upon evidence of significant variation in the program presented from the program approved, the board shall withdraw approval of the hours granted to the program.

Section 4. Subsequent Approval of Continuing Education Programs.

(1) A course that has not been preapproved by the board may be used for continuing education if approval is subsequently secured from the board.

(2) The following information shall be submitted for board review of a program:

(a) A published course or seminar description;

(b) The name and qualifications of the instructor;

(d) Number of continuing education hours requested;

(e) Official certificate of completion or college transcript from the sponsoring agency or college; and

(f) Continuing Education Program Application for continuing education credits approval.

Section 5. Application for Approved Sponsor.

(1) A company, individual, or association that wishes to be designated as an approved sponsor of continuing education shall complete a Continuing Education Sponsor Application, and pay the provider fee established in 201 KAR 35:020, Section 8.

(2) An approved sponsor of continuing education shall be allowed to advertise the program as preapproved to meet the continuing education requirements for credential renewal.

(3)

(a) Approval shall be for one (1) year from date of approval unless substantial course changes occur.

(b) For purposes of this section, a substantial course change shall be a change in the curriculum in excess of twenty (20) percent.

Section 6. Responsibilities and Reporting Requirements of Credential Holder; Audit.

(1)

(a) During the renewal period, the board shall review at least fifteen (15) percent of all credential holders' documentation supporting the completion of the appropriate number of continuing education hours through a random audit process.

(b) Copies of supporting documentation submitted to the board shall be shredded and shall not be returned to the certificate holder upon completion of the audit process.

(2) A credential holder shall:

(a) Be responsible for obtaining the required continuing education hours;

(b) Identify personal continuing education needs and seek activities that meets those needs;

(d) Select approved activities by which to earn continuing education hours;

(e) Submit to the board, if applicable, a request for approval for continuing education activities not approved as established in Section 3 of this administrative regulation;

(f) Document attendance, participation in, and successful completion of continuing education activity; and

(g) Maintain records of continuing education hours for five (5) years from the date of the offering of the continuing education activity.

(3) The following items may be used to document continuing education activity:

(a) Transcript;

(b) Certificate;

(d) Receipt for the fee paid to the sponsor; or

(e) Written summary of experiences that are not formally or officially documented otherwise.

(4) Failure to comply with this administrative regulation shall constitute a violation of KRS 309.085(1)(b) and shall result in board:

(a) Refusal to renew credential;

(b) Suspension of credential; or

Section 7. Carryover of Continuing Education Hours Prohibited. Continuing education hours earned in excess of those required pursuant to Section 1 of this administrative regulation shall not be carried forward.

Section 8. Waiver or Extensions of Continuing Education.

(1) On application, the board may grant a waiver of the continuing education requirements or an extension of time within which to fulfill the requirements in the following cases:

(a) Medical disability or serious injury of the credential holder;

(b) Serious illness of the credential holder or of an immediate family member; or

(2) A written request for waiver or extension of time involving medical disability or illness shall be:

(a) Submitted by the credential holder; and

(b) Accompanied by a verifying document signed by a licensed physician or an advanced practice registered nurse.

(3) A waiver of or extension of time within which to fulfill the minimum continuing education requirements shall not exceed one (1) year.

(4) If the medical disability or illness upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the credential holder shall reapply for the waiver or extension.

Section 9. Continuing Education Requirements for Reinstatement or Reactivation of a Credential.

(1) A person requesting reinstatement of licensure, or of credentialing as a licensed alcohol and drug counselor or certified alcohol and drug counselor shall:

(a) Submit evidence of receiving sixty (60) hours of continuing education within the three (3) year period immediately preceding the date that reinstatement is requested; or

(b) Obtain thirty (30) hours of continuing education within six (6) months of reinstatement of licensure, or of certification as a certified alcohol and drug counselor.

(2) A person requesting reinstatement of certification as a certified clinical supervisor shall attend three (3) hours of board sponsored clinical supervision training within one (1) year immediately preceding the date that reactivation is requested.

(3) Failure to obtain thirty (30) hours within six (6) months shall result in termination of certification or licensure.

(4) A person requesting reinstatement of certification as a certified alcohol and drug counselor associate I or certified alcohol and drug counselor associate II shall submit evidence of receiving sixty (60) hours of continuing education within the three (3) year period immediately preceding the date that reinstatement is requested.

(5) A person requesting reinstatement of a registration shall:

(a) Submit evidence of receiving thirty (30) hours of continuing education within the three (3) year period immediately preceding the date that reinstatement is requested; or

(b) Obtain ten (10) hours of continuing education within six (6) months of reinstatement of registration.

(6) Failure to obtain ten (10) hours within six (6) months shall result in termination of registration.

(7) A person requesting reactivation of registration, certification, or licensure shall submit evidence of receiving twenty (20) hours of continuing education within one (1) year immediately preceding the date that reactivation is requested. A minimum of ten (10) hours shall be live synchronous or face-to-face continuing education presentations.

(8) The continuing education hours received in compliance with this section shall be in addition to the continuing education requirements established in Section 1 of this administrative regulation and shall not be used to comply with the requirements of that section.

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Continuing Education Sponsor Application Form", 2008; and

(b) "Continuing Education Program Application", June 2015.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero Street, 2 SC 32, Frankfort, Kentucky, telephone (502) 782-8814, Monday through Friday, 8:30 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.085(1)(b), 309.0830, 309.0834
STATUTORY AUTHORITY: KRS 309.0813(2), 309.085(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(2) and 309.085(1)(b) require the Board of Alcohol and Drug Counselors to promulgate administrative regulations establishing continuing education requirements. This administrative regulation establishes the requirements for continuing education and prescribes methods and standards for the accreditation of continuing education courses for persons credentialed by the board.
History: 25 Ky.R. 949; 2131; eff. 3-17-1999; 35 Ky.R. 320; 784; eff. 10-15-2008; 42 Ky.R. 1308; 2039; eff. 2-5-2016; 44 Ky.R. 1119, 1509; eff. 1-18-2018; 47 Ky.R. 560; eff. 12-15-2020; 47 Ky.R. 2078; 48 Ky.R. 69, 338; eff. 8-26-2021.

201 KAR 35:050 Curriculum of study {#sec-201-kar-35-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:050}

Section 1.

(1) Registration. An applicant seeking registration as an alcohol and drug peer support specialist shall:

(a) Complete the required classroom hours, which shall include:

Sixteen (16) hours of interactive training in ethics of which eight (8) hours shall consist of face-to-face training;
Three (3) hours of domestic violence training;
Two (2) hours of training in the transmission, control, treatment, and prevention of the human immunodeficiency virus;
Ten (10) hours of advocacy training;
Ten (10) hours of training in mentoring and education; and
Ten (10) hours of training in recovery support; and

(b) File with the board KBADC Form 5, Peer Support Specialist Alcohol/Drug Training Verification Form.

(2) Certification as a certified alcohol and drug counselor associate I.

(a) An applicant seeking certification as a certified alcohol and drug counselor associate I shall:

Comply with the board-approved curriculum in KRS 309.0841; and
File with the board KBADC Form 20, Certified Alcohol and Drug Counselor Associate I, Verification of Board-Approved Training.

(b) A certified alcohol and drug counselor associate I shall:

Complete at least thirty (30) additional classroom hours of board-approved curriculum during the first twelve (12) months after an initial certificate has been issued, that includes:

a. Screening assessment and engagement;

b. Treatment planning, collaboration, and referral;

c. Counseling; and

d. Professional and ethical responsibilities; and

File with the board KBADC Form 21, Certified Alcohol and Drug Counselor Associate I, Verification of Board-Approved Training for the First Twelve (12) Months After Initial Certification as Associate I, within thirty (30) days of the completion of twelve (12) months after initial certification as a certified alcohol and drug counselor associate I.

(3) Certification as a certified alcohol and drug counselor associate II.

(a) An applicant seeking certification as a certified alcohol and drug counselor associate II shall comply with the board-approved curriculum requirements KRS 309.0842; and

(b) File with the board a KBADC Form 22, Certified Alcohol and Drug Counselor Associate II Verification of Board-Approved Curriculum.

(4) Certification as an alcohol and drug counselor, or licensure as a licensed alcohol and drug counselor.

(a) An applicant seeking certification as an alcohol and drug counselor shall:

Complete 300 classroom hours that are specifically related to the knowledge and skills necessary to perform the following alcohol and drug counselor competencies and shall include the following domains:

a. Screening assessment and engagement;

b. Treatment planning, collaboration, and referral;

c. Counseling; and

d. Professional and ethical responsibilities; and

File with the board KBADC Form 10, Certified Alcohol and Drug Counselor and Licensed Alcohol and Drug Counselor Verification of Classroom Training.

(b) A minimum of six (6) hours of the total 300 hours shall be interactive, face-to-face ethics training relating to counseling.

(c) Two (2) hours of the total 300 hours shall be specific to transmission, control, and treatment of the human immunodeficiency virus and other sexually transmitted diseases.

(d) Three (3) hours of the total 300 hours shall be specific to domestic violence.

(5) Licensure.

(a) An applicant seeking licensure as a licensed clinical alcohol and drug counselor or associate shall:

Complete 180 classroom hours of curriculum that are specifically related to the knowledge and skills necessary to perform the following alcohol and drug counselor competencies and shall include the following domains:

a. Screening assessment and engagement;

b. Treatment planning, collaboration, and referral;

c. Counseling; and

d. Professional and ethical responsibilities; and

File with the board KBADC Form 11, Verification of Classroom Training.

(b) A minimum of six (6) hours of the total 180 hours shall be interactive, face-to-face ethics training relating to counseling.

(c) Two (2) hours of the total 180 hours shall be specific to transmission, control, and treatment of the human immunodeficiency virus and other sexually transmitted diseases.

(d) Three (3) hours of the total 180 hours shall be specific to domestic violence.

(6) Certification as a certified clinical supervisor. An applicant seeking certification as a certified clinical supervisor shall:

(a) Complete thirty (30) hours of education specific to the International Certification and Reciprocity Consortium clinical supervision domains with a minimum of five (5) hours in each of the following domains:

Counselor Development;
Professional and Ethical Standards;
Program Development and Quality Assurance;
Assessing Counselor Competencies and Performance; and
Treatment Knowledge; and

(b) Hold and maintain a certified alcohol and drug counselor, licensed alcohol and drug counselor, or licensed clinical alcohol and drug counselor credential.

Section 2.

(1) Attendance at conferences, workshops, seminars, or in-service training related to addictions shall be acceptable to meet the requirements of Section 1 of this administrative regulation if the board determines that the activity:

(a) Is an organized program of learning;

(b) Covers an area listed in Section 1 of this administrative regulation; and

(c) Is conducted by a competent instructor, as documented by appropriate academic training, professional licensure or certification, or professionally recognized experience.

(2) One (1) semester hour of study from an accredited college or university credit shall equal fifteen (15) classroom hours.

(3) Publication on a subject relevant to addictions therapy may be submitted to the board. Credit shall be granted as established in this subsection.

(a) A chapter in a book shall be equivalent to ten (10) classroom hours.

(b)

Authoring or editing a book relevant to addictions therapy shall be given credit equivalent to thirty (30) classroom hours.
An applicant shall submit a copy of the title page, table of contents, and bibliography.

(c)

Publication in a professional refereed journal shall be equivalent to fifteen (15) classroom hours.
An applicant shall submit the journal table of contents and a copy of the article as it appeared in the journal including bibliography.

Section 3.

(1) A list of courses the applicant wishes to have considered shall be organized by domains as established in Section 1 of this administrative regulation and shall include documentation to verify that the course satisfies the requirements of that section.

(2) Appropriate documentation of the course shall include:

(a) Date;

(b) Title;

(d) Sponsoring organization;

(e) Presenter and presenter's credentials;

(f) Number of contact hours attended; and

(g) Certificates of attendance or transcript.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "KBADC Form 5, Peer Support Specialist Alcohol/Drug Training Verification Form", March 2021;

(b) "KBADC Form 10, Certified Alcohol and Drug Counselor and Licensed Alcohol and Drug Counselor Verification of Classroom Training", July 2021;

(d) "KBADC Form 20, Certified Alcohol and Drug Counselor Associate I, Verification of Board-Approved Training", March 2021;

(e) "KBADC Form 21, Certified Alcohol and Drug Counselor Associate I, Verification of Board-Approved Training for First Twelve (12) Months After Initial Certification as Associate I"; March 2021; and

(f) "KBADC Form 22, Certified Alcohol and Drug Counselor Associate II Verification of Board-Approved Curriculum", March 2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero St, 2 SC 32, Frankfort, Kentucky, Monday through Friday, 8 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.083(4), (8), 309.0841, 309.0842, 309.0830, 309.0834
STATUTORY AUTHORITY: KRS 309.0813(1), (5), (6), 309.083(4), 309.0831(4), 309.0832(3), 309.0833(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.083(4), 309.0831(4), 309.0832(3), 309.0833(1), 309.0841, 309.0842 require the Board of Alcohol and Drug Counselors to promulgate administrative regulations establishing curriculum requirements for applicants for a credential. This administrative regulation identifies the areas of study that will satisfy the requirement for persons credentialed by the board.
History: 26 Ky.R. 1463; eff. 2-16-2000; 35 Ky.R. 324; 787; eff. 10-15-2008; 42 Ky.R. 1312; 2042; eff. 2-5-2016; 43 Ky.R. 1248, 1588, 1725; eff. 5-5-2017; 47 Ky.R. 2082; 48 Ky.R. 73, 340; eff. 8-26-2021.

201 KAR 35:055 Temporary registration or certification {#sec-201-kar-35-055 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:055}

Section 1. Application for Temporary Registration.

(1) An applicant for temporary registration as a certified alcohol and drug peer support specialist may submit an application after the requirements established in KRS 309.0831(1), (2), (6), (7), and (10) are met.

(2) The application required by subsection (1) of this section shall be made by submitting a completed KBADC Form 1, incorporated by reference in 201 KAR 35:020. The application shall:

(a) Include a certification by the applicant that the:

Information in the application is true, correct, and complete to the best of his or her knowledge and belief; and
Applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification; and

(b) Be accompanied by:

A check or money order payable to the Kentucky State Treasurer for the application fee as required by 201 KAR 35:020, Section 1(1);
Proof of a high school diploma or equivalent;
A signed agreement to abide by the standards of practice and code of ethics approved by the board as established in 201 KAR 35:030;
KBADC Form 2, Attestation of Recovery, in which the applicant declares that he or she has been in recovery for a minimum of one (1) years from a substance-related disorder; and
A supervision agreement signed by the applicant and the applicant's supervisor.

Section 2. Application for Temporary Certification.

(1) An applicant for temporary certification as a certified alcohol and drug counselor may submit KBADC Form 1, incorporated by reference in 201 KAR 35:020, after the requirements established in KRS 309.083(1), (2), (6), (7), and (10) are met.

(2) The application shall:

(a) Include a certification by the applicant that the:

Information in the application is true, correct, and complete to the best of his or her knowledge and belief; and
Applicant is aware that the board may take disciplinary action if the application contains a misrepresentation or falsification; and

(b) Be accompanied by:

A check or money order payable to the Kentucky State Treasurer for the application fee as required by 201 KAR 35:020, Section 1(1);
An official transcript for the highest level of education required for certification;
A signed agreement to abide by the standards of practice and code of ethics approved by the board as established in 201 KAR 35:030; and
A supervision agreement signed by the applicant and the applicant's supervisor.

Section 3. Period of Temporary Registration. (1) The period of a temporary registration shall be terminated upon the passage of two (2) years from issuance.

Section 4. Period of Temporary Certification.

(1) The period of temporary certification shall be terminated upon the passage of two (2) years from issuance.

(2) The board may approve an extension of the period of a temporary certification for a maximum of two (2) years if a:

(a) Written request is submitted that is cosigned by the board approved supervisor; and

(b) One (1) of the following exists:

A circumstance established in 201 KAR 35:040, Section 8(1); or
The temporary certified alcohol and drug counselor presents evidence of insufficient time to:

a. Complete supervision, training, or work experience; or

b. Successfully pass the required examination.

(3) The board shall not grant more than three (3) extensions of the period of a temporary certification.

Section 5. Incorporation by Reference.

(1) "KBADC Form 2, Attestation of Recovery", March 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Alcohol and Drug Counselors, 500 Mero St, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.083, 309.0831
STATUTORY AUTHORITY: KRS 309.0813(1), (5), 309.083, 309.0831
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(1) and (5) authorize the board to promulgate administrative regulations establishing the requirements for registering with the Board of Alcohol and Drug Counselors as a registered alcohol and drug peer support specialist, certified alcohol and drug counselor, licensed clinical alcohol and drug counselor associate, or licensed clinical alcohol and drug counselor. This administrative regulation establishes the requirements for temporary credentials for registered alcohol and drug peer support specialists and certified alcohol drug counselors.
History: 42 Ky.R. 1414; 2043; eff. 2-5-2016; 44 Ky.R. 1122, 1511; eff. 1-18-2018; 47 Ky.R. 2084; 48 Ky.R. 341; eff. 8-26-2021.

201 KAR 35:070 Supervision experience {#sec-201-kar-35-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:070}

Section 1. Peer Support Specialist Supervision.

(1)

(a) Peer support specialist supervision shall continue throughout the period of registration. The supervision shall include the four (4) following domains:

Advocacy;
Ethical Responsibility;
Mentoring and Education; and
Recovery and Wellness Support.

(b) A supervisor of a peer support specialist shall complete and submit KBADC Form 8, Peer Support Specialist Verification of Supervision that documents the twenty-five (25) hours of direct supervision.

(2) Clinical Supervision for Certification and Licensure Applicants. Clinical supervision shall include a minimum of ten (10) hours in each of the following four (4) domains:

(a) Screening assessment and engagement;

(b) Treatment planning, collaboration, and referral;

(d) Professional and ethical responsibilities.

(3) Clinical supervision shall:

(a) For applicants with a high school diploma or high school equivalency diploma, require 300 hours of clinical supervision with a minimum of ten (10) hours in each domain listed in subsection (2);

(b) For applicants with an associate's degree in a relevant field, require 250 hours of clinical supervision with a minimum of ten (10) hours in each domain;

(c) For applicants with an bachelor's degree in a relevant field, require 200 hours of clinical supervision with a minimum of ten (10) hours in each domain; and

(d) For applicants with a master's degree or higher in a relevant field, require 100 hours of clinical supervision with a minimum of ten (10) hours in each domain.

(4)

(a) Clinical supervision may occur in individual or group settings.

(b) The methods of clinical supervision shall include:

Face-to-face;
Video conferencing; or
Observation, which includes a period of discussion to critique the observed sessions, accompanied by a written explanation that includes strengths and deficiencies observed by the supervisor, and develops goals for the supervisee.

(5) Supervision that exceeds two (2) hours in a single day shall be accompanied by a written explanation justifying the length of supervision exceeding two (2) hours.

(6) Clinical supervisors shall complete and submit KBADC Form 13, Verification of Clinical Supervision, which documents the required hours of supervision that has occurred during the work experience, in the Application for Certification as an Alcohol and Drug Counselor, Application for Licensure as an Alcohol and Drug Counselor, or Application for Licensure as a Clinical Alcohol and Drug Counselor, which are incorporated by reference in 201 KAR 35:020.

(7) For applicants applying for licensure who already possess a certified alcohol and drug counselor credential, supervision obtained under KRS 309.083 prior to February 5, 2016 shall be calculated toward the 100 hour supervision requirement under KRS 309.0832(3) and subsection (3)(d) of this section.

Section 2. Except as established by Section 1(6) of this administrative regulation, a supervisory arrangement shall have the prior approval of the board, with both supervisor and supervisee submitting a Supervisory Agreement to the board. The supervisor and supervisee shall also submit to the board the description of the supervisory arrangement or a change in the supervisory arrangement at least thirty (30) days prior to the effective date of the arrangement or change unless extenuating circumstances prevent the submission.

Section 3.

(1) All supervision requirements shall:

(a) Be met with face-to-face individual or group weekly contact between supervisor and supervisee except as established in subsection (2) of this section and Sections 13 and 14 of this administrative regulation;

(b) Consist of not less than two (2) hours, two (2) times a month in the practice of alcohol and drug counseling; and

(2) An alternative format of supervision, including two (2) way interactive video, may be substituted for the supervisory contact, required by subsection (1) of this section, upon specific approval by the board for certain types of circumstances, such as distance, weather, or serious injury or illness of the supervisor or supervisee.

(3) Upon a change of supervisor, a new plan for supervision shall be submitted by the supervisor and supervisee to the board for approval. This plan may require additional hours of supervision than was previously approved by the board.

(4) Upon termination of the supervisor-supervisee relationship, the final report of supervision shall be submitted to the board within thirty (30) days of the termination.

Section 4.

(1)

(a) A certified alcohol and drug counselor, licensed alcohol and drug counselor, or licensed clinical alcohol drug counselor requesting to become approved by the board to provide supervision shall:

Submit a complete and signed Form 4, Request to Provide Supervision;
For a certified alcohol and drug counselor or licensed alcohol and drug counselor, have at least two (2) years of post-certification experience, including Alcohol and Drug Counselor credentials transferred through reciprocity, and have attended the board-sponsored supervision training;
For a licensed clinical alcohol and drug counselor, have at least twelve (12) months of post-licensure experience, including Advanced Alcohol and Drug Counselor credentials transferred through reciprocity, or have attended the board-sponsored supervision training; and
Submit information as to whether or not the applicant has any unresolved complaints against the applicant's license or certification in Kentucky or any other state and, if there is an unresolved complaint, submit official documentation of the complaint or complaints.

(b) The board shall consider the severity, frequency, and history of violations and unresolved complaints.

(c) A person approved by the board on or after March 24, 2021 to provide supervision shall have a maximum of five (5) consecutive years from the date of the approval to meet the requirements of KRS 309.0834(1) to become a certified clinical supervisor, and can continue to provide supervision until the earlier of the expiration of the five (5) year period or the date they become a certified clinical supervisor.

(d) Approval as a supervisor pursuant to this subsection shall be limited to five (5) years, shall not be extended past the five (5) year limit, and shall be available only once in the person's lifetime.

(2) A board approved supervisor shall obtain a minimum of three (3) board-sponsored continuing education hours in supervision theory or techniques in each three (3) year renewal cycle. The board shall suspend its approval of a supervisor if the supervisor does not complete the required continuing education.

(3) A certified alcohol and drug counselor or licensed clinical alcohol and drug counselor shall not be the supervisor of record for more than twenty-five (25) supervisees.

(4) A licensed clinical alcohol and drug counselor associate shall only be supervised by a licensed clinical alcohol and drug counselor.

(5) The board may extend certification as a certified clinical supervisor to a person who is approved to provide clinical supervision but does not meet all the provisions of KRS 309.0834(1) if the person:

(a) Submits a complete KBADC Form 24, Application For Grandparenting as a Certified Clinical Supervisor, with payment of the application fee required by 201 KAR 35:020 Section 1(1);

(b) Is a licensed clinical alcohol and drug counselor or a certified alcohol and drug counselor in Kentucky prior to March 24, 2021;

(d) Pays the certification fee required by 201 KAR 35:020 Section 3(4) after the board's approval of their KBADC Form 24, Application For Grandparenting as a Certified Clinical Supervisor. A person approved by the board before March 24, 2021 to provide clinical supervision shall, within twelve (12) months of the effective date of this amendment to this administrative regulation, apply for grandparenting as a certified clinical supervisor pursuant to this subsection.

Section 5.

(1) The supervisor shall make all reasonable efforts to be assured that each supervisee's practice is in compliance with this administrative regulation.

(2) The supervisor shall report to the board an apparent violation of KRS 309.086 on the part of the supervisee.

(3) The supervisor shall inform the board immediately of a change in the ability to supervise or in the ability of a supervisee to function in the practice of alcohol and drug counseling in a competent manner.

(4) The supervisor shall control, direct, or limit the supervisee's practice to ensure that the supervisee's practice of alcohol and drug counseling is competent.

(5) The supervisor of record shall be responsible for the practice of alcohol and drug counseling or peer support services provided by the supervisee. If the board receives a complaint concerning a supervisee, the board shall notify the supervisor of record.

(6) For each certificate or license holder supervised, the supervisor shall maintain a KBADC Form 13, Verification of Clinical Supervision, for each supervisory session that shall include the domain covered, date of session, length of session, and method of supervision of the session. For each registrant supervised, the supervisor shall maintain a KBADC Form 8, Peer Support Specialists Verification of Supervision Form, for each supervisory session that shall include the date, length, method, and domain covered during the session. This record shall be maintained for a period of not less than six (6) years after the last date of supervision.

Section 6.

(1) The supervisor of record shall submit the Supervisor Log for each supervisee to the board on an annual basis with a KBADC Form 14, Supervision Annual Report.

(2) The report shall include:

(a) A description of the frequency, format, and duration of supervision;

(b) An assessment of the functioning of the supervisee, including the strengths and weaknesses; and

Section 7.

(1) If a supervisee has more than one (1) board-approved supervisor, the supervisors shall be in direct contact with each other at least once every six (6) months, and they shall provide supervisory plans and reports to the board and copies to each other.

(2) A request to have more than two (2) supervisors at one (1) time shall require a written request to the board, which shall include detailed information as to how the supervisors shall communicate and coordinate with each other in providing the required supervision.

Section 8. If the supervisee is a licensed clinical alcohol and drug counselor associate, a temporary certified alcohol and drug counselor, certified alcohol and drug counselor associate I, or certified alcohol and drug counselor associate II, the supervisor of record shall:

(1) Review all alcohol and drug assessments and treatment plans;

(2) Review progress notes and correspondence on a regular basis to assess the competency of the supervisee to render alcohol and drug services;

(3) Jointly establish with the supervisee a supervisory plan that shall be submitted to the board and approved within thirty (30) days of the beginning of the supervisory relationship. The plan shall:

(a) Be updated, revised as needed, and submitted to the board annually;

(b) Include intended format and goals to be accomplished through the supervisory process; and

(4) At least semi-annually, have direct observation of the supervisee's work, which may be accomplished through audiotaping, video camera, videotaping, one (1) way mirror, or as a cotherapist;

(5) Have direct knowledge of the size and complexity of the supervisee's caseload;

(6) Limit and control the caseload, as appropriate, to the supervisee's level of competence;

(7) Have knowledge of the therapeutic modalities and techniques being used by the supervisee;

(8) Have knowledge of the supervisee's physical and emotional well-being if it has a direct bearing on the supervisee's competence to practice; and

(9) Submit a completed KBADC Form 7, Supervision Evaluation, within thirty (30) days of termination of a supervisory agreement.

Section 9. If the supervisee is a peer support specialist, the supervisor of record shall:

(1) Jointly establish with the supervisee a supervisory plan that shall be submitted to the board and approved within thirty (30) days of the beginning of the supervisory relationship. The plan shall:

(a) Be updated, revised as needed, and submitted to the board annually;

(b) Include intended format and goals to be accomplished through the supervisory process; and

(2) Review and countersign all peer recovery service plans;

(3) Review peer recovery notes and correspondence on an as-needed basis to assess the competency of the supervisee to render peer recovery services;

(4) At least once every two (2) months, have direct observation of the supervisee's work, which may be accomplished through audiotaping, video camera, videotaping, one (1) way mirror or direct observation;

(5) Have direct knowledge of the size and complexity of the supervisee's caseload;

(6) Limit and control the caseload, as appropriate, to the supervisee's level of competence;

(7) Have knowledge of the methods and techniques being used by the supervisee;

(8) Have knowledge of the supervisee's physical and emotional well-being if it has a direct bearing on the supervisee's competence to practice; and

(9) Submit a completed KBADC Form 9, Supervision Evaluation for Peer Support Specialist, within thirty (30) days of termination of a peer support special supervisory agreement.

Section 10.

(1) The supervisee shall:

(a) Keep the supervisor adequately informed at all times of his or her activities and ability to function; and

(b) Seek consultation from the supervisor, as needed, in addition to a regularly-scheduled supervisory session.

(2) The supervisee shall:

(a) Participate with the supervisor in establishing supervisory goals and in completing the regular supervisory reports;

(b) Be jointly responsible with the supervisor for ensuring that a supervisory report or plan has been sent to the board, in accordance with the reporting schedule established in Section 6(1) of this administrative regulation; and

(3) Except as established in Section 11 of this administrative regulation, a supervisee shall not continue to practice alcohol and drug counseling or peer support services if:

(a) The conditions for supervision established in the supervisory agreement are not followed;

(b) There is a death or serious illness of the board-approved supervisor that results in the supervisor not being able to provide supervision; or

(c) The supervisory agreement is terminated by the board, the board-approved supervisor, or the supervisee for any reason other than the extenuating circumstances that allow temporary supervision in Section 11 of this administrative regulation.

Section 11. Temporary Supervision.

(1) In extenuating circumstances, if a supervisee is without supervision, the supervisee may continue working up to sixty (60) calendar days under the supervision of a qualified mental health professional as defined by KRS 202A.011(12), a certified alcohol and drug counselor, or a licensed clinical alcohol and drug counselor while an appropriate board-approved supervisor is sought and a new supervisory agreement is submitted to the board. Extenuating circumstances includes the death or serious illness of the board-approved supervisor, a leave of absence by the supervisor, the termination of the supervisor's employment, or termination of the supervisory agreement except for a violation of KRS 309.080 through 309.089, or 201 KAR Chapter 35.

(2)

(a) Within ten (10) days of the establishment of the temporary supervisory arrangement, the supervisee shall notify the board of the extenuating circumstances that have caused the supervisee to require temporary supervision.

(b) The supervisee shall submit, in writing, a plan for resolution of the situation within thirty (30) calendar days of the establishment of the temporary supervisory arrangement.

The name of the temporary supervisor;
Verification of the credential held by the temporary supervisor;
An email address and a postal address for the temporary supervisor and the supervisee; and
A telephone number for the temporary supervisor.

(3) The temporary supervisory arrangement shall expire after sixty (60) days of the establishment of the temporary supervisory arrangement.

(4) To avoid the expiration of a temporary supervisory arrangement:

(a) A temporary alcohol and drug counselor shall submit a completed KBADC Form 3, Supervisory Agreement; or

(b) A peer support specialist shall submit a completed KBADC Form 6, Peer Support Specialist Supervisory Agreement.

Section 12. Identification of Provider and Supervisor of Record. The actual deliverer of a service shall be identified to the client, and the client shall be informed of the deliverer's credential and name of supervisor of record.

Section 13. Supervision of a Disciplined Credential Holder.

(1) The board shall appoint an approved supervisor to supervise a disciplined credential holder for the period of time established by the board and a member of the board to serve as a liaison between the board and the appointed supervisor.

(2) The disciplined credential holder shall be responsible for paying the fee for supervision.

(3) The supervisor shall have completed the board-sponsored training course in supervision.

(4) The supervisor shall:

(a) Review the originating complaint, agreed order, or findings of the disciplinary hearing;

(b) Meet with the disciplined credential holder and the board liaison to:

Summarize the actions and concerns of the board;
Review the goals and expected outcomes of supervision submitted by the board liaison;
Develop a specific plan of supervision approved by the board; and
Review the reporting requirements that shall be met during the period of supervision;

(c) Meet with the disciplined credential holder at least weekly, on an individual face-to-face basis for a minimum of one (1) hour unless modified by the board;

(d) Submit a quarterly report to the board which reflects progress, problems, and other information relevant to the need for board-mandated supervision;

(e) Make all reasonable efforts to ensure that the disciplined credential holder's practice is in compliance with KRS 309.080 through 309.089, and 201 KAR Chapter 35;

(f) Report to the board any apparent violation on the part of the disciplined credential holder;

(g) Immediately report to the board in writing a change in the ability to supervise, or in the ability of the disciplined credential holder to function in the practice of peer recovery support or the practice of alcohol and drug counseling in a competent manner;

(h) Review and countersign assessments, as needed or appropriate;

(i) Review and countersign service or treatment plans, as needed or appropriate;

(j) Have direct observation of the disciplined credential holder's work on an as-needed basis;

(k) Have direct knowledge of the size and complexity of the disciplined credential holder's caseload;

(l) Have knowledge of the therapeutic methods, modalities, or techniques being used by the disciplined credential holder; and

(m) Have knowledge of the disciplined credential holder's physical and emotional well-being if it has a direct bearing on the disciplined credential holder's competence to practice.

(5) The supervisor shall control, direct, or limit the disciplined credential holder's practice to ensure that the disciplined credential holder's practice is competent.

(6) The supervisor shall contact the board liaison with any concern or problem with the disciplined credential holder, his or her practice, or the supervision process.

(7) A final meeting shall be scheduled within thirty (30) days of the end of the established supervision period to summarize the supervision. The meeting shall include the supervisor, disciplined credential holder, and board liaison. A written summary of the supervision shall be submitted by the supervisor to the board two (2) weeks following this meeting with a copy to the board liaison.

Section 14. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "KBADC Form 3, Supervisory Agreement", March 2021;

(b) "KBADC Form 4, Request to Provide Supervision", June 2021;

(d) "KBADC Form 7, Supervision Evaluation", March 2021;

(e) "KBADC Form 8, Peer Support Specialist Verification of Supervision", March 2021;

(f) "KBADC Form 9, Supervision Evaluation for Peer Support Specialist", March 2021;

(g) "KBADC Form 13, Verification of Clinical Supervision", May 2022;

(h) "KBADC Form 14, Supervision Annual Report", March 2021; and

(i) "KBADC Form 24, Application For Grandparenting as a Certified Clinical Supervisor", May 2022.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero St, 2 SC 32, Frankfort, Kentucky, Monday through Friday, 8 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.0814, 309.083(4), 309.0830, 309.0831, 309.0832, 309.0833, 309.0834, 309.0841, 309.0842
STATUTORY AUTHORITY: KRS 309.0813(1), (3), (5), 309.0814(1), 309.083(3), 309.0831(3), 309.0832(10), 309.0833(2), 309.086
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(1) requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.080 through 309.089. KRS 309.0813(3) requires the board to approve or disapprove those persons who shall be credentialed. This administrative regulation establishes the standards for the accumulation of required supervised work experience for licensed alcohol and drug counselors, licensed clinical alcohol and drug counselors, licensed clinical alcohol and drug counselor associates, certified alcohol and drug counselors, certified alcohol and drug counselor associates II, certified alcohol and drug counselor associates I, and registered alcohol and drug peer support specialists.
History: 35 Ky.R. 463; 789; eff. 10-15-2008; 42 Ky.R. 1316; 1792; 2046; eff. 2-5-2016; 43 Ky.R. 1250, 1726; eff. 5-5-2017; 44 Ky.R. 1124; eff. 1-18-2018; 47 Ky.R. 2086; 48 Ky.R. 76, 342; eff. 8-26-2021; 48 Ky.R. 2270, 2963; eff. 7-20-2022.

201 KAR 35:075 Substitution for work experience for an applicant for certification as an alcohol and drug counselor and licensed alcohol and drug counselor {#sec-201-kar-35-075 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:075}

Section 1. Substitution for Work Experience for an Applicant for Certification as an Alcohol and Drug Counselor under KRS 309.083 or a licensed alcohol and drug counselor under KRS 309.0830.

(1) An applicant may substitute, for part of the work experience, a degree in a related field such as:

(a) Addictions;

(b) Counseling;

(d) Psychiatric nursing; or

(e) Social work.

(2) An applicant may request to substitute an educational degree for part of the required work experience by submitting KBADC Form 12, Workplace Experience Substitution Request, to the board along with transcripts from an accredited college or university.

(3) Educational substitution shall be reviewed and approved by the board based upon education relative to the delivery of alcohol and other drug counseling.

(a) A master's degree or higher in a related field, with a specialization in addictions or drug and alcohol counseling, may be substituted for 4,000 hours of work experience.

(b) A master's degree or higher in a related field, without the specialization in paragraph (a) of this subsection, may be substituted for 3,000 hours of work experience.

(d) A bachelor's degree in an unrelated field shall not qualify for a substitution of hours, and the applicant shall provide proof of 6,000 hours of work experience as established in KRS 309.083(3).

(4) The hours of work experience shall be documented on the candidate's application for certification and shall contain verification by the supervisor.

Section 2. Incorporation by Reference.

(1) "KBADC Form 12, Workplace Experience Substitution Request", June 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Alcohol and Drug Counselors, 500 Mero St, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The board's Web site address is: https://adc.ky.gov.

History

RELATES TO: KRS 309.083, 309.0831, 309.0832, 309.0833, 309.0830
STATUTORY AUTHORITY: KRS 309.0813(1), (3), (5), 309.083, 309.0831, 309.0832, 309.0833
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(1) authorizes the board to promulgate administrative regulations for the administration and enforcement of KRS 309.080 through 309.089. KRS 309.083, 309.0831, 309.0832, 309.0833, 309.0841, and 309.0842 establish the standards for the accumulation of the required supervised work experience. This administrative regulation establishes the requirements for substituting education for work experience requirements for an applicant for certification as an alcohol and drug counselor and licensed alcohol and drug counselor.
History: 42 Ky.R. 1415; 2048; eff. 2-5-2016; 47 Ky.R. 2091; 48 Ky.R. 80, 345; eff. 8-26-2021.

201 KAR 35:080 Voluntary inactive and retired status {#sec-201-kar-35-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 35:080}

Section 1. Conditions for Application for Voluntary Inactive Status.

(1) Voluntary inactive status shall be for the credential holder who is currently not working as a peer support specialist or an alcohol and drug counselor, yet plans to return to providing peer support services or alcohol and drug counseling.

(2) The Kentucky Board of Alcohol and Drug Counselors shall grant inactive status if one (1) or more of the following conditions apply:

(a) Medical problems;

(b) Maternity or paternity;

(d) Military service; or

(e) Family or personal issues.

Section 2. Instructions for Application for Voluntary Inactive Status.

(1) A credential holder, including a temporary credential holder, desiring inactive status shall send a letter of request to the office of the Kentucky Board of Alcohol and Drug Counselors and include the following information:

(a) Current home address and telephone number;

(b) Reason for request;

(d) Final date of supervision;

(e) Anticipated date of return to employment providing peer support services or alcohol and drug counseling; and

(f) Nonrefundable enrollment fee of fifty (50) dollars as established in 201 KAR 35:020, Section 7.

(2) The request for voluntary inactive status shall be placed on the agenda of the next regularly-scheduled meeting of the Kentucky Board of Alcohol and Drug Counselors for consideration.

(3) The applicant shall be notified of the board's decision no later than two (2) weeks after the board's meeting.

Section 3. Terms and Responsibilities.

(1) While on voluntary inactive status, an individual shall continue to receive bulletins, newsletters, and other communications from the Kentucky Board of Alcohol and Drug Counselors.

(2) A counselor on voluntary inactive status shall not practice or use the title or initials of a counselor or supervisor such as, TCADC, Associate I, Associate II, CADC, LCADCA, LCADC, or CCS.

(3) A peer support specialist on voluntary inactive status shall not practice or use the initials or title of a registered peer support specialist such as, TRADPSS or RADPSS.

(4) Individuals on voluntary inactive status shall not be eligible for reciprocity.

(5) Individuals on voluntary inactive status shall comply with the Kentucky Code of Ethics as established in 201 KAR 35:030.

(6) The voluntarily inactive individual shall notify the Kentucky Board of Alcohol and Drug Counselors prior to returning to work providing peer support services, alcohol and drug counseling, or clinical supervision and pay the reactivation fee established in 201 KAR 35:020, Section 7.

(7) Failure to notify the board prior to returning to employment shall constitute a violation of the Kentucky Board of Alcohol and Drug Counselors Code of Ethics in 201 KAR 35:030, and shall result in referral to the board for investigation, in accordance with the procedures established in 201 KAR Chapter 35.

(8) A credential holder may remain on inactive status for two (2) years, unless an extension of time is granted.

(9) The two (2) year period of inactive status shall begin when the board grants the request for inactive status.

(10) A credential holder may request one (1) extension of time of two (2) years by submitting to the board a written request to continue on inactive status and an explanation of the reason for the request.

(11) If the credential holder does not submit a request for extension of the inactive status or fails to reactivate the credential before the end of the inactive status, the credential shall expire.

Section 4. Reactivation.

(1) Individuals requesting reactivation of their registration, certification, or licensure status shall send a letter of request to the office of the Kentucky Board of Alcohol and Drug Counselors and shall include:

(a) Current home address;

(b) Current e-mail address;

(d) Address of employing agency, if applicable;

(e) Submission of proof of attendance of continuing education as required by 201 KAR 35:040; and

(f) Nonrefundable reactivation fee as established in 201 KAR 35:020, Section 7(3).

(2)

(a) A request for reactivation shall be considered at the next regularly scheduled meeting of the Kentucky Board of Alcohol and Drug Counselors.

(b) The applicant shall be notified within two (2) weeks of the board's decision.

Section 5. Conditions for Retired Status.

(1) Except for an individual issued a temporary registration or certification, a certified alcohol and drug counselor associate I, a certified alcohol and drug counselor associate II, or a license as a clinical alcohol and drug counselor associate, retired status shall be granted to a credential holder who meets the criteria established in this section upon written request to the board.

(2) The board may grant retired status to a credential holder submitting a written request if that individual:

(a) Suffers a physical or mental disability or illness that renders the credential holder unable to provide peer support services or practice alcohol and drug counseling; or

(b) Has retired from providing peer support services or the practice of alcohol and drug counseling in all jurisdictions and is not conducting an active practice in any jurisdiction.

(3) A credential holder granted retired status by the board shall:

(a) Not be required to meet the continuing education requirements under 201 KAR 35:030;

(b) Be relieved of the obligation to pay the renewal and penalty fees under 201 KAR 35:020, Section 4 and the inactive status fees under 201 KAR 35:020, Section 7; and

(c) Use the designation "-R" at the end of the acronym for the appropriate credential such as, RADPSS-R, CADC-R, LADC-R, LCADC-R, or CCS-R.

(4) A credential holder who retires and later seeks reinstatement shall meet applicable current initial registration, certification, or licensure requirements as established in KRS 309.083 through 309.0833, 201 KAR 35:025, 35:050, and 35:070.

History

RELATES TO: KRS 309.0813(5) and (12), 309.0830, 309.0834
STATUTORY AUTHORITY: KRS 309.0813(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.0813(5) requires the board to promulgate administrative regulations to define the process to register with the board as a registered alcohol and drug peer support specialist, certified alcohol and drug counselor associate I, certified alcohol and drug counselor associate II, certified alcohol and drug counselor, licensed alcohol and drug counselor, licensed clinical alcohol and drug counselor associate, licensed clinical alcohol and drug counselor, and certified clinical supervisor. KRS 309.0813(1) requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.080 through 309.089. This administrative regulation allows credential holders to place their credentials in voluntary inactive status or retired for a period of time if they do not intend to actively practice alcohol and drug counseling or alcohol and drug peer support services in the Commonwealth of Kentucky.
History: 35 Ky.R. 465; Am. 1153; eff. 12-5-2008; TAm 1-12-2009; 42 Ky.R. 1320; 2049; eff. 2-5-2016; 44 Ky.R. 128, 512; eff. 9-20-2017; 47 Ky.R. 2092; 48 Ky.R. 81, 346; eff. 8-26-2021.

Chapter 36 Board of Certification for Professional Counselors

201 KAR 36:005 Definitions for 201 KAR Chapter 36 {#sec-201-kar-36-005 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:005}

Section 1. Definitions.

(1) "Academic course offered by an accredited postsecondary institution" means:

(a) A professional counseling course designated by a professional counseling title or content; or

(b) An academic course relevant to the practice of professional counseling.

(2) "Approved" means recognized by the Kentucky Board of Licensed Professional Counselors.

(3) "Chair" means the chair or vice-chair of the board.

(4) "Charge" means a specific allegation contained in a formal complaint, as established in 201 KAR 36:050, issued by the board alleging a violation of a specified provision of KRS 335.500 to 335.599 or the administrative regulations promulgated thereunder.

(5) "Client" means:

(a) An individual, family, or group for whom the licensee provides services within the context of the licensee's practice of professional counseling;

(b) A corporate entity or other organization if the licensee provides a service of benefit directly to the corporate entity or organization; or

(c) A legal guardian who is responsible for making decisions relative to the provision of services for a minor or legally incompetent adult.

(6) "Complaint" means any written allegation of misconduct by a credentialed individual or other person, which might constitute a violation of KRS 335.500 to 335.599 or the administrative regulations promulgated thereunder.

(7) "Complaint screening committee" means a committee that:

(a) Consists of three (3) persons appointed by the chair of the board and may include the executive director or another staff member; and

(b) Reviews complaints and investigative reports, opens investigations, participates in informal proceedings to resolve a complaint, or requests a court of competent jurisdiction to take criminal or civil action.

(8) "Continuing education hour" means fifty (50) clock minutes of participating in continuing educational experiences.

(9) "Distance counseling" means the practice of professional counseling as defined by KRS 335.500(5) between the professional counselor and the client using:

(a) An electronic communication technology; or

(b) Two (2) way, interactive, simultaneous audio and video.

(10) "Document" means information in any form or format that is relevant to a review or investigation conducted by the board and may include:

(a) Originals, copies, or drafts;

(b) Written documents;

(d) Books;

(e) Computer files;

(f) Photographs;

(g) Audio or video recordings;

(h) Correspondence;

(i) Electronic mail;

(j) Drawings or blueprints; or

(k) Client treatment documentation.

(11) "Dual relationship" means a social, business, or personal relationship between a licensee and a client that coexists with the professional-client relationship between the licensee and the client.

(12) "Face-to-face" means supervision that is in person where the supervisor and supervisee are physically present in the same room or through interactive, simultaneous video and audio media.

(13) "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.

(14) "Individual supervision" means supervision of one (1) or two (2) supervisees with the supervisor.

(15) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of reaching a dispensation of any matter without further recourse to formal disciplinary procedures under KRS Chapter 13B.

(16) "Investigator" means an individual designated by the board to assist the board in the investigation of a complaint.

(17) "Professional counselor" means a licensed professional clinical counselor as defined by KRS 335.500(3) or licensed professional counselor associate as defined by KRS 335.500(4).

(18) "Program" means an organized learning experience:

(a) Planned and evaluated to meet learning objectives; and

(b) Presented in one (1) session or a series.

(19) "Relevant" means having content applicable to the practice of professional counseling.

(20) "Respondent" means any person, individual, corporation, business trust, estate, trust partnership, limited liability company, association, organization, joint venture, government or any subdivision, agency, or instrumentality thereof, or any other legal or commercial entity subject to a charge or formal complaint.

(21) "Scope of practice for professional counseling" means:

(a) The independent practice of counseling encompassing the provision of professional counseling services to individuals, groups, families, couples, and organizations through the application of accepted and established mental health counseling principles, methods, procedures, or ethics;

(b) Counseling to promote mental health wellness, which includes the achievement of social, career, and emotional development across the lifespan, as well as preventing and treating mental disorders and providing crisis intervention;

(c) Counseling that includes psychotherapy, diagnosis, evaluation; administration of assessments, tests and appraisals; referral; or the establishment of counseling plans for the treatment of individuals, couples, groups, and families with emotional, mental, addiction, and physical disorders;

(d) Counseling that encompasses consultation and program evaluation, program administration within and to schools and organizations, and training and supervision of interns, trainees, and pre-licensed professional counselors through accepted and established principles, methods, procedures, and ethics of counselor supervision; or

(e) The functions or practices that are within the professional counselor's training or education.

(22) "Student" means an individual taking coursework in a counselor education program governed by a team of credentialed instructors who maintain a student and professor relationship during student's enrollment period.

(23) "Supervisee" means a licensed professional counselor associate who works with clients under supervision.

(24) "Supervision" means the educational process of utilizing a partnership between a supervisor and a supervisee aimed at enhancing the professional development of the supervisee in providing professional counseling services to meet the requirements of KRS 335.525(1)(e).

(25) "Supervisor" means an individual designated as a licensed professional clinical counselor supervisor, in accordance with 201 KAR 36:065, who controls, oversees, guides, and takes responsibility for the professional clinical counseling practice of a supervisee.

(26) "Supervisor of record" means the person listed on the supervisory agreement and approved by the board in accordance with 201 KAR 36:060, Section 2.

(27) "Testing and assessment services" means an educational, mental health, clinical, and career assessment to gather information regarding the client for a variety of purposes, including client decision making, treatment planning, and forensic proceedings. Assessment may include both qualitative and quantitative methodologies.

History

RELATES TO: KRS 335.500, 335.535(1)
STATUTORY AUTHORITY: KRS 335.515(3)
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 definitions used in 201 KAR Chapter 36.
History: 43 Ky.R. 835, 1529; eff. 3-31-2017; 50 Ky.R.880, 1548, 1663; eff. 2-16-2024.

201 KAR 36:020 Fees {#sec-201-kar-36-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:020}

Section 1. Application Fee.

(1) The application fee for licensure as a professional counselor shall be $150.

(2) The application fee for licensure as a professional counselor associate shall be fifty (50) dollars.

Section 2. Renewal Fees and Penalties.

(1)

(a) The annual renewal fee for licensure as a professional counselor shall be $150.

(b) The annual renewal fee for licensure as a professional counselor associate shall be fifty (50) dollars.

(2) The late renewal fee for late renewal during the sixty (60) day grace period shall be:

(a) Twenty-five (25) dollars for licensure as a professional counselor; and

(b) Ten (10) dollars for licensure as a professional counselor associate.

(3) The reinstatement fee for licensure renewal after the end of the sixty (60) day grace period shall be:

(a) $100 for licensure as a professional counselor; and

(b) Forty (40) dollars for licensure as a professional counselor associate.

Section 3. All fees shall be non-refundable.

History

RELATES TO: KRS 335.525(6), 335.535(1), (2), (4)
STATUTORY AUTHORITY: KRS 335.515(3), 335.525(6), 335.535
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.515(3), 335.525(6), and 335.535 require the board to promulgate administrative regulations relating to the establishment of fees. This administrative regulation establishes the application, renewal, and reinstatement fees for a professional counselor and a professional counselor associate and the date a licensure shall be renewed.
History: 25 Ky.R. 480; Am. 828; eff. 9-16-1998; 27 Ky.R. 1326; 2727; eff. 4-9-2001; 29 Ky.R. 2509; eff. 6-16-2003; 43 Ky.R. 770, 1392; eff. 3-31-2017; Cert eff. 12-20-2023.

201 KAR 36:030 Continuing education requirements {#sec-201-kar-36-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:030}

Section 1. Accrual of Continuing Education Hours.

(1) A minimum of ten (10) continuing education hours shall be accrued by each person holding a license during the annual period for renewal.

(2) All continuing education hours shall be in or related to the field of professional counseling.

(3) A person holding a license shall complete a minimum of three (3) hours of continuing education in domestic violence within three (3) years of initial licensure, as required by KRS 194A.540. A person holding a license who teaches the board-approved training shall be deemed to have completed this requirement.

(4) A person holding a license shall complete a minimum of six (6) hours of continuing education in a course in suicide assessment, treatment, and management within the first three (3) years of initial licensure and every six (6) years of licensure thereafter as required by KRS 210.366. A person holding a license who teaches the board-approved training shall be deemed to have completed this requirement.

(5) A person holding a license shall complete a minimum of three (3) hours of continuing education on the law for regulating professional counseling, KRS 335.500 to 335.599 and 201 KAR Chapter 36, every three (3) years of licensure. A person holding a license who teaches the board-approved training shall be deemed to have completed this requirement.

(6) All mandatory trainings on domestic violence; suicide assessment, treatment and management; and Kentucky law shall be approved by the Board and any program offered by a general continuing education provider listed in Section 2(1)(a) shall be submitted to the board for approval.

Section 2. Methods of Acquiring Continuing Education Hours. Continuing education hours applicable to the renewal of the license shall be directly related to the professional growth and development of the licensee's practice of professional counseling. The hours may be earned by completing any of the educational activities established in this section.

(1) Programs not requiring board review and approval.A general continuing education program shall be approved without further review by the board if it is:

(a) Sponsored or approved by:

The American Counseling Association, or any of its affiliated branches or divisions;
The Kentucky Counseling Association, or any of its affiliated chapters or divisions;
The National Board for Certified Counselors; or
A state counseling licensure board; or

(b) An academic course offered by a CACREP-accredited counseling program. Academic credit equivalency for continuing education hours shall be fifteen (15) continuing education hours for each one (1) academic credit hour.

(2) Supervision training under 201 KAR 36:065, Section 1(3) shall be pre-approved by the board, and presented by the board or an instructor who is licensed by the board as a Licensed Professional Clinical Counselor – Supervisor (LPCC-S).

(3) The continuing education program on the law for regulating professional counseling, KRS 335.500 to 335.599 and 201 KAR Chapter 36, shall be presented by the board, an instructor who is licensed by the board, or an attorney who demonstrates knowledge of KRS 335.500 to 335.599 and 201 KAR Chapter 36 in the Continuing Education Program Application.

Section 3. Procedures for Approval of Continuing Education Programs by a Licensee. To obtain board approval, a licensee shall submit:

(1) A published course or similar description;

(2) The names and qualifications of the instructors;

(3) A copy of the program agenda indicating hours of education, coffee breaks, and lunch breaks, which also states the specific time when each topic of the program is being presented;

(4) The number of continuing education hours requested;

(5) An official certificate of completion or college transcript from the sponsoring agency or college;

(6) The Continuing Education Program Application;

(7) The application review fee established in 201 KAR 36:020 Section 3; and

(8) A copy of the course evaluation.

Section 4. Procedures for Preapproval of Continuing Education Programs by Providers.

(1) Any provider seeking to obtain approval of a continuing education program shall apply to the board at least sixty (60) days in advance of the commencement of the program, and shall provide:

(a) A published course or similar description;

(b) The names and qualifications of the instructors;

(c) A copy of the program agenda indicating hours of education, coffee breaks, and lunch breaks, which states the specific time when each topic of the program is being presented;

(d) The number of continuing education hours requested;

(e) An official certificate of completion or college transcript from the sponsoring agency or college;

(f) The Continuing Education Program Application;

(g) A copy of the course evaluation; and

(h) The application review fee established in 201 KAR 36:020 Section 3.

(2) A continuing education activity shall be qualified for approval if the board determines the activity being presented:

(a) Is an organized program of learning;

(b) Pertains to subject matters, which integrally relate to the practice of professional counseling;

(d) Is conducted by individuals who have educational training or experience acceptable to the board.

Section 5. Responsibilities and Reporting Requirements of a Licensee.

(2) A licensee shall:

(a) Be responsible for obtaining required continuing education hours;

(b) Identify his or her own continuing education needs and seek activities that meet those needs;

(d) Select approved activities by which to earn continuing education hours;

(e) At the time of renewal, list the continuing education hours obtained during that licensure renewal period;

(f) Document attendance, participation in, and successful completion of continuing education activity for a period of one (1) year from the date of the renewal; and

(g) Maintain records of continuing education hours.

(3) The following items may be used to document continuing education activity:

(a) Transcript;

(b) Certificate; or

(4) Failure to comply with this administrative regulation shall constitute a violation of KRS 335.540(1)(b) and shall result in sanctions in accordance with KRS 335.540(1).

Section 6. Responsibilities and Reporting Requirements of Providers and Sponsors.

(1) A provider of continuing education not requiring board approval shall be responsible for providing documentation directly to the licensee, as established in Section 5(3) of this administrative regulation.

Section 7. Board to Approve Continuing Education Hours; Appeal of Denial.

(1) If an application for approval of continuing education hours is denied, in whole or part, the continuing education course provider or licensee shall have the right to appeal the board's decision.

(2) An appeal shall be:

(a) In writing;

(b) Received by the board within thirty (30) days after the date of the decision denying approval of continuing education hours; and

Section 8. Waiver or Extensions of Continuing Education.

(1) On application, the board may grant a waiver of the continuing education requirements or an extension of time within which to fulfill the requirements in the following cases:

(a) Medical disability of the licensee;

(b) Illness of the licensee or an immediate family member; or

(2) A written request for waiver or extension of time involving medical disability or illness shall be:

(a) Submitted by the person holding a license; and

(b) Accompanied by a verifying document signed by a licensed physician.

(3) A waiver of or extension of time within which to fulfill the minimum continuing education requirements shall not exceed one (1) year.

(4) If the medical disability or illness upon which a waiver or extension has been granted continues beyond the period of the waiver or extension, the person holding a license shall reapply for the waiver or extension.

Section 9. Continuing Education Requirements for Reinstatement or Reactivation of License.

(1)

(a) Except as provided by paragraph (b) of this subsection, a person requesting reinstatement or reactivation of a license shall submit evidence of ten (10) hours of continuing education completed within one (1) year prior to the filing of the application for reinstatement or reactivation.

(b) Upon request by the applicant, the board may permit the applicant to resume practice if ten (10) hours of continuing education is obtained within ninety (90) days of the date on which the applicant is approved to resume practice.

(2) The continuing education hours received in compliance with this section shall be in addition to the continuing education requirements established in Section 1 of this administrative regulation and shall not be used to comply with the requirements of that section.

Section 10. Hours required to satisfy the continuing education requirement shall be completed on or before the renewal date established in 201 KAR 36:075, Section 1. Failure to complete the continuing education requirement in Section 1 of this administrative regulation by the renewal date of a license shall require the applicant to submit a reinstatement application in accordance with 201 KAR 36:075.

Section 11. Incorporation by Reference.

(1) "Continuing Education Course Application, DPL-LPC-01", December 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.

History

RELATES TO: KRS 13B, 194A.540, 210.366, 335.500-335.599
STATUTORY AUTHORITY: KRS 210.366, 335.515(3), (6), 335.535(8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 210.366 requires a board licensee to complete a minimum of six (6) hours of continuing education in suicide assessment, treatment, and management every six (6) years. KRS 335.515(3) and (6) require the board to promulgate an administrative regulation requiring a licensee to complete continuing education requirements as a condition of renewal of his or her license. This administrative regulation establishes the requirements for continuing education and prescribes methods and standards for the accreditation of continuing education courses.
History: 25 Ky.R. 481; Am. 829; eff. 9-16-1998; 29 Ky.R. 2510; 2868; eff. 6-16-2003; 32 Ky.R. 2074; 33 Ky.R. 81; eff. 7-24-2006; 42 Ky.R. 841; 1795; 2050; eff. 2-5-2016; 43 Ky.R. 771, 1531; eff. 3-31-2017; 44 Ky.R. 787, 1220; eff. 1-5-2018; 50 Ky.R. 882; eff. 2-16-2024.

201 KAR 36:040 Code of ethics {#sec-201-kar-36-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:040}

Section 1. Responsibility to Clients.

(1) A professional counselor shall:

(a) Advance and protect the welfare of the counselor's client;

(b) Respect the rights of a person seeking the counselor's assistance; and

(2) A professional counselor shall not:

(a) Discriminate against or refuse professional service to anyone on the basis of race, gender, religion, or national origin;

(b) Exploit the trust and dependency of a client;

(c)

Engage in a dual relationship with a client that might:

a. Impair professional judgment;

b. Incur a risk of exploitation of the client; or

c. Otherwise violate a provision of this administrative regulation.

If a dual relationship cannot be avoided, and does not impair professional judgment, incur a risk of exploitation of the client, or otherwise violate a provision of this administrative regulation, a professional counselor shall take appropriate professional precautions to ensure that judgment is not impaired and exploitation of the client does not occur, which shall include:

a. Written informed consent by the client of the client's understanding of the general prohibitions against dual relationships;

b. Peer consultation by a licensed professional; and

c. Proper documentation of the precautions taken by the professional counselor.

(d) Engage in a sexual, romantic interaction, or an intimate relationship with a current client or with a former client for five (5) years following the termination of counseling. This prohibition shall apply to both in-person and electronic interactions or relationships;

(e) Use the counselor's professional relationship with a client to further his or her own interests;

(f) Continue therapeutic relationships unless it is clear that the client is benefiting from the relationship;

(g) Fail to assist a person in obtaining other therapeutic services if the professional counselor is unable or unwilling to provide professional help for appropriate reasons that include a threat or risk of harm to the professional counselor, a failure to pay for services previously provided, or a severe injury or medical illness suffered by the professional counselor;

(h) Abandon or neglect a client in treatment without making arrangements for the continuation of treatment;

(i) Videotape, record, or permit third-party observation of counseling sessions without having first obtained written informed consent from the client;

(j) Engage in sexual or other harassment or exploitation of the counselor's client, student, trainee, supervisee, employee, colleague, research subject, or actual or potential witness or complainant in investigations and ethical proceedings; or

(k) Diagnose, treat, or advise on problems outside the recognized boundaries of the counselor's competence.

Section 2. Professional Counselors' Obligations and Duties.

(1) A professional counselor shall safeguard and maintain documentation necessary for rendering professional services.

(2) Regardless of the medium, a professional counselor shall include sufficient and timely documentation to facilitate the delivery and continuity of services. The documentation shall accurately reﬂect client progress and services provided.

(3) If an amendment is made to a record or documentation, a professional counselor shall properly note the amendment in the client's record.

(4) A professional counselor and the client shall work jointly in devising a counseling plan that offers a reasonable promise of success and is consistent with the abilities, temperament, developmental level, and circumstances of the client.

(5) A professional counselor and the client shall regularly review and revise the client's counseling plan to assess the plan's continued viability and effectiveness, respecting the client's freedom of choice.

(6) A professional counselor shall review in writing and verbally with a client the rights and responsibilities of a professional counselor and a client.

(7) A professional counselor shall provide adequate information about the client's freedom of choice, the counseling process, and the professional counselor so a client may make an educated decision whether to enter into or remain in a counseling relationship.

(8) Informed consent shall be an ongoing part of the counseling process, and a professional counselor shall document discussions of informed consent throughout the counseling relationship.

(9) A professional counselor shall explicitly explain to a client the nature of all services provided. The information shall include the purposes, goals, techniques, procedures, limitations, potential risks, and benefits of services; the counselor's qualiﬁcations, credentials, relevant experience, and approach to counseling; continuation of services upon the incapacitation or death of the counselor; the role of technology; and other pertinent information.

(10) A professional counselor shall take steps to ensure that each client understands the implications of diagnosis and the intended use of tests and reports.

(11) A professional counselor shall inform a client about fees and billing arrangements, including procedures for nonpayment of fees.

(12) A professional counselor shall communicate information in ways that are both developmentally and culturally appropriate.

(13) A professional counselor shall use clear and understandable language when discussing issues related to informed consent.

(14) When counseling a minor, an incapacitated adult, or other person unable to give voluntary consent, a professional counselor shall seek the assent of the client to services and include the client in decision making as appropriate.

(15) A professional counselor shall recognize the need to balance the ethical rights of each client to make choices, the client's capacity to give consent or assent to receive services, and parental or familial legal rights and responsibilities to protect the client and make decisions on the client's behalf.

(16) A professional counselor shall discuss the required limitations to confidentiality when working with each client who has been mandated for counseling services.

(17) A professional counselor shall explain what type of information and with whom that information is shared prior to the beginning of counseling. The client may choose to refuse services. In this case, a professional counselor shall, to the best of the counselor's ability, discuss with the client the potential consequences of refusing counseling services.

(18) When a professional counselor learns that a client is in a professional relationship with another mental health professional, the professional counselor shall request release from the client to inform the other mental health professional and strive to establish a positive and collaborative professional relationship.

(19) A professional counselor shall avoid harming a client, supervisee, trainee, or research participant and shall minimize or remedy unavoidable or unanticipated harm.

(20) A professional counselor shall be aware of and avoid imposing the professional counselor's values, attitudes, beliefs, or behaviors on a client.

(21) A professional counselor shall respect the diversity of each client, trainee, and research participant and seek training in areas in which the counselor is at risk of imposing the counselor's values onto a client, especially when the professional counselor's values are inconsistent with the client's goals or are discriminatory in nature.

(22) A professional counselor shall refrain from referring a prospective and current client based solely on the counselor's personally held values, attitudes, beliefs, and behaviors.

(23) A professional counselor shall seek training in areas in which a professional counselor is at risk of imposing his or her values onto a client, especially when the professional counselor's values are inconsistent with the client's goals or are discriminatory in nature.

(24) A professional counselor shall not engage in a counseling relationship with a person with whom the professional counselor has had a previous sexual or romantic relationship.

(25) A professional counselor shall not engage in a counseling relationship with a friend or a family member with whom the professional counselor has an inability to remain objective.

(26) A professional counselor shall consider the risks and beneﬁts of accepting a client with whom the professional counselor has had a previous relationship. This potential client may include an individual with whom the counselor has had a casual, distant, or past relationship. Examples include mutual or past membership in a professional association, organization, or community.

(27) When a professional counselor accepts a client with whom the professional counselor has had a previous relationship, the professional counselor shall take the appropriate professional precautions such as informed consent, consultation, supervision, and documentation to ensure that judgment is not impaired and no exploitation occurs.

(28) A professional counselor shall consider the risks and beneﬁts of extending current counseling relationships beyond conventional parameters. Examples of extending these boundaries of the counseling relationship include attending a client's wedding or commitment ceremony or graduation; purchasing a service or product provided by a client, accepting unrestricted bartering; and visiting a client's ill family member in the hospital.

(29) A professional counselor shall take appropriate professional precautions such as informed consent, consultation, supervision, and documentation to ensure that the client's or supervisee's judgment is not impaired and no harm occurs.

(30) When a professional counselor changes a role from the original or most recent contracted relationship, a professional counselor shall obtain informed consent from the client and explain the client's right to refuse services related to the change.

(31) A professional counselor shall fully inform a client of any anticipated consequences including ﬁnancial, legal, personal, or therapeutic if the professional counselor role changes. Examples of role changes include changing from:

(a) Individual to relationship or family counseling, or vice versa;

(b) An evaluative role to a therapeutic role, or vice versa; or

(32) A professional counselor shall not enter into non-professional relationships with a former client, the client's romantic partners, or the client's family members when the interaction is potentially harmful to the client. This applies to both in-person and electronic interactions or relationships.

(33) When a professional counselor agrees to provide counseling services to two (2) or more persons who have a relationship, the professional counselor shall clarify at the outset which person or persons are the client or clients and the nature of the relationships the professional counselor shall have with each involved person. If it becomes apparent that the professional counselor may be called upon to perform potentially conﬂicting roles, the professional counselor shall clarify, adjust, or withdraw from the conflicting roles.

(34) A professional counselor shall screen prospective group counseling or therapy participants.

(35) To the extent possible, a professional counselor shall select members whose needs and goals are compatible with the goals of the group, who will not impede the group process, and whose well-being will not be jeopardized by the group experience.

(36) In a group setting, a professional counselor shall take precautions to protect clients from physical, emotional, or psychological trauma.

(37) A professional counselor may barter only if the client requests and the bartering for services does not result in exploitation or harm to the client.

(38) A professional counselor shall consider the cultural implications of bartering for services and discuss relevant concerns with the client and document any agreed upon bartering agreements in a written contract.

(39) A professional counselor shall understand the challenges of accepting gifts from clients and recognize that in some cultures, small gifts are a token of respect and gratitude. When determining whether to accept a gift from a client, a professional counselor shall take into account the therapeutic relationship, the monetary value of the gift, the client's motivation for giving the gift, and the counselor's motivation for wanting to accept or decline the gift.

(40) If a professional counselor lacks the competence to be of professional assistance to a client, the professional counselor shall not enter or continue a counseling relationship.

(41) A professional counselor shall terminate a counseling relationship when it becomes reasonably apparent that the client no longer needs assistance, is not likely to beneﬁt, or is being harmed by continued counseling.

(42) A professional counselor may terminate counseling when in jeopardy of harm by the client or by another person with whom the client has a relationship, or when a client does not pay fees as agreed upon.

(43) A professional counselor shall provide pretermination counseling and recommend other service providers when necessary, unless counseling was terminated in accordance with subsection (42) of this section.

Section 3. Evaluation, Assessment, and Interpretation.

(1) A professional counselor shall not misuse assessment results or interpretations, and a professional counselor shall take steps to prevent others from misusing the information provided.

(2) A professional counselor shall respect a client's right to know the results, the interpretations made, and the basis for the professional counselor's conclusions and recommendations.

(3) A professional counselor shall use only those testing and assessment services for which the professional counselor has been trained and is competent. A professional counselor using technology-assisted test interpretations shall be trained in the construct being measured and the specific instrument being used prior to using its technology-based application. A professional counselor shall take measures to ensure the proper use of assessment techniques by persons under the counselor's supervision.

(4) A professional counselor shall be responsible for the application, scoring, interpretation, and use of assessment instruments relevant to the needs of the client, whether the counselor scores and interprets the assessments himself or herself or uses technology or other services.

(5) A professional counselor shall be responsible for decisions involving individuals or policies that are based on assessment results and have a thorough understanding of psychometrics.

(6) Prior to an assessment, a professional counselor shall explain the nature and purposes of the assessment and the speciﬁc use of results by potential recipients. The explanation shall be given in terms and language that the client or other legally authorized person acting on behalf of the client would understand.

(7) A professional counselor shall consider the client's welfare, explicit understandings, and prior agreements in determining who receives the assessment results.

(8) A professional counselor shall include accurate interpretations with any release of individual or group assessment results.

(9) A professional counselor shall release assessment data in which the client is identiﬁed only with the consent of the client or the client's legal representative. Data shall be released only to persons recognized by the professional counselor as qualiﬁed to interpret the data.

(10) A professional counselor shall take special care to provide proper diagnosis of mental disorders. Assessment techniques, including personal interviews, used to determine client care, which includes locus of treatment, type of treatment, and recommended follow-up, shall be tailored to the client and appropriately used.

(11) A professional counselor may refrain from making a diagnosis if the professional counselor believes that the diagnosis would cause harm to the client or others. A professional counselor shall carefully consider both the positive and negative implications of a diagnosis.

(12) If a client is referred to a third party for assessment, the professional counselor shall provide specific referral questions and sufﬁcient objective data about the client to ensure that appropriate assessment instruments are utilized.

(13) When assessments are not administered under standard conditions, as may be necessary to accommodate clients with disabilities, or when unusual behavior or irregularities occur during the administration, those conditions shall be noted in the counselor's interpretation, and the results may be designated as invalid or of questionable validity.

(14) A professional counselor shall provide an appropriate environment for the administration of assessments. The appropriate environment shall include privacy, comfort, and freedom from distraction.

(15) A professional counselor shall ensure that technologically administered assessments function properly and provide a client with accurate results.

(16) Unless the assessment instrument is designed, intended, and validated for self-administration or scoring, a professional counselor shall not permit unsupervised use.

(17) A professional counselor shall select and use with caution assessment techniques based on populations other than that of the client. A professional counselor shall recognize the effects of age, color, culture, disability, ethnic group, gender, race, language preference, religion, spirituality, sexual orientation, and socioeconomic status on test administration and interpretation, and place test results in proper perspective with other relevant factors, such as the purpose of the test as it relates to the specific mental impairment, disability, or age group.

(18) A professional counselor shall accurately describe the purpose, norms, validity, reliability, and applications of the procedures and any special qualiﬁcations applicable to the use of those procedures.

(19) A professional counselor shall maintain the integrity and security of tests and assessments consistent with legal and contractual obligations. A professional counselor shall not appropriate, reproduce, or modify published assessments or parts thereof without acknowledgment and permission from the publisher.

(20) A professional counselor shall use established scientiﬁc procedures, relevant standards, and current professional knowledge for assessment design in the development, publication, and utilization of assessment techniques.

(21) When providing forensic evaluations, the primary obligation of a professional counselor shall be to remain unbiased and produce objective ﬁndings that may be substantiated based on information and techniques appropriate to the evaluation, which may include examination of the individual or review of records.

(22) A professional counselor shall form his or her professional opinions based on the counselor's professional knowledge and expertise that may be supported by the data gathered in evaluations.

(23) A professional counselor shall deﬁne the limits of the counselor's reports or testimony, especially when an examination of the individual has not been conducted.

(24)

(a) A professional counselor shall inform an individual who is the subject of a forensic evaluation, in writing, that the relationship:

Is for the purposes of an evaluation;
Is not therapeutic in nature; and
Identifies the entities or individuals who will receive the evaluation report.

(b) A professional counselor who performs forensic evaluations shall obtain written consent from an individual being evaluated or from the individual's legal representative unless a court orders evaluations to be conducted without the written consent of the individual being evaluated or the individual's parent or guardian.

(25) A professional counselor shall not evaluate a current or former client, a client's romantic partners, or a client's family members forensically.

Section 4. Confidentiality.

(1) A professional counselor shall respect and guard the confidences of each individual client.

(2) A professional counselor shall protect the confidential information of each prospective, current, and former client.

(3) A professional counselor shall disclose information only with the appropriate consent or with sound legal or ethical justifications under subsection (4) of this section.

(4) A professional counselor shall not disclose a client confidence except:

(a) Pursuant to KRS 202A.400, 620.030, or 645.270 or as otherwise mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person;

(c) During the course of a civil, criminal, or disciplinary action arising from the therapy, at which the professional counselor is a defendant; or

(d) In accordance with the terms of a written waiver. If more than one (1) person in a family receives counseling, a professional counselor shall not disclose information from a particular family member unless the counselor has obtained a waiver from that individual family member. If the family member is a minor, a custodial parent or legal guardian may provide a waiver.

(5) A professional counselor may use client or clinical materials in teaching, writing, and public presentations if:

(a) A written waiver has been obtained in accordance with subsection (4)(d) of this section; or

(b) Steps have been taken to protect client identity and confidentiality.

(6) A professional counselor shall ensure that client records and documentation kept in any medium are:

(a) Secure so that only authorized persons have access; and

(b) Disposed of so confidentiality is maintained.

(7)

(a) A professional counselor shall keep information conﬁdential except if disclosure is required to protect a client or identiﬁed others from serious and foreseeable harm or if legal requirements demand that conﬁdential information be revealed.

(b) A professional counselor may consult with other professionals when in doubt as to the validity of an exception.

(8) A professional counselor who provides services to a terminally-ill individual who is considering hastening the individual's death may maintain conﬁdentiality, depending on applicable laws and the speciﬁc circumstances of the situation and after seeking consultation or supervision from professional and legal parties.

(9)

(a) A professional counselor shall adhere to relevant state laws concerning disclosure about disease status.

(b) When a client discloses that the client has a disease commonly known to be both communicable and life threatening, a professional counselor shall be justiﬁed in disclosing information to identiﬁable third parties, if the parties are known to be at serious and foreseeable risk of contracting the disease.

(c) Prior to making a disclosure, a professional counselor shall assess the intent of the client to inform the third party about the client's disease or to engage in any behaviors that may be harmful to an identiﬁable third party.

(10) A professional counselor shall make every effort to ensure that privacy and confidentiality of a client is maintained by subordinates, including employees, supervisees, students, clerical assistants, and volunteers.

(11) When services provided to a client involve participation by an interdisciplinary or treatment team, a professional counselor shall inform the client of the team's existence and composition, information being shared, and the purposes of sharing the information.

(12) A professional counselor shall ensure the conﬁdentiality of all information transmitted through the use of any medium.

(13) A professional counselor shall protect the conﬁdentiality of a deceased client, consistent with legal requirements and the documented preferences of the client.

(14) In group work, a professional counselor shall clearly explain the importance and parameters of conﬁdentiality for the speciﬁc group.

(15) In couples and family counseling, a professional counselor shall clearly deﬁne who is considered the client, and discuss expectations and limitations of conﬁdentiality. A professional counselor shall obtain an agreement and document in writing the agreement among all involved parties regarding the conﬁdentiality of information. In the absence of an agreement to the contrary, the couple or family shall be considered to be the client.

(16) When counseling a minor client or an adult client who lacks the capacity to give voluntary informed consent, a professional counselor shall protect the conﬁdentiality of information received in the counseling relationship as speciﬁed by federal and state laws, written policies, and applicable ethical standards.

(17) A professional counselor shall inform parents and legal guardians about the role of the professional counselor and the conﬁdential nature of the counseling relationship, consistent with current legal and custodial arrangements. A professional counselor shall work to establish, as appropriate, collaborative relationships with parents or guardians to best serve the client.

(18) When counseling a minor client or an adult client who lacks the capacity to give voluntary consent to release conﬁdential information, a professional counselor shall obtain written permission from a third party to disclose information. In these instances, a professional counselor shall inform the client consistent with his or her level of understanding and take measures to safeguard client confidentiality.

(19) A professional counselor shall obtain written permission from a client prior to allowing any person to observe counseling sessions, review session transcripts, or view recordings of sessions with supervisors, faculty, peers, or others within the training environment.

(20)

(a) A professional counselor shall provide reasonable access to records and copies of records when requested by a competent client.

(b) A competent client shall include an adult who is able to sign for services, and except for in cases of an emergency, is without the need of a guardian to sign for him or her.

(c) The board may provide reasonable access to records and copies of records to a guardian if a guardian is signing and acting on behalf of an incompetent client.

(d) An incompetent client means a client with chronic issues mentally, such as mental retardation, or acute issues, due to mental illness or drug use. An incompetent client includes a client who is not alert and oriented as to a person, place, time, or situation.

(21) A professional counselor shall limit the access of a client to a client's records, or portions of a client's records, only when there is compelling evidence that the access would cause harm to the client. The determination of harm made by the professional counselor includes situations of when the client is not competent, or if although a competent client considering all of the circumstances it would still be adverse to the client's welfare to release all or a portion of his or her records.

(22) A professional counselor shall document the request of a client and the rationale for withholding some or all of the records in the files of the client.

(23) In situations involving multiple clients, a professional counselor shall provide an individual client with only those parts of records that relate directly to that client and do not include conﬁdential information related to any other client.

(24) When a client requests access to the client's records, a professional counselor shall provide assistance and consultation in interpreting counseling records.

(25) Unless exceptions to confidentiality exist, a professional counselor shall obtain written permission from each client to disclose or transfer records to legitimate third parties.

(26) A professional counselor shall store records following termination of services to ensure reasonable future access, maintain records in accordance with federal and state laws and statutes such as licensure laws and policies governing records, and dispose of client records and other sensitive materials in a manner that protects client conﬁdentiality for a period of not less than seven (7) years after the last date that services were rendered.

(27) Information shared in a consulting relationship shall be discussed for professional purposes only. Written and oral reports by the counselor shall present only data germane to the purposes of the consultation, and every effort shall be made to protect client identity and to avoid undue invasion of privacy.

(28) When consulting with colleagues, a professional counselor shall not disclose conﬁdential information that reasonably may lead to the identiﬁcation of a client or other person or organization with whom the professional counselor has a conﬁdential relationship unless the professional counselor has obtained the prior consent of the person or organization or the disclosure is unavoidable. A professional counselor shall disclose information only to the extent necessary to achieve the purposes of the consultation.

Section 5. Professional Competence and Integrity.

(1) A professional counselor shall maintain standards of professional competence and integrity and shall be subject to disciplinary action in accordance with KRS 335.540:

(a)

Upon conviction of a felony, or a misdemeanor related to the counselor's practice as a professional counselor; and
Conviction shall include adjudication based on:

a. A plea of no contest or an Alford Plea; or

b. The suspension or deferral of a sentence;

(b) If the counselor's license or certificate is subject to disciplinary action by another state's regulatory agency that the board determines violates applicable Kentucky state law or administrative regulation;

(c) Upon a showing of impairment due to mental incapacity or the abuse of alcohol or other substances that could reasonably be expected to negatively impact the practice of professional counseling; or

(d) If the counselor has failed to cooperate with the board by not:

Furnishing in writing a complete explanation to a complaint filed with the board;
Appearing before the board at the time and place designated; or
Properly responding to subpoenas issued by the board.

(2) A professional counselor shall practice only within the boundaries of their competence, based on the counselor's education, training, supervised experience, state and national professional credentials, and professional experience.

(3) While developing skills in new specialty areas, a professional counselor shall take steps to ensure the competence of the counselor's work and protect others from possible harm.

(4) A professional counselor shall monitor oneself for signs of impairment from his or her own physical, mental, or emotional problems and refrain from offering or providing professional services when impaired. A professional counselor shall seek assistance for problems that reach the level of professional impairment, and, if necessary, the professional counselor shall limit, suspend, or terminate his or her professional responsibilities until it is determined that he or she may safely resume professional counseling.

(5) When advertising or otherwise representing services to the public, a professional counselor shall identify the professional counselor's credentials in an accurate manner that is not false, misleading, deceptive, or fraudulent.

(6) A professional counselor shall accurately represent the professional counselor's qualifications.

(7) A professional counselor shall clearly distinguish between paid and volunteer work experience and accurately describe the professional counselor's continuing education and specialized training.

(8) A professional counselor shall correct any known misrepresentations of his or her qualiﬁcations by another.

(9) A professional counselor shall truthfully represent the qualiﬁcations of a professional colleague.

(10) A professional counselor shall only claim licenses or certiﬁcations that are current and in good standing.

(11) A professional counselor shall clearly differentiate between earned and honorary degrees.

(12) A professional counselor shall clearly state the professional counselor's highest earned degree in counseling or a closely related ﬁeld.

(13) A professional counselor shall not imply doctoral-level competence when possessing a master's degree in counseling or a related ﬁeld by referring to oneself as a doctor in a counseling context when the counselor's doctorate is not in counseling or a related ﬁeld.

(14) A professional counselor shall not use all but dissertation (ABD) or other similar terms to imply competency.

(15) A professional counselor shall not condone or engage in discrimination against prospective or current clients, students, employees, supervisees, or research participants based on age, culture, disability, ethnicity, race, religion, spirituality, gender, gender identity, sexual orientation, marital or partnership status, language preference, socioeconomic status, immigration status, or any basis proscribed by law.

(16) A professional counselor shall not engage in or condone sexual harassment. Sexual harassment may consist of a single intense or severe act, or multiple persistent or pervasive acts.

(17) A professional counselor shall accurately and objectively report the professional counselor's professional activities and judgments to appropriate third parties, including courts, health insurance companies, those who are the recipients of evaluation reports, and others.

(18) When a professional counselor provides advice or comment by means of public lectures, demonstrations, radio or television programs, recordings, technology-based applications, printed articles, mailed material, or other media, the professional counselor shall take precautions to ensure that:

(a) The statements are based on appropriate professional counseling literature and practice; and

(b) The recipients of the information are not encouraged to infer that a professional counseling relationship has been established.

(19) When providing services, a professional counselor shall only use techniques, procedures, or modalities that are grounded in theory or have an empirical or scientiﬁc foundation.

(20) When a professional counselor uses a developing or innovative technique, procedure, or modality, the professional counselor shall explain the potential risks, beneﬁts, and ethical considerations of using the technique, procedure, or modality.

(21) A professional counselor shall minimize any potential risks or harm when using these techniques, procedures, or modalities.

(22) A professional counselor shall not provide a professional counseling service if under the influence of alcohol, another mind-altering or mood-altering drug, or physical or psychological illness that impairs delivery of the services.

(23) A professional counselor shall not possess or distribute the board's examination material without authorization by the board.

(24) A professional counselor shall not interfere with a board investigation of a professional counselor through a willful means including:

(a) Misrepresentation of a fact;

(b) Undue influence of a witness;

(d) Harassing communication toward a person.

(25) A professional counselor shall not verbally abuse, harass, physically threaten, or assault a client, supervisee, employee, board member, or agent of the board.

(26) A professional counselor shall submit a written report to the board, within fifteen (15) days of any of the following events:

(a) A conviction of any crime, including an adjudication based on a plea of no contest or Alford Plea, except for minor traffic offenses;

(b) The entry of an order of protection following notice and an opportunity to be heard pursuant to KRS Chapter 403 or KRS Chapter 456;

(c) Any substantiated act of child abuse and neglect pursuant to KRS Chapter 620, or adult abuse, neglect, and exploitation pursuant to KRS Chapter 209; or

(d) The entry of a pretrial diversion agreement in any court in this state, or another state, where either a criminal charge or sentencing is deferred pending completion of the diversion agreement.

(27) A professional counselor shall not lack good moral character.

Section 6. Distance Counseling, Technology, and Social Media.

(1) A professional counselor who engages in the use of distance counseling, technology, or social media shall develop knowledge and skills regarding related technical, ethical, and legal considerations.

(2) Each client shall have the freedom to choose whether to use distance counseling, social media, or technology within the counseling process.

(3) In addition to the information documented in an informed consent for face-to-face counseling as required under Sections 1(2)(c)2.a. and 2(8) of this administrative regulation, the following issues unique to the use of distance counseling, technology, or social media shall be discussed, and verification of the discussion shall be documented in the informed consent form:

(a) Distance counseling credentials, physical location of practice, and contact information;

(b) Risks and benefits of engaging in the use of distance counseling, technology, or social media;

(d) Anticipated response time;

(e) Emergency procedures to follow when the counselor is not available;

(f) Time zone differences;

(g) Cultural or language differences that may affect delivery of services;

(h) Possible denial of insurance beneﬁts; and

(i) Social media policy.

(4) A professional counselor shall inform a client, in writing, of any breach of the conﬁdentiality of electronic records and transmissions within seventy-two (72) hours of knowledge of the breach.

(5) A professional counselor shall inform a client about the inherent limits of conﬁdentiality when using technology.

(6) A professional counselor shall inform a client of authorized or unauthorized access to information disclosed using this medium in the counseling process.

(7) A professional counselor shall use current encryption standards within the counselor's Web sites or technology-based communications that meet applicable legal requirements for information that is required to be kept confidential. A professional counselor shall take precautions to ensure the conﬁdentiality of information transmitted through any electronic means when the information is required to be kept confidential.

(8) A professional counselor who engages in the use of distance counseling, technology, or social media to interact with a client shall take steps to verify the client's identity at the beginning and throughout the therapeutic process. Verification shall include using code words, numbers, graphics, or other nondescript identiﬁers.

(9) A professional counselor shall inform a client of the beneﬁts and limitations of using technology applications in the provision of counseling services. The technologies may include computer hardware or software, telephones and applications, social media and Internet-based applications and other audio or video communication, or data storage devices or media.

(10) A professional counselor shall discuss and establish professional boundaries with each client regarding the appropriate use or application of technology and the limitations of its use within the counseling relationship, which include the lack of conﬁdentiality and times when not appropriate to use.

(11) When providing technology-assisted services, a professional counselor shall make efforts to determine that each client is intellectually, emotionally, physically, linguistically, and functionally capable of using the application and that the application is appropriate for the needs of the client. A professional counselor shall verify that each client understands the purpose and operation of technology applications and follow up with each client to correct possible misconceptions, discover appropriate use, and assess subsequent steps.

(12) When distance counseling services are found as ineffective by the counselor or client, a professional counselor shall consider delivering services in the same physical space. If a professional counselor is unable to provide services in the same physical space, the professional counselor shall assist the client in identifying appropriate services.

(13) A professional counselor shall provide information to each client regarding reasonable access to pertinent applications when providing technology-assisted services.

(14) A professional counselor shall consider the differences between face-to-face and electronic communication (nonverbal and verbal cues) and how these may affect the counseling process. A professional counselor shall educate a client on how to prevent and address potential misunderstandings arising from the lack of visual cues and voice intonations when communicating electronically.

(15) A professional counselor shall inform a client on how records are maintained electronically. This includes the type of encryption and security assigned to the records, and for how long archival storage of transaction records is maintained.

(16) A professional counselor who offers distance counseling services or maintains a professional Web site that provides electronic links to relevant licensure and professional certiﬁcation boards to protect consumer and client rights and address ethical concerns shall ensure that distance counseling services or electronic links are working and are professionally appropriate.

(17) A professional counselor shall clearly explain to a client, as part of the informed consent procedure, the beneﬁts, limitations, and boundaries of the use of social media.

(18) A professional counselor shall avoid disclosing confidential information through public social media.

Section 7. Responsibility to Supervisor's Student or Supervisee.

(1) A professional clinical counselor supervisor, including a counselor who is acting as a faculty supervisor in the school setting as authorized by KRS 335.505(4), shall monitor the services provided by a supervisee.

(2) A professional counselor shall:

(a) Be aware of the counselor's influential position with respect to a student or supervisee;

(b) Avoid exploiting the trust and dependency of a student or supervisee;

Impair professional judgment; or
Increase the risk of exploitation;

(d) Take precautions to ensure that judgment is not impaired and to prevent exploitation if a dual relationship cannot be avoided;

(e) Not provide counseling to a:

Student;
Employee; or
Supervisee;

(f) Not engage in sexual intimacy or contact with a:

Student; or
Supervisee;

(g) Not permit a student or supervisee to perform or represent himself or herself as competent to perform a professional service beyond his or her level of:

Training;
Experience; or
Competence; and

(h) Not disclose the confidence of a student or supervisee unless:

Pursuant to KRS 202A.400, 620.030, or 645.270 or as otherwise permitted or mandated by law;
It is necessary to prevent a clear and immediate danger to a person;
During the course of a civil, criminal, or disciplinary action arising from the supervision, at which the professional counselor is a defendant;
In an educational or training setting, of which there are multiple supervisors or professional colleagues who share responsibility for the training of the student or supervisee; or
In accordance with the terms of a written informed consent agreement.

(3) A professional clinical counselor supervisor shall monitor client welfare and supervisee performance and professional development. To fulfill these obligations, a professional clinical counselor supervisor shall meet regularly with each supervisee to review the supervisee's work and help the supervisee become prepared to serve a range of diverse clients as required by 201 KAR 36:060.

(4) A professional clinical counselor supervisor shall work to ensure that a supervisee communicates the supervisee's qualiﬁcations to render services to a client.

(5) A professional clinical counselor supervisor shall make each supervisee aware of client rights, including the protection of client privacy and conﬁdentiality in the counseling relationship. A supervisee shall provide the supervisee's clients with professional disclosure information and inform them of how the supervision process influences the limits of confidentiality. A supervisee shall make clients aware of who will have access to records of the counseling relationship and how these records will be stored, transmitted, or otherwise reviewed.

(6) A professional clinical counselor supervisor shall not engage in a sexual or romantic interaction or relationship with a current supervisee. This prohibition shall apply to both in-person and electronic interactions or relationships.

(7) A professional clinical counselor supervisor shall not engage in supervisory relationships with individuals with whom the counselor has an inability to remain objective.

(8) A professional clinical counselor supervisor shall establish and communicate to a supervisee procedures for contacting the supervisor or, in the supervisor's absence, alternative on-call supervisors to assist in handling crises.

(9) A professional clinical counselor supervisor shall make the counselor's supervisees aware of professional and ethical standards and legal responsibilities.

(10)

(a) A professional clinical counselor supervisor or a supervisee shall have the right to terminate the supervisory relationship with adequate notice to the other party.

(b) The board shall consider adequate notice as a period of two (2) weeks unless there is an exigent circumstance, an emergency situation, or a competency issue such as in situations of substance abuse, a lack of competency, a violation of the code of ethics, or an exploitation of a client. In these kinds of situations notice shall not be required.

(11) Before providing counseling services, a supervisee shall disclose the supervisee's status as a supervisee and explain how this status affects the limits of confidentiality. Supervisors shall ensure that a client is aware of the services rendered and the qualiﬁcations of the supervisee rendering those services.

(12) Students and supervisees shall obtain client permission before they use any information concerning the counseling relationship in the training process.

(13) A professional clinical counselor supervisor shall document and provide each supervisee with ongoing feedback regarding the supervisee's performance and schedule periodic formal evaluative sessions throughout the supervisory relationship.

Section 8. Financial Arrangements. A professional counselor shall:

(1) Not charge an excessive fee for service;

(2) Disclose the counselor's fees to a client and supervisee at the beginning of service;

(3) Make financial arrangements with a patient, third-party payor, or supervisee that:

(a) Are reasonably understandable; and

(b) Conform to accepted professional practices;

(4) Not offer or accept payment for a referral; and

(5) Represent facts truthfully to a client, third-party payor, or supervisee regarding services rendered.

Section 9. Advertising.

(1) A professional counselor shall:

(a) Accurately represent education, training, and experience relevant to the practice of professional counseling; and

(b) Not use professional identification that includes a statement or claim that is false, fraudulent, misleading, or deceptive, including:

A business card;
An office sign;
Letterhead; or
Telephone or association directory listing.

(2) A statement shall be considered false, fraudulent, misleading, or deceptive if it:

(a) Contains a material misrepresentation of fact;

(b) Is intended to or likely to create an unjustified expectation; or

Section 10. Referral and Termination.

(1) A professional counselor shall not abandon or neglect a client in professional counseling.

(2) A professional counselor shall make a timely and appropriate referral of a client if:

(a) The professional counselor is unable to provide the work or service; or

(b) The client's need exceeds the competency of the professional counselor.

(3) A professional counselor shall terminate a professional counseling service if a client:

(a) Has attained his or her stated goal or objective; or

(b) Fails to benefit from the counseling service.

(4) A professional counselor shall communicate the referral or the termination of counseling service to a client.

(5) A professional counselor shall not terminate counseling service or refer a client for the purpose of entering into a personal relationship with the client, including:

(a) A sexual or an intimate relationship;

(b) A financial or business relationship; or

(6) A professional counselor shall assist in making appropriate arrangements for the continuation of treatment, when necessary, during interruptions such as vacations, illness, and following termination.

(7) When a professional counselor transfers or refers a client to other practitioners, a professional counselor shall ensure that appropriate clinical and administrative processes are completed and open communication is maintained with both the client and the practitioner.

Section 11. Recognized Standards of Ethics. A professional counselor shall not engage in conduct or practice that is contrary to recognized standards of ethics in the counseling profession. The board subscribes to the code of ethics and practice standards for counselors promulgated by the American Counseling Association.

History

RELATES TO: KRS 335.540(1)(g)
STATUTORY AUTHORITY: KRS 335.515(3), (7), (11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.515(11) requires the board to promulgate a code of ethics for licensed professional counselors and licensed professional counselor associates. This administrative regulation establishes the required code of ethics.
History: 25 Ky.R. 476; Am. 826; eff. 9-16-1998; 29 Ky.R. 2512; 2869; eff. 6-16-2003; 32 Ky.R. 2076; 33 Ky.R. 83; eff. 7-24-2006; 43 Ky.R. 774, 1393, 1533; eff. 3-31-2017; 50 Ky.R. 886; eff. 2-16-2024.

201 KAR 36:045 Distance counseling {#sec-201-kar-36-045 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:045}

Section 1. Client Requirements. A counselor-client relationship may commence via distance counseling. An in-person meeting shall not be required unless the provider determines it is medically necessary to perform those services in person as established in KRS 211.336(2)(a). A licensee using distance counseling to deliver counseling services or who practices distance counseling shall, upon initial contact with the client:

(1) Make reasonable attempts to verify the identity of the client;

(2) Obtain alternative means of contacting the client other than electronically, such as by the use of a telephone number or mailing address;

(3) Provide to the client alternative means of contacting the licensee other than electronically, such as by the use of a telephone number or mailing address;

(4) Provide contact methods of alternative communication the licensee shall use for emergency purposes, such as an emergency on call telephone number;

(5) Document if the client has the necessary knowledge and skills to benefit from the type of distance counseling provided by the licensee;

(6) Document which services were provided by distance counseling;

(7) Use secure communications with clients, including encrypted text messages via e-mail or secure Web sites, and not use personal identifying information in non-secure communications;

(8) In accordance with KRS 211.334 and 900 KAR 12:005 Section 2(1)(c), obtain the informed consent of the client; and

(9) Inform the client in writing about:

(a) The limitations of using technology in the provision of distance counseling;

(b) Potential risks to confidentiality of information due to technology in the provision of distance counseling as required by 900 KAR 12:005(2)(a);

(d) When and how the licensee will respond to routine electronic messages;

(e) The circumstances in which the licensee will use alternative communications for emergency purposes;

(f) Who else may have access to client communications with the licensee;

(g) How communications can be directed to a specific licensee;

(h) How the licensee stores electronic communications from the client;

(i) Whether the licensee or client may elect to discontinue the provision of services through distance counseling; and

(j) The reporting of clients required by 201 KAR 36:040, Sections 2 and 3.

Section 2. Competence, Limits on Practice, Maintenance, and Retention of Records. A licensee using distance counseling to deliver counseling services or who practices distance counseling shall:

(1) Limit the practice of distance counseling to the area of competence in which proficiency has been gained through education, training, and experience;

(2) Maintain current competency in the practice of distance counseling through continuing education, consultation, or other procedures, in conformance with current standards of scientific and professional knowledge;

(3) Document the client's presenting problem, purpose, or diagnosis;

(4) Maintain records in accordance with the requirements of 201 KAR 36:040;

(5) Use methods for protecting health information, which shall include authentication and encryption technology as required by KRS 211.332(5)(c); and

(6) Ensure that confidential communications obtained and stored electronically cannot be recovered and accessed by unauthorized persons when the licensee disposes of electronic equipment and data.

Section 3. Compliance with Federal, State, and Local Law. A licensee using distance counseling to deliver counseling services or who practices distance counseling shall:

(1) Comply with the state law where the licensee initiates the distance counseling;

(2) Be licensed to practice counseling where the client is domiciled;

(3) Comply with Section 508 of the Rehabilitation Act, 29 U.S.C. 794(d), to make technology accessible to a client with disabilities; and

(4) Maintain patient privacy and security in accordance with 900 KAR 12:005 Section 2(1)(b).

Section 4. Representation of Services and Code of Conduct. A licensee using distance counseling to deliver counseling services or who practices distance counseling shall:

(1) Conform to the statutes and administrative regulations governing the provision of counseling services in Kentucky;

(2) Not engage in false, misleading, or deceptive advertising of distance counseling in violation of KRS 335.540(1)(c);

(3) Comply with the code of ethics, 201 KAR 36:040; and

(4) Not split fees.

Section 5. Utilization of Distance Counseling in the Provision of Continuing Education. Providers approved pursuant to 201 KAR 36:030 may utilize distance counseling in the provision of continuing education courses.

History

RELATES TO: KRS 335.505, 335.515(1), (3), (11), 211.332, 211.334, 211.336, 211.338
STATUTORY AUTHORITY: KRS 335.515(3), (11)
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. KRS 211.336 establishes requirements for state agencies that promulgate administrative regulations related to telehealth. This administrative regulation establishes procedures for preventing abuse and fraud through the use of distance counseling, prevents fee-splitting through the use of distance counseling, and utilizes distance counseling in the provision of professional counseling services and in the provision of continuing education.
History: Ky.R. 837, 1540; eff. 3-31-2017; 50 Ky.R. 893; eff. 2-16-2024.

201 KAR 36:050 Complaint management process {#sec-201-kar-36-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:050}

Section 1. Receipt of Complaints.

(1) A complaint:

(a) May be submitted by an:

Individual;
Organization; or
Entity;

(b) Shall be:

In writing and provided on the Complaint Form with Information Sheet and Authorization for Release of Medical and Client Records, DPL-LPC-11; and
Signed by the person submitting the complaint; and

(c) May be filed by the board based upon information in its possession without receipt of a third-party complaint if the board has reasonable cause to believe there may be a violation by a licensee.

(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 whether a complaint shall 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.

(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

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. Written Admonishment.

(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 admonishment to the board. If the board accepts the recommendation, the board shall issue a private written admonishment to the credential holder.

(2) A copy of the private written admonishment shall be placed in the permanent file of the credential holder.

(3) A private written admonishment 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 admonishment may be used by the board for statistical purposes or in any subsequent disciplinary action against the credential holder or applicant.

Section 6. Board Ordered Examination. 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.

Section 9. Authorization for Release of Medical and Client Records. If the complaint relates to services provided by a licensee, the board or its authorized representative may contact the complainant and request that he or she sign an Authorization for Release of Medical and Client Records, DPL-LPC-12. This involves health oversight activities and administrative proceedings of the board and disclosure is permitted by 45 C.F.R. Section 164.512, the federal regulations implementing the Health Insurance Portability Accountability Act (HIPAA).

Section 10. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Complaint Form with Information Sheet and Authorization for Release of Medical and Client Records", DPL-LPC-11, February 2025; and

(b) "Authorization for Release of Medical and Client Records", DPL-LPC-12, February 2025.

History

RELATES TO: KRS Chapter 13B, 335.500-335.599, 45 C.F.R. Part 164.512
STATUTORY AUTHORITY: KRS 335.515(3), (7)
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.
History: 201 KAR 036:050. 25 Ky.R. 485; Am. 832; eff. 9-16-1998; 43 Ky.R. 781, 1400, eff. 3-31-2017; 44 Ky.R. 790, 122; eff. 1-5-2018; 50 Ky.R. 895; eff. 2-16-2024; 51 Ky.R. 975, 1693, 1775; eff. 6-18-2025.

201 KAR 36:055 Administrative subpoena {#sec-201-kar-36-055 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:055}

Section 1. The Board of Licensed Professional Counselors may issue an administrative subpoena to investigate a complaint or suspected violation of KRS 335.500 to KRS 335.599 or 201 KAR Chapter 36.

Section 2. Administrative Subpoenas.

(1) The board shall issue a subpoena in accordance with KRS 335.515(2) to require the production of books, papers, documents, or other evidence at a specified time and place.

(2) If information requested by the board is encrypted, the respondent shall:

(a) Provide the information in a readable format; and

(b) Provide proof acceptable to the board that the requested information has been translated to a readable format without error or omission.

(3) A person or entity served with a subpoena in accordance with subsection (1) of this section shall not intentionally destroy, alter, or falsify documents requested by the board.

Section 3. Noncompliance.

(1) If a person fails without good cause to produce requested documents in accordance with Section 2(1) of this administrative regulation, the board may apply to the circuit court of the county in which compliance is sought for an appropriate order to compel compliance with the provisions of the subpoena.

(2) If a person served with a subpoena issued pursuant to Section 2(1) of this administrative regulation believes that the subpoena seeks to compel the production of documents that are protected, privileged, or not properly the subject of an administrative subpoena, the individual may, prior to the date designated for the production of the documents, apply to the circuit court of the county in which compliance is sought for an appropriate protective order limiting the scope of the subpoena or quashing it entirely.

History

RELATES TO: KRS 335.515(2)
STATUTORY AUTHORITY: KRS 335.515(2), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.515(3) authorizes the Board of Licensed Professional Counselors to promulgate administrative regulations necessary for the proper performance of its duties. KRS 335.515(2) authorizes the board to issue subpoenas to assist in the investigation of a complaint or a suspected violation of KRS 335.500 to KRS 335.599. This administrative regulation establishes procedures for issuing an administrative subpoena.
History: 43 Ky.R. 838; eff. 3-31-2017; Cert eff. 12-20-2023.

201 KAR 36:060 Qualifying experience under supervision {#sec-201-kar-36-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:060}

Section 1. Requirements for the Practice of Professional Counseling.

(1) The practice of professional counseling shall be based on knowledge of areas including interpersonal, cognitive, cognitive behavioral, psychodynamics, human relations, crisis intervention, psychopathology, group dynamics, and effective methods and strategies necessary to help the client achieve mental, vocational, emotional, physical, social, moral, and spiritual development and adjustment throughout the client's life span.

(2) In providing counseling services, a licensee shall possess and utilize skills in the following areas:

(a) The helping relationship, including counseling theory and practice;

(b) Human growth and development;

(d) Group dynamics, process, counseling, and consulting;

(e) Assessment, appraisal, and testing of individuals;

(f) Social and cultural foundation, including multicultural issues;

(g) Principles of etiology, diagnosis, treatment planning, and prevention of mental and emotional disorders and dysfunctional behavior;

(h) Research and evaluation; and

(i) Professional orientation and ethics.

Section 2. Supervision.

(1) A supervisor of record shall be licensed by the board as a licensed professional clinical counselor supervisor.

(2) The supervisor shall manage, oversee, and direct the supervisee, taking responsibility for the professional clinical counseling practice of the supervisee.

(3) The supervisor shall have access to, and shall review, the supervisee's clinical documentation, when needed, and have a signed agreement with the supervisee's agency, if off-site, allowing the supervisor to:

(a) Review the supervisee's clinical documentation and records;

(b) View the supervisee's client sessions in face-to-face format, recorded format, or both, if available; and

(4) The supervisor shall use observations from the supervisee's clinical documentation, client sessions, and communications with the administrative supervisor, if applicable, to inform supervision and shall document these observations in his or her supervisory notes.

(5) The supervisor shall verify on the annual renewal application that he or she has reviewed 201 KAR 36:060 and 201 KAR 36:065.

Section 3. LPCA Supervision Agreement.

(1) A supervisee shall enter into a written supervision agreement with an approved supervisor. The supervision agreement shall contain:

(a) The name and address of the supervisee;

(b) The name, address, license or certification number, and number of years of practice of the supervisor of record;

(d) The agency, institution, or organization where the experience will be received;

(e) A detailed description of the nature of the practice including the type of:

Clients that will be seen;
Therapies and treatment modalities that will be used including the prospective length of treatment; and
Problems that will be treated;

(f) The nature, duration, and frequency of the supervision, including the:

Number of hours of supervision per week;
Number of hours of individual supervision;
Methodology for transmission of case information; and
Number of hours of face-to-face supervision that meet the requirements of KRS 335.525(1)(e);

(g) A statement that supervision:

Shall occur a minimum of:

a. Three (3) times per month and one (1) hour per meeting for a full-time practice that consists of twenty-five (25) clock hours or greater per week; or

b. One (1) hour for every thirty (30) hours of client contact for a part-time practice that consists of less than twenty-five (25) clock hours per week; and

May include interactive, simultaneous video and audio media that meet applicable legal requirements for information required to be kept confidential;

(h) The conditions or procedures for termination of the supervision;

(i) A statement that:

The supervisor of record understands that the supervisor shall be held accountable to the board for the care given to the supervisee's clients; and
The supervisor of record meets the criteria established in Section 2 of this administrative regulation;

(j) The signatures of both the supervisor and the supervisee.

(k) A copy of a signed agreement between the supervisor and the supervisee's agency, if off-site, allowing the supervisor to:

Review the supervisee's clinical documentation and records;
View the supervisee's client sessions in face-to-face format, recorded format, or both if available; and
Regularly communicate with the supervisee's administrative supervisor, if applicable, regarding the supervisee's professionalism, using an agreed upon schedule.

(2) If a supervisee changes his or her supervisor of record or job placement as identified in the supervision agreement, the supervisee shall submit a new supervision agreement, which sets forth the information required by this section.

(3) The licensed professional counselor associate may begin the practice of professional counseling upon the board's approval of the agreement.

Section 4. Multiple Supervisors. The board may approve more than one (1) supervisor of record if an applicant or licensee submits a written request. The board may require the applicant and any supervisors to appear before the board to present a plan for the supervision.

Section 5. Experience Under Supervision.

(1) Experience under supervision shall consist of:

(a) Direct responsibility for a specific individual or group of clients; and

(b) Broad exposure and opportunity for skill enhancement with a variety of developmental issues, dysfunctions, diagnoses, acuity levels, and population groups.

(2) The board may approve an applicant's hours of experience under supervision obtained in another jurisdiction if the jurisdiction's regulatory board issuing professional clinical counselor licenses certifies that:

(a) It approved the hours;

(b) It approved the supervisor; and

(c) The hours were obtained after the applicant received a master's, specialist, or doctoral degree in counseling or a related field.

Section 6. Supervision Requirements.

(1) Supervision shall relate specifically to the qualifying experience and shall focus on:

(a) The appropriate diagnosis of a client problem leading to proficiency in applying professionally recognized clinical nomenclature;

(b) The development and modification of the treatment plan;

(d) Ethical problems in the practice of professional counseling; and

(e) The development and use of the professional self in the therapeutic process.

(2) A supervisee shall not continue to practice professional counseling if:

(a) The conditions for supervision set forth in the LPCA Supervision Agreement required by Section 3 of this administrative regulation are not followed; or

(b) The supervision agreement is terminated for any reason other than the extenuating circumstances that allow temporary supervision in Section 8 of this administrative regulation.

(3) If the terms of the supervision agreement are not being met by the supervisee, the supervisor shall immediately notify this board in writing.

Section 7. Evaluation by Board. The board shall evaluate the period of supervised experience required by KRS 335.525(1)(e) according to one (1) of the following methods:

(1) A candidate who seeks to obtain experience in the Commonwealth of Kentucky shall submit the supervision agreement required by Section 3 of this administrative regulation for the experience prior to beginning to accrue the required experience; or

(2) A candidate who obtained the experience in another state shall submit:

(a) Documentation of the hours of supervision with the Application for Licensed Professional Clinical Counselor required by 201 KAR 36:070;

(b) Information that verifies:

That the requirements for the license or certificate of the supervisor from the state in which the license or certificate was held are substantially equivalent to the requirements for that license or certificate in Kentucky;
That the supervisor is in good standing with the certifying or licensing state; and
That the practice and supervision requirements in the state from which the candidate is applying are substantially equivalent to the requirements established under this administrative regulation.

Section 8. Temporary Supervision.

(1) In extenuating circumstances, if a licensed professional counselor associate is without supervision, the associate may continue working up to sixty (60) calendar days under the temporary supervision of a qualified mental health provider as defined by KRS 202A.011(12) while an appropriate board-approved supervisor is sought and a new supervision agreement is submitted to the board. Extenuating circumstances include situations such as death or serious illness of the board-approved supervisor, a leave of absence by the supervisor, or the termination of the supervisor's employment.

(2)

(a) Within ten (10) days of the occurrence causing the extenuating circumstance, the supervisee shall notify the board of the need for temporary supervision.

(b) Within thirty (30) calendar days of the change in status of board-approved supervision, the supervisee shall submit, in writing, a plan for resolution of the situation. The written plan shall include:

The name of the temporary supervisor;
Verification of the credential held by the temporary supervisor;
An email address and a postal address for the temporary supervisor and the supervisee; and
A telephone number for the temporary supervisor.

(c) The temporary supervision arrangement shall expire after sixty (60) days of the establishment of the temporary supervision arrangement with a qualified mental health provider. The temporary supervision arrangement shall not be extended beyond the sixty (60) days.

Section 9. Incorporation by Reference.

(1) The "LPCA Supervision Agreement", DPL-LPC-02, July 2023,, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensed Professional Counselors, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:00 p.m. This material is also available on the board's Web site at lpc.ky.gov.

History

RELATES TO: KRS 335.500(4), 335.505(4), 335.525(1)(e)
STATUTORY AUTHORITY: KRS 335.515(1), (3), 335.525
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.505(4) authorizes a student intern or trainee in professional counseling to use the title of professional counselor intern or student in training if the activities are performed under the supervision or direction of an approved supervisor and the activities are a part of a supervised program of study. KRS 335.525(1)(e) provides that the board shall issue a professional clinical counselor license to an applicant who has completed a minimum of 4,000 hours of experience in the practice of counseling under approved supervision. KRS 335.515(3) provides that the board shall promulgate administrative regulations to implement KRS 335.500 to 335.599, relating to licensed professional counselors. This administrative regulation establishes the requirements relating to supervision and experience under supervision.
History: 26 Ky.R. 280; Am. 729; eff. 10-20-1999; 29 Ky.R. 2514; 2871; eff. 6-16-2003; 36 Ky.R. 858; 2035-A; eff. 5-7-2010; 37 Ky.R. 780; eff. 12-15-2010; 38 Ky.R. 1018; 1558; eff. 3-21-2012; 41 Ky.R. 302; 1309; eff. 12-17-2014; 43 Ky.R. 783, 1402, 1540; eff. 3-31-2017; 44 Ky.R. 792, 1223; eff. 1-5-2018; 46 Ky.R.1009; eff. 12-9-2019; 50 Ky.R.898; eff. 2-16-2024.

201 KAR 36:065 Licensed professional clinical counselor supervisor {#sec-201-kar-36-065 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:065}

Section 1. Supervisor Qualifications.

(1) To be a supervisor of a licensed professional clinical counselor who is subject to disciplinary action or a licensed professional counselor associate, an applicant shall:

(a) Submit a LPCC-S Application with supporting documentation that includes one (1) of the following:

A certificate or certificates documenting the completion of fifteen (15) hours in a board-approved CEU course on supervision; or
A copy of the transcript of a supervision course in a graduate program;

(b) Be licensed by the board as a licensed professional clinical counselor;

An unresolved complaint that has been:

a. Reviewed by the complaints screening committee and referred for investigation; or

b. Filed against the applicant by the board that licenses or certifies that profession;

A suspended or probated license or certificate;
Been under discipline by the board within the last two (2) years preceding the application; or
An order from the board under which the applicant is licensed or certified prohibiting the applicant from providing supervision;

(d) Have been in the practice of his or her profession for at least two (2) years following licensure as a professional clinical counselor or its licensure equivalent issued by another state's regulatory professional counseling board; and

(e) If coming from another state:

Show proof of supervisory status in the other state;
Take a three (3) hour board-approved training on Kentucky law; and[
Not have an order from the board of another state prohibiting the applicant from providing supervision..

(2) A three (3) hour graduate level course exclusively on counseling supervision or the board-approved supervisor training course shall:

(a) Cover:

Assessment, evaluation, and remediation, which includes initial, formative, and summative assessment of supervisee knowledge, skills, and self-awareness; components of evaluation, including evaluation criteria and expectations, supervisory procedures, methods for monitoring (both direct and indirect observation), supervisee performance, formal and informal feedback mechanisms, and evaluation processes (both summative and formative), and processes and procedures for remediation of supervisee skills, knowledge, and personal effectiveness and self-awareness;
Counselor development, which includes models of supervision, learning models, stages of development and transitions in supervisee-supervisor development, knowledge and skills related to supervision intervention options, awareness of individual differences and learning styles of supervisor and supervisee, awareness and acknowledgement of cultural differences and multicultural competencies needed by supervisors, recognition of relational dynamics in the supervisory relationship, and awareness of the developmental process of the supervisory relationship itself;
Management and administration, which includes organizational processes and procedures for recordkeeping, reporting, monitoring of supervisee's cases, collaboration, research and evaluation; agency or institutional policies and procedures for handling emergencies, case assignment and case management, roles and responsibilities of supervisors and supervisees, and expectations of supervisory process within the institution or agency; institutional processes for managing multiple roles of supervisors, and summative and formative evaluation processes; and
Professional responsibilities, which includes ethical and legal issues in supervision including dual relationships, competence, due process in evaluation, informed consent, types of supervisor liability, privileged communication, and consultation; regulatory issues including counseling supervision, professional standards and credentialing processes in counseling, reimbursement eligibility and procedures, and related institutional or agency procedures; and

(b) The board-approved supervisor training course shall be conducted by an instructor who is a licensed professional clinical counselor and who has demonstrated proficiency in the curriculum established in paragraph (a) of this subsection.

(3) Nothing in this section shall preclude the board from considering information provided by the applicant warranting the issuance of the supervisor designation.

(4) Licensed professional clinical counselors engaged in training supervision shall be called a licensed professional clinical counselor supervisor and may use the acronym LPCC-S.

Section 2. A supervisor of record shall assume responsibility for the practice of the supervisee. A supervisor shall not serve as a supervisor of record for more than nine (9) persons obtaining experience for licensure at the same time. Any supervisor with more than nine (9) supervisees on or before April 1, 2024, shall reduce the number of supervisees to nine (9) or less through attrition and shall not accept new supervisees until the supervisor has fewer than nine (9) supervisees of record.

Section 3. A supervisor who is placed under discipline shall be ineligible to act as a supervisor and shall not become eligible to apply for reinstatement as a supervisor earlier than two (2) years following the completion of any disciplinary action, including completion of any suspension or probationary period. Further, a board-approved supervision training shall be required prior to reinstatement.

Section 4. Incorporation by Reference.

(1) "LPCC-S Application", DPL-LPC-03, December 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 St, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:00 p.m. This material is also available on the board's website at https://lpc.ky.gov.

History

RELATES TO: KRS 335.500(4), 335.505(4), 335.525(1)(e), 5(a)
STATUTORY AUTHORITY: KRS 335.515(1), (3), (5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.525(1)(e) requires an applicant for a professional clinical counselor license to have acquired 4,000 hours of experience in the practice of counseling under approved supervision. KRS 335.515(3) requires the board to promulgate administrative regulations to implement KRS 335.500 to 335.599, relating to licensed professional counselors. KRS 335.525(5)(a) requires a licensed professional counselor associate to maintain ongoing supervision as approved by the board. This administrative regulation establishes the qualifications of a supervisor and establishes the roles and responsibilities of the supervisor.
History: 43 Ky.R. 840, 1405; eff. 3-31-2017; 44 Ky.R. 274, 1224; eff. 1-5-2018; 50 Ky.R. 901, 1550, 1677; eff. 2-16-2024.

201 KAR 36:080 Inactive and retired licensure status {#sec-201-kar-36-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:080}

Section 1. Inactive licensure status may be granted to a licensed professional clinical counselor and a licensed professional counselor associate pursuant to KRS 335.515(9) upon written request to the board.

(1) The licensee shall be relieved of his or her obligation to pay the renewal fee, but shall meet the requirements for continuing education as established in 201 KAR 36:030.

(2) The licensee may return to active status within three (3) years of being granted inactive licensure status upon:

(a) Written notification to the board;

(b) Payment of the current renewal fee as set forth in 201 KAR 36:020; and

(c) Demonstration of compliance with all continuing education requirements, as established in 201 KAR 36:030, for each year during the period of inactive licensure status.

(3)

(a) If the licensee does not reactivate his or her license before the third anniversary date of the granting of inactive licensure status, then the license shall be forfeited.

(b) Following forfeiture of a license under the provisions of this subsection, any person desiring to practice professional counseling in the Commonwealth of Kentucky shall:

File with the board a new Application for Licensed Professional Clinical Counselor and Licensing Via Endorsement for Reciprocity, or Application for Licensed Professional Counselor Associate, as incorporated by reference in 201 KAR 36:070;
Pay the initial fees for application and licensure as established in 201 KAR 36:020; and
Meet current requirements for initial licensure, as established by statute and administrative regulation.

Section 2. Retired status may be granted to a licensed professional clinical counselor and a licensed professional counselor associate pursuant to KRS 335.515(9) upon written request to the board.

(1) A licensee may be granted retired status if that individual:

(a) Is at least sixty-five (65) years old;

(b) Has requested retired status at the beginning of the license renewal period; and

(2) A licensee who has been granted retired status shall not be required to meet the continuing education requirements under 201 KAR 36:030.

(3) The licensee shall be relieved of the obligation to pay the renewal fee.

(4) Following the retirement of a license under the provisions of this subsection, any person desiring to practice professional counseling in the Commonwealth of Kentucky shall:

(a) File with the board a new Application for Licensed Professional Clinical Counselor and Licensing Via Endorsement for Reciprocity, or Application for Licensed Professional Counselor Associate, as incorporated by reference in 201 KAR 36:070;

(b) Pay the initial fees for application and licensure as established in 201 KAR 36:020; and

(c) Meet current requirements for initial licensure, as established by statute and administrative regulation, including retaking the examination.

History

RELATES TO: KRS 335.515(9)
STATUTORY AUTHORITY: KRS 335.515(3), (9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.515(3) requires the board to promulgate administrative regulations to carry out and enforce the provisions of KRS 335.500 to 335.599. KRS 335.515(9) authorizes the board to grant retired or inactive status to a credential holder under the conditions set forth by administrative regulation. This administrative regulation establishes the requirements for retired and inactive licensure status.
History: 41 Ky.R. 337; Am. 1312; eff. 12-17-2014; Cert Eff. 11-19-2021.

201 KAR 36:090 Administrative hearings for denials and revocation of probation {#sec-201-kar-36-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:090}

Section 1. Right of Administrative Hearing from a Denial of or Refusal to Renew or Reinstate a License.

(1) The board shall issue written notice of the denial informing the applicant:

(a) Of the specific reason for the board's action, including:

The statutory or regulatory violation; and
The factual basis on which the denial is based; and

(b) That the applicant may appeal the pending denial to the board within twenty (20) calendar days after receipt of this notification, excluding the day he or she receives notice, or the date that the notification is returned to the board as unclaimed.

(2) A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days after receipt of this notification, excluding the day the applicant receives notice, or the date that the notification is returned to the board as unclaimed The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

(3) If the request for an appeal is not timely filed, the notice of denial shall be effective upon the expiration of the time for the certificate holder to request an appeal.

(4) The documentary evidence shall be limited to the application and supporting documents submitted to the board during the application process and that was considered as part of the denial of the application.

(5) A renewal applicant may petition the board, in writing, for a stay of the denial of the license until completion of the administrative hearing process.

Section 2. Revocation of Probation.

(1) If the board moves to revoke probation, the board shall issue written notice of the revocation and inform the probationee:

(a) Of the factual basis on which the revocation is based;

(b) Of each probation term violated;

(d) That the probationee may appeal the revocation to the board within twenty (20) calendar days after receipt of this notification, excluding the day he or she receives notice, or the date that the notification is returned to the board as unclaimed. The notification shall be sent to the last known address on file with the board for the certificate holder.

(2) A written request for an administrative hearing shall be filed with the board within twenty (20) calendar days after receipt of this notification, excluding the day the probationee receives notice, or the date that the notification is returned to the board as unclaimed. The request shall identify the specific issues in dispute and the legal basis on which the board's decision on each issue is believed to be erroneous.

(3) If the request for an administrative hearing is not timely filed, the revocation shall be effective upon the expiration date for the certificate holder to request an appeal.

Section 3. A request for an administrative hearing shall be sent to the Kentucky Board of Licensed Professional Counselors by mail to P.O. Box 1360, Frankfort, Kentucky 40602 or by hand-delivery to 500 Mero Street, Frankfort, Kentucky 40601.

Section 4. An administrative hearing shall be governed in accordance with KRS Chapter 13B.

Section 5. If the final order of the board is adverse to a licensee or applicant, or if the hearing is scheduled at the request of a licensee or applicant for relief from sanctions previously imposed by the board, the costs in an amount equal to the cost of stenographic services, the cost of the hearing officer, and the board's attorney fees may be assessed against the licensee or applicant. In a case of financial hardship, the board may waive all or part of the fee.

History

RELATES TO: KRS 335.515(3), (4), 335.545
STATUTORY AUTHORITY: KRS 335.515(3), (4), (7)
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. KRS 335.515(4) requires the board to conduct administrative hearings as necessary pursuant to KRS Chapter 13B. This administrative regulation establishes the procedures for an individual to request an administrative hearing from the denial of or refusal to renew or reinstate a license, or revocation of probation.
History: 43 Ky.R. 843, 1412, 1546; eff. 843, 1412, 1546; eff. 3-31-2017; 50 Ky.R. 912, 1554, 1683; eff. 2-16-2024.

201 KAR 36:100 Counseling compact {#sec-201-kar-36-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 36:100}

Section 1. The Board of Licensed Professional Counselors shall comply with all rules of the Counseling Compact, which includes the Counseling Compact Rules as of October 14, 2025.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference: "The Counseling Compact Rules", October 14, 2025, and as revised.

(a) Chapter 2 – Definitions, adopted October 25, 2023;

(b) Chapter 3 – Examination Requirements, adopted October 25, 2023;

(d) Chapter 5 – Rulemaking on Legacy Eligibility for Privilege to Practice, adopted October 8, 2024;

(e) Chapter 6 – Rulemaking on Implementing Criminal Background Checks, adopted October 8, 2024; and

(f) Chapter 7 – Rulemaking on Fees, adopted February 12, 2025.

(2)

(a) 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 40602, Monday through Friday, 8 a.m. to 4:30 p.m.; or

(b) This material may also be obtained on the Board of Licensed Professional Counselors' Web site at https://lpc.ky.gov/.

(3) This material may also be obtained at:

(a) The Counseling Compact Commission, 108 Wind Haven Drive, Suite A, Nicholasville, Kentucky 40356; or

(b) https://counselingcompact.org/compact-commission/rulemaking/.

History

RELATES TO: KRS 335.560
STATUTORY AUTHORITY: KRS 335.515, 335.560
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.560, Section 16.B.1. requires the Board of Licensed Professional Counselors to review any rule adopted by the Counseling Compact pursuant to Section 11 of KRS 335.560 within sixty (60) days of adoption for the purpose of filing the rule as an emergency administrative regulation pursuant to KRS 13A.190 and for filing the rule as an accompanying ordinary administrative regulation pursuant to KRS Chapter 13A. This administrative regulation incorporates by reference the rules adopted by the Counseling Compact.
History: 201 KAR 036:100. 50 Ky.R. 1798; eff. 6-18-2024; 52 Ky.R. 1305, 1776; eff. 6-18-2024; 52 Ky.R. 1194; eff. 6-16-2026.

Chapter 37 Kentucky Veterans’ Program Trust Fund

201 KAR 37:010 Kentucky Veterans' Program Trust Fund, administration of fund {#sec-201-kar-37-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 37:010}

Section 1. Definitions.

(1) "Board" means the Board of Directors of the Kentucky Veterans' Program Trust Fund.

(2) "Commissioner" means the Commissioner of the Kentucky Department of Veterans' Affairs.

(3) "Fund" means the Kentucky Veterans' Program Trust Fund.

(4) "Honorably separated veteran" means an individual discharged or released from the military with an honorable discharge, a discharge under honorable conditions, or a general discharge.

Section 2. Expenditures and Fundraising.

(1) Upon board approval in accordance with this subsection and subsection (2) of this section, money appropriated from the fund shall be expended for a program or request that provides assistance that directly benefits a veteran, including the following veterans and activities:

(a) A homeless veteran;

(b) An indigent veteran in need of emergency assistance;

(c) An incarcerated veteran in need of emergency assistance that cannot otherwise be provided by the criminal justice system;

(d) A wounded, disabled, or other veteran who needs transportation to a VA medical facility and who cannot arrange for transportation because of a lack of financial means;

(e) Assistance to a veteran to obtain employment through job fairs, training programs, job placement services, other similar programs, or a combination of these;

(f) A wounded or disabled veteran as determined by the U.S. Department of Veterans' Affairs, and including those veterans diagnosed with post-traumatic stress disorder arising from military service;

(g) A wounded or disabled veteran returning from combat in need of specialized therapeutic services that cannot be provided by the U.S. Department of Veterans' Affairs or the Kentucky Department of Veterans' Affairs;

(h) Dissemination of veteran benefit information through circulars, brochures, and other media;

(i) Services or goods for a veteran who is a resident in a long-term care facility operated by the Kentucky Department of Veterans' Affairs that cannot otherwise be provided by the department but that will improve the veteran's quality of life;

(j) Services or goods for state veterans' cemeteries operated by the Kentucky Department of Veterans' Affairs that cannot otherwise be provided by the department, but that will enhance the dignity, solemnity, and respect shown for each veteran interred at the cemetery;

(k) Other assistance to ensure that each veteran interred in a state veterans' cemetery receives burial honors befitting of the veteran's service to the Commonwealth and country;

(l) Assistance to a veterans' service organization for training members to assist veterans; and

(m) Programs, events, memorials, monuments, and other projects that bring public recognition and awareness to the sacrifices, needs, and contributions of Kentucky's veterans.

(2) Money appropriated from the fund shall not be expended for:

(a) Construction, renovation, or maintenance of a meeting hall, clubhouse, or similar facility for use by a veterans' organization;

(b) Entertainment costs;

(d) Support of a federally administered facility if the support is prohibited by law; or

(e) A program that is already funded by the state or federal government.

(3) Fundraising. If fundraising on behalf of the fund, the fund may accept a gift, donation, or grant from an individual, a corporation, or government entity.

Section 3. Board of Directors.

(1) The board of directors shall consist of eleven (11) members, including:

(a) The commissioner;

(b) The commissioner's designee from Kentucky Department of Veterans' Affairs;

Joint Executive Council of Veterans Organizations of Kentucky; and
Governor's Advisory Board for Veterans' Affairs;

(d) A representative of the following organizations appointed by the Governor pursuant to subsection (3) of this section:

The American Legion, Department of Kentucky;
The Veterans of Foreign Wars, Department of Kentucky;
The Disabled American Veterans, Department of Kentucky;
AMVETS, Department of Kentucky; and
The Kentucky National Guard; and

(e) Two (2) at-large members appointed by the Governor.

(2)

(a) The commissioner shall serve as chair of the board of directors.

(b) The board of directors shall hold an election to fill the position of vice-chair.

(3)

(a) An organization specified in subsection (1)(d) of this section shall recommend two (2) members of that organization for appointment to the board of directors.

(b) The governor shall appoint one (1) member of each organization from the names submitted by the organization.

(4) At least one (1) member of the board of directors shall be an honorably separated veteran.

(5) Terms of members.

(a) Except in cases of retirement from the board, resignation, or other inability or unwillingness to serve, the initial appointments to the board of directors shall be as established in subparagraphs 1. through 3. of this paragraph.

A member appointed pursuant to subsection (1)(c) of this section shall serve for a period of three (3) years.
A member appointed pursuant to subsection (1)(d) of this section shall serve for a period of two (2) years.
A member appointed pursuant to subsection (1)(e) of this section shall serve for a period of one (1) year.

(b) Except in cases of retirement from the board, resignation, or other inability or unwillingness to serve, after the initial appointments established pursuant to paragraph (a) of this section, a member, if reappointed, shall serve for a period of three (3) years.

(6) The board of directors shall:

(a) Meet at the call of the commissioner;

(b) Inform organizations represented on the board of each action considered or taken by the board;

(d) Prioritize projects;

(e) Investigate the need for a specific project or program;

(f) Establish guidelines for a project;

(g) Make a recommendation to the commissioner for the utilization and control of funds in the fund; and

(h) Prepare an annual report providing an accounting of the fund assets and financial activity for each fiscal year.

(7) The commissioner of the fund shall assign duties as appropriate to department staff or members of the board for the conduct of business by the board including maintaining the records of the fund that are required for the administration of the Veterans' Program Trust Fund and approved projects.

Section 4. Board Procedures.

(1) Board meetings shall be conducted in a civil and cordial manner.

(a) A quorum for voting purposes shall be reached upon six (6) directors being present.

(b) A request may be approved if a simple majority of those present vote in favor of the request.

(d) In the case of a tie vote, the chair may call for more discussion and a second vote. If a tie results on the second vote, the request shall be tabled and only brought before the board by a new request at a future meeting.

(e) Each director may discuss procedural matters with an applicant prior to a board meeting, but shall not attempt to influence other directors on how to vote until the chair convenes the board meeting, the applicant makes a presentation, and discussion takes place.

(f) Votes on every issue shall be recorded in the minutes indicating the nature of the request, the final vote, the name of each voting member who voted, and how that member voted.

(2)

(a) For alternatives to in-person voting, the chair shall authorize meetings via telephone conference call as well as proxy voting if the chair concludes special circumstances warrant an alternative such as the requester is outside the country or is disabled.

(b) Any person, agency, or organization requesting funds from the fund shall make a request in person to the Board of Directors at a scheduled board meeting unless the chair authorizes presentation by electronic means.

(3)

(a) Once funds are authorized, the requesting person, agency, or organization shall file a written report detailing how the money requested fulfilled the purpose of the request within thirty (30) days of fulfilling the purpose of the request.

(b) Funds shall not be transferred to the person, agency, or organization until the funds are immediately needed to satisfy the purpose of the request.

(c) Funds obligated but not used within one (1) year of approval shall be returned to the Trust Fund and a new request shall be submitted to the Board of Directors if the requesting party still seeks to undertake the project.

History

RELATES TO: KRS 40.310(3), (7), 40.353(5), 40.460(2)(b), 141.444, 186.162(2), 186.168, 434.444(5)
STATUTORY AUTHORITY: KRS 40.310(3), (7), 40.450(3), 40.460(2)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 40.450(3) requires the department to promulgate administrative regulations required for the effective administration of KRS 40.310 through 40.560. KRS 40.310(3) authorizes the Department of Veterans' Affairs to accept gifts, grants, and other contributions from a governmental unit and authorizes the department to administer these funds through the use of trust and agency accounts. KRS 40.310(7) requires the department to manage the fund and authorize expenditures once the board has approved a request for funds. KRS 40.460(2)(b) establishes the Veterans' Program Trust Fund. This administrative regulation establishes a board of directors to administer the fund and establishes criteria for expenditures made from the fund.
History: 20 Ky.R. 1427; Am. 1780; eff. 1-10-1994; recodified from 106 KAR 2:010, 10-20-1997; 24 Ky.R. 1544; 1871; eff. 3-16-1998; 31 Ky.R. 1345; 1517; eff. 3-11-2005; 35 Ky.R. 2798; 36 Ky.R. 573; eff. 10-2-2009; 41 Ky.R. 562; 1046; eff. 12-5-2014; Cert eff. 8-7-2020.

Chapter 38 Board of Licensure for Pastoral Counselors

201 KAR 38:010 Definitions for 201 KAR Chapter 38 {#sec-201-kar-38-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 38:010}

Section 1. Definitions.

(1) "Clinical supervision" means the process of utilizing a partnership aimed at enhancing the professional development of supervisees in providing pastoral counseling services.

(2) "Equivalent course of study" means a master's, doctoral degree, or accredited training program in pastoral counseling from a regionally accredited institution in a mental health field closely related to pastoral counseling which either contains, or has been supplemented by, the coursework in each of the basic core areas listed in 201 KAR 38:030, Section 2.

History

RELATES TO: KRS 335.620
STATUTORY AUTHORITY: KRS 335.615(1)-(4), (6)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.620 establishes the requirements for licensure as a licensed pastoral counselor. The board is required to review the applications of applicants for licensure. This administrative regulation establishes the definitions used in 201 KAR Chapter 38.
History: 26 Ky.R. 282; Am. 587; eff. 9-15-1999; TAm eff. 7-17-2014; Crt eff. 2-21-2020.

201 KAR 38:040 Fees {#sec-201-kar-38-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 38:040}

Section 1. Initial Licensure Fee.

(1) The initial fee for licensure as a licensed pastoral counselor shall be $400.

(2) If an application for licensure is denied, the board shall refund $250 of the initial licensure fee.

Section 2. Written Examination Fee. The fee for taking the written examination of the Kentucky Board of Licensure for Pastoral Counselors, the Kentucky Pastoral Counselors Examination, shall be $150.

History

RELATES TO: KRS 335.620(1)
STATUTORY AUTHORITY: KRS 335.615(6); 335.620(1), (8)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.615(6) and 335.620(1) require the board to establish an initial fee for licensure. KRS 335.620(8) requires an applicant who has not received certification before July 1, 1999, to pass a written examination approved by the board. This administrative regulation establishes the initial fee for licensure and the fee for taking the written examination.
History: 26 Ky.R. 285; Am. 589; eff. 9-15-1999; 29 Ky.R. 1871; eff. 3-19-2003; TAm eff. 7-17-2014; Crt eff. 2-21-2020.

201 KAR 38:060 Code of ethics {#sec-201-kar-38-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 38:060}

Section 1. Identification of a Client.

(1) A client shall be a person who receives a counseling, psychotherapeutic, or other professional service from a licensed pastoral counselor.

(2) A person identified as a client pursuant to subsection (1) of this section shall be deemed to continue to be a client for a period of two (2) years following the last date of service rendered to that client.

Section 2. Responsibility to Clients.

(1) A licensed pastoral counselor shall:

(a) Advance and protect the welfare of his client;

(b) Respect the rights of persons seeking his assistance; and

(2) A licensed pastoral counselor shall not:

(a) Exploit the trust and dependency of a client;

(b)

Except as provided by subparagraph 2 of this paragraph, engage in a dual relationship with a client, including a social, business, or personal relationship, that may:

a. Impair professional judgment;

b. Incur a risk of exploitation of the client; or

c. Otherwise violate a provision of this administrative regulation.

If a dual relationship cannot be avoided, and does not impair professional judgment, incur a risk of exploitation of the client, or otherwise violate a provision of this administrative regulation, a pastoral counselor shall take appropriate professional precautions to ensure that judgment is not impaired and exploitation of the client does not occur;

(c) Engage in a sexual relationship with a current client or with a former client for two (2) years following the termination of pastoral counseling;

(d) Use his professional relationship with a client to further his own interests;

(e) Continue a pastoral counseling relationship unless it is reasonably clear that the client is benefiting from the relationship;

(f) Fail to assist a person in obtaining other pastoral counseling services if the pastoral counselor is unable or unwilling, for appropriate reasons, to provide professional help;

(g) Abandon or neglect a client in treatment without making reasonable arrangements for the continuation of treatment;

(h) Videotape, record, or permit third-party observation of a pastoral counseling session without having first obtained written informed consent from the client;

(j) Diagnose, treat, or advise on problem outside the recognized boundaries of his competence.

Section 3. Confidentiality.

(1) A licensed pastoral counselor shall respect and guard the confidences of each individual client.

(2) A licensed pastoral counselor shall not disclose a client confidence except:

(a) As mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person;

(c) If the pastoral counselor is a defendant in a civil, criminal, or disciplinary action arising from the pastoral counseling, confidences may be disclosed only in the course of that action; or

(d) If a waiver has been obtained in writing, confidential information shall be revealed only in accordance with the terms of the waiver. If more than one (1) person in a family receives pastoral counseling, unless a waiver is executed by each family member receiving pastoral counseling, who is legally competent to execute a waiver, a pastoral counselor shall not disclose information received from any family member.

(3) A pastoral counselor may use client or clinical materials in teaching, writing, and public presentations if:

(a) A written waiver has been obtained in accordance with subsection (2)(d) of this section; or

(b) Appropriate steps have been taken to protect client identity and confidentiality.

(4) A pastoral counselor shall store or dispose of client records so as to maintain confidentiality.

Section 4. Responsibility to a Student or Supervisee.

(1) A licensed pastoral counselor shall not exploit the trust and dependency of a student or supervisee.

(2) A licensed pastoral counselor shall:

(a) Be aware of his influential position with respect to a student or supervisee; and

(b) Avoid exploiting the trust and dependency of these persons.

A pastoral counselor shall make every effort to avoid a dual relationship, including a social, business, or personal relationship, with a student or supervisee that may impair professional judgment or increase the risk of exploitation.
If a dual relationship cannot be avoided, a pastoral counselor shall take appropriate professional precautions to ensure judgment is not impaired and no exploitation occurs.
A pastoral counselor shall not provide pastoral counseling to a student, employee or supervisee.
A pastoral counselor shall not engage in sexual intimacy or contact with a student or supervisee.

(3) A pastoral counselor shall not permit a student or supervisee to perform or to hold himself out as competent to perform professional services beyond his level of training, experience, and competence.

(4) A pastoral counselor shall not disclose a student's or supervisee's confidence except:

(a) As mandated, or permitted by law;

(b) To prevent a clear and immediate danger to a person or persons;

(c) If the pastoral counselor is a defendant in a civil, criminal, or disciplinary action arising from the supervision, the student's or supervisee's confidence may be disclosed only in the course of that action;

(d) In an educational or training setting if there are multiple supervisors, to other professional colleagues who share responsibility for the training of the supervisee; or

(e) If there is a waiver previously obtained in writing, information shall be revealed only in accordance with the terms of the waiver.

Section 5. Financial Arrangements.

(1) A pastoral counselor shall make financial arrangements with a client, third-party payer, or supervisee that are reasonably understandable and conform to accepted professional practices.

(2) A pastoral counselor shall:

(a) Not offer or accept payment for referrals;

(b) Not charge excessive fees for services;

(d) Represent facts truthfully to clients, third-party payers, and supervisees regarding services rendered.

Section 6. Advertising.

(1) A licensed pastoral counselor shall:

(a) Accurately represent his education, training, and experience relevant to his practice of pastoral counseling; and

(b) Not use professional identification, including a business card, office sign, letterhead, or telephone or association directory listing if it includes a statement or claim that is false, fraudulent, misleading, or deceptive pursuant to subsection (2) of this section.

(2) A statement shall be false, fraudulent, misleading, or deceptive if it:

(a) Contains a material misrepresentation of fact;

(b) Fails to state a material fact necessary to make the statement, in light of all circumstances, not misleading; or

Section 7. Professional Competence and Integrity. A pastoral counselor shall maintain standards of professional competence and integrity and shall be subject to disciplinary action as provided in KRS 335.635:

(1) Upon conviction of a felony, or a misdemeanor involving moral turpitude, or a misdemeanor related to his practice as a pastoral counselor. Conviction shall include conviction based on:

(a) A plea of no contest or an "Alford Plea"; or

(b) The suspension or deferral of a sentence or conditional discharge;

(2) If his license or certificate to practice a health profession issued by another state's regulatory agency has been disciplined, or had a license or certificate to practice denied, by that state's regulatory agency;

(3) If his license or certificate to practice a health profession issued by another Kentucky regulatory agency has been disciplined or had a license or certificate to practice denied, by that Kentucky regulatory agency;

(4) Upon a showing of impairment due to mental or physical incapacity or the abuse of alcohol or other substances which may negatively impact the practice of pastoral counseling;

(5) If he misrepresented or concealed a material fact in obtaining a license or seeking reinstatement of a license, or seeking renewal of a license;

(6) If he has refused to comply with an order issued by the board; or

(7) If he has failed to cooperate with the board by not:

(a) Furnishing in writing a complete explanation to an initiating complaint filed with the board;

(b) Appearing before the board or a designated representative of the board at the time and place designated; or

(8) Violated any statutory or regulatory section of KRS Chapter 335.

History

RELATES TO: KRS 335.615(5)
STATUTORY AUTHORITY: KRS 335.615(5), (6)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.615(5) requires the board to promulgate a code of ethics for Licensed pastoral counselors. This administrative regulation establishes the required code of ethics.
History: 26 Ky.R. 286; Am. 589; eff. 9-15-1999; TAm eff. 7-17-2014; Crt eff. 2-21-2020.

201 KAR 38:070 Renewal of licenses and continuing education {#sec-201-kar-38-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 38:070}

Section 1. Renewal. Each license holder of the board shall renew his or her license as required by KRS 335.625 on or before a date that is three (3) years from the date of his or her original license or last renewal by submitting to the board a completed Renewal Application.

Section 2. Renewal Fees and Penalties. The following fees shall be paid in connection with all renewals of licenses of the board.

(1) The renewal fee for licensure shall be $300.

(2) The late renewal fee, including penalty, for renewal of licensure during the three (3) month grace period shall be $400.

(3) The reinstatement fee for reinstatement and renewal of licensure after the expiration of the three (3) month grace period and before the expiration of one (1) year after the renewal date, including penalty, shall be $500.

Section 3. Continuing Education.

(1) Each license holder of the board, before his or her license renewal date, shall obtain twenty (20) clock or credit hours of continuing education completed since the date of the last renewal of the license or the date of the original issuance of the license, whichever is later. Continuing education shall be obtained from any of the following providers or for any of the following activities:

(a) Individual or group supervision of other license holders of this board at the supervisory level;

(b) Attendance at any mental health educational conferences, continuing education seminars, or educational meetings where seminars are provided in a live or two (2) way video presentation format and which are approved for continuing education by:

The American Association of Pastoral Counselors;
The Kentucky Board of Licensure of Marriage and Family Therapists;
The Kentucky Board of Medical Licensure;
The Kentucky Board of Examiners of Psychology;
The Kentucky Board of Alcohol and Drug Counselors;
The Kentucky Board of Licensure for Professional Art Therapists;
The Kentucky Board of Licensed Professional Counselors;
The Kentucky Board of Social Work;
The Kentucky Board of Nursing;
Kentucky Association of Pastoral Counselors;
The Association for Clinical Pastoral Education;
Interactive CE Training, LLC; or
A mental health credentialing agency or board of any other state in the United States for which continuing education credit is awarded in that state;

(c) Writing and publishing professionally-related articles in mental health publications regarding pastoral counseling which shall not be counted for more than five (5) hours.

(2) A person holding a license shall complete a minimum of six (6) hours of continuing education in suicide assessment, treatment, and management within the first year of licensure and at least once every six (6) years thereafter as required by KRS 210.366. A person holding a license shall be exempt from the requirement to complete a continuing education course in suicide assessment, treatment, and management at least once every six (6) years if, during the six (6) year requirement, the licensee teaches a:

(a) Graduate-level psychology course in suicide assessment, training, and management; or

(b) Continuing education course in suicide assessment, training, and management at least once during the six (6) year period.

(3) If audited by the board, the license holder shall submit written proof of compliance with this section to the board within ten (10) days of notice from the board that this proof is required.

Section 4. Expired Licenses.

(1) A person holding a license shall not represent himself or herself as a licensed pastoral counselor in this state after the renewal date of his or her license unless:

(a) That license has been renewed as provided by this administrative regulation;

(b) The license holder has retained proof of continuing education as set forth by Section 3 of this administrative regulation; and

(2) All licenses not renewed within three (3) months after the renewal date shall be expired for nonrenewal.

Section 5. Duplicate License Fees. The fee for a duplicate certificate shall be twenty-five (25) dollars.

Section 6. Incorporation by Reference.

(1) "Renewal Application for Licensure as a Pastoral Counselor", December 2016, 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 Pastoral Counselors, 500 Mero Street, 2 SC 32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 210.366, 335.625, 335.640, 335.650
STATUTORY AUTHORITY: KRS 210.366, 335.615(6), 335.625
NECESSITY, FUNCTION, AND CONFORMITY: KRS 335.615(6) requires the board to promulgate administrative regulations to implement the purposes of KRS 335.600 to 335.699. KRS 335.625(1) requires the board to establish the renewal fee in an administrative regulation. KRS 210.366 requires a board licensee to complete a minimum of six (6) hours of continuing education in suicide assessment, treatment, and management at least once every six (6) years. KRS 335.625(1)(b) requires licensees to obtain twenty (20) hours of continuing education each renewal cycle. This administrative regulation establishes all fees charged by the board necessary for renewal of licenses and establishes all required continuing education necessary for renewal of licenses.
History: 28 Ky.R. 1013; Am. 1362; eff. 12-19-2001; TAm eff. 7-17-2014; 42 Ky.R. 1916; 2327; eff. 3-4-2016; 43 Ky.R. 1259, 1550; eff. 3-31-2017; 47 Ky.R. 792; eff. 2-4-2021.

Chapter 39 Board of Interpreters of the Deaf and Hard of Hearing

201 KAR 39:001 Definitions for 201 KAR Chapter 39 {#sec-201-kar-39-001 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:001}

Section 1. Definitions.

(1) "American Sign Language Proficiency Interview (ASLPI) as administered by Gallaudet University" means the assessment that rates the ability to use American Sign Language grammar and vocabulary in most formal and informal conversations on social and work topics.

(2) "BEI" means the Board for Evaluation of Interpreters sponsored by the Department of Assistive and Rehabilitative Services in Texas, and the University of Arizona National Center for Interpretation Testing, Research, and Policy.

(3) "Board-approved supervisor" means a licensed interpreter in this state or the resident of another state who meets the requirements established by 201 KAR 39:075.

(4) "CASLI" means the Center for Assessment of Sign Language Interpretation.

(5) "CGKE" means the CASLI Generalist Knowledge Exam and is an exam administered by CASLI to both hearing and deaf candidates.

(6) "CGPE-NIC" means the CASLI Generalist Performance Exam-NIC administered to hearing candidates after passing the CGKE.

(7) "CGPE-CDI" means the CASLI Generalist Performance Exam-CDI administered to deaf candidates after passing the CGKE.

(8) "Certificate of Interpretation (CI) granted by RID" means a certificate indicating that the holder has demonstrated the ability to interpret between American Sign Language and spoken English in both sign-to-voice and voice-to-sign, without consideration of the interpreter's ability to transliterate.

(9) "Certificate of Transliteration (CT) granted by RID" means a certificate indicating that the holder has demonstrated the ability to transliterate between English-based sign language and spoken English in both sign-to-voice and voice-to-sign, without consideration of the transliterator's ability to interpret.

(10) "Certified Deaf Interpreter (CDI) granted by RID" means a certificate indicating the holder of this certificate is an interpreter who is deaf or hard of hearing, has passed comprehensive written and performance tests, and is recommended for a broad range of assignments where an interpreter who is deaf or hard of hearing would be beneficial.

(11) "Chair" means the chair or vice-chair of the board.

(12) "Charge" means a specific allegation contained in a formal complaint issued by the board alleging a violation of a specified provision of KRS 309.300 to 309.319, 201 KAR Chapter 39, or any other state or federal statute or administrative regulation.

(13) "Complaint" means any written or recorded allegation of misconduct by a licensed individual that might constitute a violation of KRS 309.300 to 309.319, 201 KAR Chapter 39, or any state or federal statute regulating the practice of interpreting.

(14) "Complaint screening committee" means a committee consisting of three (3) persons on the board appointed by the chairman of the board to review complaints and investigative reports, and to participate in informal proceedings to resolve a formal complaint or recommend action to the board.

(15) "Comprehensive Skills Certificate (CSC) granted by RID" means a certificate indicating that the holder has demonstrated the ability to interpret between American Sign Language and Spoken English and to transliterate between spoken English and an English-based sign language.

(16) "Conditional Legal Interpreting Permit-Relay (CLIP-R) granted by RID" means that the holder of this conditional permithas completed a RID-recognized training program designed for interpreters and transliterators who work in legal settings, who are also deaf or hard of hearing, and who are recommended for a broad range of assignments in the legal setting.

(17) "Cued Language Transliterator National Certification Examination (CLTNCE)" means the examination that measures skills that satisfy the TECUnit minimum standard of both knowledge and skills in cued language transliteration and passage of which is required to recommend the individual for limited settings that require cued speech.

(18) "Deaf Interpreter" means an individual who is deaf or hard of hearing and holds licensure or temporary licensure indicating the holder is an interpreter who is deaf or hard of hearing, has submitted proof of qualification to the board, and is recommended for a broad range of assignments where an interpreter who is deaf or hard of hearing would be beneficial.

(19) "Deaf or Hard of Hearing Individuals" means individuals who have hearing disorders and who cannot hear and understand speech clearly through the ear alone with or without amplification, as verified by a licensed medical professional specializing in the provision of services to the deaf and hard of hearing.

(20) "Education Interpreter Performance Assessment (EIPA) granted by Boys Town National Research Hospital" means a proficiency assessment for K-12 interpreting only, which indicates that the holder:

(a) Has demonstrated the ability to expressively interpret classroom content and discourse;

(b) Has demonstrated the ability to receptively interpret student sign language;

(d) Is recommended to work with students who predominately use American Sign Language (ASL), Manually-Coded English (MCE), or Pidgin Sign English (PSE).

(21) "Educational Certificate: K-12 (Ed: K-12) granted by RID" means that the holder has demonstrated:

(a) The ability to interpret classroom content, discourse, and student sign language; and

(b) Proficient expressive and receptive interpreting skills in all elementary and secondary school classroom settings.

(22) "Formal complaint" means a formal administrative pleading authorized by the board that:

(a) Sets forth charges against a licensed individual or other person; and

(b)

Commences a formal disciplinary proceeding pursuant to KRS Chapter 13B; or
Requests the court to take criminal or civil action.

(23) "Informal proceedings" means the proceedings instituted at any stage of the disciplinary process with the intent of reaching a dispensation of any matter without further recourse to formal disciplinary procedures under KRS Chapter 13B.

(24) "Interpretation Certificate (IC) granted by RID" means that the holder has demonstrated the ability to interpret between American Sign Language and spoken English.

(25) "Interpreting Certificate/Transliteration Certificate (IC/TC) granted by RID" means that the holder has demonstrated the ability to transliterate between English and a signed code for English and the ability to interpret between American Sign Language and spoken English.

(26) "Investigator" means an individual designated by the board to assist the board in the investigation of a complaint.

(27) "Licensure year" means the period between July 1st of each year and June 30th of the following year or the time from which a license or temporary license was granted until the next June 30th.

(28) "Master Comprehensive Skills Certificate (MCSC) granted by RID" means that the holder has demonstrated a higher standard of performance than holders of the CSC and is recommended for a broad range of interpreting and transliterating assignments.

(29) "NAD" means the National Association of the Deaf.

(30) "NAD Level III (Generalist)" means that the holder has demonstrated average voice-to-sign skills, good sign-to-voice skills, and the minimum competence needed to meet generally accepted interpreter standards, except that this individual is not qualified for all situations.

(31) "NAD Level IV (Advanced)" means that the holder has demonstrated excellent voice-to-sign skills and above average sign-to-voice skills, and this individual is recommended for most situations.

(32) "NAD Level V (Master)" means that the holder has demonstrated superior voice-to-sign skills and excellent sign-to-voice skills, and this individual is recommended for a broad range of interpreting assignments.

(33) "National Interpreter Certification (NIC)" means a certification indicating that the holder has passed the NIC Knowledge exam and has scored within the standard range on the interview and performance portions of the test.

(34) "National Interpreter Certification (NIC Advanced)" means a certification indicating that the holder has passed the NIC Knowledge exam, scored within the standard range on the interview portion, and scored within the high range on the performance portion of the test.

(35) "National Interpreter Certification Master (NIC Master)" means a certification indicating that the holder has passed the NIC Knowledge exam and has scored within the high range on both the interview and performance portions of the test.

(36) "Nationally Recognized Organization" means an organization that owns or administers an interpreting skills assessment that has been adopted by law or administrative regulation by two (2) or more state agencies or state regulatory boards.

(37) "Nonresident interpreter" means a person who resides in another state and engages in the practice of interpreting for less than twenty (20) days per year without a Kentucky license.

(38) "Nonresident Interpreter Registry" means the registry required for tracking the number of days of service a nonresident interpreter provides in Kentucky that is authorized without a license.

(39) "One (1) continuing education hour" means sixty (60) contact minutes of participating in continuing education experiences.

(40) "Oral Interpreting Certificate. Comprehensive (OIC:C) granted by RID" means a certificate indicating that the holder has demonstrated the ability to transliterate a spoken message from a person who hears to a person who is deaf or hard-of-hearing and the ability to understand and repeat the message and intent of the speech and mouth movements of the person who is deaf or hard-of-hearing.

(41) "Oral Interpreting Certificate. Spoken to Visible (OIC:S/V) granted by RID" means a certificate indicating that the holder has demonstrated the ability to transliterate a spoken message from a person who hears to a person who is deaf or hard-of-hearing.

(42) "Oral Interpreting Certificate. Visible to Spoken (OIC:V/S) granted by RID" means a certificate indicating that the holder has demonstrated the ability to understand the speech and silent mouth movements of a person who is deaf or hard-of-hearing and to repeat the message for a hearing person.

(43) "Oral Transliteration Certificate (OTC) granted by RID" means a certificate indicating that the holder has demonstrated ability to transliterate a spoken message from a person who hears to a person who is deaf or hard-of-hearing and the ability to understand and repeat the message and intent of the speech and mouth movements of the person who is deaf and hard-of-hearing.

(44) "Reverse Skills Certificate (RSC) granted by RID" means a certificate indicating that the holder:

(a) Is deaf or hard of hearing; and

(b) Has demonstrated the ability to:

Interpret between American Sign Language and English-based sign language; or
Transliterate between spoken English and a signed code for English.

(45) "Revoked" means the process by which the board terminates all rights and privileges associated with that license, in settlement of a disciplinary action initiated by the board.

(46) "RID" means Registry of Interpreters for the Deaf, Inc.

(47) "Sign Language Proficiency Interview (SLPI) as developed by National Technical Institute for the Deaf" means the assessment that rates the ability to communicate expressively and receptively in a recorded one-on-one interview or conversation with a trained interviewer.

(48) "Specialist Certificate: Legal (SC:L) granted by RID" means a certificate indicating that the holder has demonstrated specialized knowledge of legal settings and greater familiarity with language used in the legal system and is recommended for a broad range of assignments in the legal setting.

(49) "Specialist Certificate: Performing Arts (SC:PA) granted by RID" means a certificate indicating that the holder has demonstrated specialized knowledge in performing arts interpretation and is recommended for a broad range of assignments in the performing arts setting.

(50) "TECUnit" means the National Training, Evaluation, and Certification Unit.

(51) "Transliteration Certificate (TC) granted by RID" means a certificate indicating that the holder has demonstrated the ability to transliterate between spoken English and a signed code for English.

(52) "Voluntary surrender" means the process by which a person who holds a license issued by the board, knowingly and willingly, returns the license to the board, forfeiting all rights and privileges associated with that license, in settlement of a disciplinary action initiated by the board.

History

RELATES TO: KRS 309.300(4), 309.301(2)(a), 309.304
STATUTORY AUTHORITY: KRS 309.304(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3) requires the Kentucky Board of Interpreters for the Deaf and Hard of Hearing to promulgate administrative regulations pertaining to the practice and licensure of a deaf or hearing interpreter, a deaf or hearing interpreter intern, or a deaf or hearing student in training. This administrative regulation establishes definitions for 201 KAR Chapter 39.
History: 38 Ky.R. 1671; 1842; eff. 6-1-2012; 44 Ky.R. 47; eff. 8-4-2017; 51 Ky.R. 89, 1095; eff. 2-5-2025.

201 KAR 39:020 Board member expenses {#sec-201-kar-39-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:020}

Section 1. The board members shall receive reimbursement for actual expenses and travel expenses to the extent authorized by 200 KAR Chapter 2.

History

RELATES TO: KRS 309.302(5), 309.306(3)
STATUTORY AUTHORITY: KRS 309.304(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.302(5) provides that members of the board shall be reimbursed for actual and necessary expenses incurred in the performance of their official duties. This administrative regulation authorizes board members to receive reimbursement for actual and necessary expenses when conducting board-related business.
History: 28 Ky.R. 1258; Am. 1606; eff. 1-14-2002; Crt eff. 2-21-2020.

201 KAR 39:030 Application; qualifications for full licensure; and certification levels {#sec-201-kar-39-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:030}

Section 1. Application. Each applicant for a full license shall:

(1) Submit a completed Application for Full Licensure form to the board;

(2) Pay the application and license fee as established in 201 KAR 39:040; and

(3) Submit proof of valid certification from one (1) of the following nationally recognized organizations:

(a) At a level recognized by RID, with the exception of NAD III;

(b) TECUnit;

(d) Another current certification from a nationally recognized organization at the requisite level for sign language interpreters, oral interpreters, or cued speech transliterators as determined by the board; or

(e) Other certifications established in 201 KAR 39:080, if applying for licensure via reciprocity.

Section 2. Appeal of Denial of an Application for Licensure.

(1) If an Application for Full Licensure is denied, the applicant shall have the right to appeal that preliminary determination.

(2) An appeal shall be:

(a) Submitted to the board in writing by certified mail; and

(b) Received by the board within thirty (30) days after the date the applicant receives the notice of preliminary denial by certified mail or by email message delivered to the addresses stated on the Application for Licensure.

(3) The appeal of a preliminary denial of an Application for Licensure shall be held in accordance with the provisions of KRS Chapter 13B.

Section 3. Certification Level Requirements for EIPA. Individuals who are fully licensed with an EIPA level 4.0 or 3.5 and passage of the EIPA written on or before January 1, 2025, shall remain entitled to full licensure if they continue to renew the license annually in compliance with all other licensure requirements. Failure to annually renew a license shall result in an applicant for reinstatement being required to achieve a nationally recognized certification required by Section 1 of this administrative regulation.

Section 4. Incorporation by Reference.

(1) "Application for Full Licensure", DPL-KBI-001, October 2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. and on the board's Web site at www.kbi.ky.gov.

History

RELATES TO: KRS 309.304(1), 309.312(1)(b)
STATUTORY AUTHORITY: KRS 309.304(3), 309.312(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3) and 309.312(1)(b) require the Kentucky Board of Interpreters for the Deaf and Hard of Hearing to promulgate an administrative regulation establishing the requirements for an applicant for licensure as an interpreter for the deaf and hard of hearing. This administrative regulation establishes these requirements.
History: 28 Ky.R. 1258; Am. 1606; eff. 1-14-2002; 38 Ky.R. 1641; 1845; eff. 6-1-2012; 39 Ky.R. 1759; 2012; eff. 5-3-2013; 42 Ky.R. 844; eff. 12-4-2015; 44 Ky.R.498; eff. 8-4-2017; 51 Ky.R. 92, 944, 1097; eff. 2-5-2025.

201 KAR 39:040 Fees {#sec-201-kar-39-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:040}

Section 1. Fees for Full Licensure.

(1) The application fee for initial licensure shall consist of the following:

(a) A nonrefundable seventy-five (75) dollar fee for general application; and

(b) A $150 fee for initial licensure, which shall be refunded if:

The application is denied; and
The applicant submits a written request for the refund.

(2) The annual renewal fee shall be $150. Renewal fees shall not be refundable.

Section 2. Fees for Temporary Licensure.

(1) The application fee for initial temporary licensure shall be seventy-five (75) dollars. This fee shall be nonrefundable.

(2) The initial licensure fee for a temporary license shall be $150. This fee shall be nonrefundable.

(3) The extension application fee to maintain or extend a temporary license shall be $150. This fee shall be nonrefundable.

Section 3. Late Renewal Fees.

(1) All licenses renewed during the sixty (60) day grace period shall require payment of a late renewal fee of $100 in addition to the current renewal fee established in Section 1(2) of this administrative regulation.

(2) Late renewal fees shall be nonrefundable.

Section 4. Reinstatement Fee.

(1) The reinstatement fee for a license terminated pursuant to KRS 309.314(3) shall be $150, in addition to the current renewal or extension application fee as established in Section 1(2) or 2(3) of this administrative regulation.

(2) The reinstatement fee shall be nonrefundable.

Section 5. Fee for a Reciprocal License.

(1) The fee for a reciprocal license shall be $250.

(2) The reciprocal license fee shall be nonrefundable.

Section 6. Duplicate License Fee. The fee for a duplicate license shall be ten (10) dollars.

History

RELATES TO: KRS 309.312(1)(a), (4), 309.306, 309.314(1), (2), (4), (6)
STATUTORY AUTHORITY: KRS 309.304(3), 309.314(1), (2), (4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3) and 309.314 require the Kentucky Board of Interpreters for the Deaf and Hard of Hearing to promulgate administrative regulations to effectively carry out the provisions of KRS 309.300 to 309.319 and to establish requirements concerning license fees. This administrative regulation establishes all fees charged by the board.
History: 28 Ky.R. 1258; Am. 1606; eff. 1-14-2002; 38 Ky.R. 1643; 1846; eff. 6-1-2012; 40 Ky.R. 641; 1397; eff. 2-3-2014; Cert eff. 2-1-2021, 51 Ky.R. 94, 1098; eff. 2-5-2025.

201 KAR 39:050 Renewal and reinstatement of full licenses {#sec-201-kar-39-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:050}

Section 1. Renewal of Full Licenses. A person licensed as an interpreter shall renew that license annually, as required by KRS 309.314(1), by submitting to the board:

(1) A completed Full License Renewal Application form;

(2) The renewal fee as established in 201 KAR 39:040;

(3) Proof of current certification of the licensee as an interpreter for the deaf and hard of hearing by a nationally recognized organization, as required by 201 KAR 39:030, Section 1(3); and

(4) Documentation of completion of the continuing education requirement established in 201 KAR 39:090.

Section 2. Grace Period. If a full license is not renewed by July 1, it may be renewed during the following sixty (60) day period, in accordance with KRS 309.314, by:

(1) Complying with the requirements established in Section 1 of this administrative regulation; and

(2) Submitting the late renewal fee established in 201 KAR 39:040, Section 3.

Section 3. Reinstatement of full license. A license not renewed prior to the close of the sixty (60) day grace period, in accordance with KRS 309.314(4), may be reinstated upon:

(1) Payment of the renewal fee plus a reinstatement fee as established by 201 KAR 39:040, Section 4(1);

(2) Submission of a completed Reinstatement Application for Full License form to the board;

(3) Submission of evidence of completion of continuing education as required by 201 KAR 39:090, Section 9; and

(4) Proof of current certification of the licensee as an interpreter for the deaf and hard of hearing by a nationally recognized organization, as required by 201 KAR 39:030, Section 1(3).

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Full License Renewal Application", DPL-KBI-002, October 2024; and

(b) "Reinstatement Application for Full License", DPL-KBI-003, October 2024.

History

RELATES TO: KRS 309.304(5), 309.312, 309.314.
STATUTORY AUTHORITY: KRS 309.304(3), 309.312, 309.314
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3), 309.312, and 309.314 require the Kentucky Board of Interpreters for the Deaf and Hard of Hearing to promulgate administrative regulations to carry out the provisions of KRS 309.300 to 309.319; to establish certification requirements for licensure; and to establish renewal and reinstatement fees. This administrative regulation establishes requirements for renewal of full licenses, and reinstatement.
History: 201 KAR 039:050. 28 Ky.R. 1258, 1606; eff. 1-14-2002; 38 Ky.R. 1643, 1846; eff. 6-1-2012; 40 Ky.R. 641, 1397; eff. 2-3-2014; Crt eff. 2-1-2021; 51 Ky.R. 96, 1098; eff. 2-5-2025.

201 KAR 39:060 Reinstatement of full license subject to disciplinary action {#sec-201-kar-39-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:060}

Section 1. Reinstatement of a Full License Revoked by Disciplinary Action of the Board.

(1) If a license has been revoked, an individual may apply for reinstatement by:

(a) Submitting a completed Reinstatement Application for Full License form, incorporated by reference in 201 KAR 39:050;

(b) Paying the initial licensure fee as established in 201 KAR 39:040 and the reinstatement fee as established in 201 KAR 39:040;

(d) Show evidence of completion of fifteen (15) hours of continuing education for each year since the date of revocation in accordance with the requirements established in 201 KAR 39:090.

(2)

(a) The board shall review the reinstatement request and determine whether to reinstate the license, based on the provisions of this subsection.

(b) Based upon the information submitted, the board shall determine if the conditions for reinstatement established in KRS 309.318(5) have been met.

(d) If the board finds that the conditions for reinstatement have not been met, or the applicant failed to comply with the requirements of this administrative regulation, the board shall refuse to reinstate the license. The applicant may then request, and the board shall grant, a hearing on the denial conducted pursuant to KRS Chapter 13B.

Section 2. Reinstatement of a Full License that was Voluntarily Surrendered as if Revoked.

(1) If a license has been voluntarily surrendered as if revoked, an individual may apply for reinstatement by:

(a) Meeting of all of the requirements of Section 1(1) of this administrative regulation; and

(b) Providing documentation of the successful completion of all requirements established in the agreed order that resulted in the voluntary surrender of the license as if revoked.

(2) For a request for reinstatement of a full license voluntarily surrendered as if revoked, the board shall review the reinstatement request, make its determination, and provide for an appeal in accordance with Section 1(2)(a) through (d) of this administrative regulation.

History

RELATES TO: KRS Chapter 13B, 309.318
STATUTORY AUTHORITY: KRS 309.304(3), 309.314
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3) requires the Kentucky Board of Interpreters for the Deaf and Hard of Hearing to promulgate administrative regulations to carry out the provisions of KRS 309.300 to 309.319. KRS 309.314 requires the board to promulgate administrative regulations concerning reinstatement and renewal fees, as well as evidence of completion of continuing education. This administrative regulation establishes the requirements for reinstatement of a license that has been the subject of disciplinary action by the board.
History: 28 Ky.R. 1262; Am. 1609; eff. 1-14-2002; 38 Ky.R. 1647; 1849; eff. 6-1-2012; Crt eff. 2-21-2020; 51 Ky.R. 98, 1099; eff. 2-5-2025.

201 KAR 39:070 Application and qualifications for temporary licensure and extensions {#sec-201-kar-39-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:070}

Section 1. Application for Temporary Licensure. Each applicant shall submit:

(1) A completed Application for Temporary Licensure;

(2) The appropriate application and licensure fees as required by 201 KAR 39:040;

(3) A Plan of Supervision for Temporary License from a board-approved supervisor, pursuant to 201 KAR 39:075;

(4) Proof documenting passage of the CGKE fundamentals of interpreting, the NIC, or EIPA Skills and Knowledge Assessment for anyone working in the K-12 school setting, within the last five (5) years of application or another current certification from a nationally recognized organization at the requisite level for sign language interpreters, oral interpreters, or cued speech transliterators as determined by the board. If the interpreter is deaf or hard of hearing, forty (40) hours of continuing education focused on general interpretation and ethics may be obtained in lieu of this requirement; and

(5) Proof of achieving or holding one (1) of the following:

(a) Valid NAD Level III as a currently certified member;

(b) SLPI Advanced or better, within three (3) years of application;

(d) EIPA of three and one-half (3.5) or better, within three (3) years of application; or

(e) BEI Basic or better, within three (3) years of application.

Section 2. Temporary Licensure Duration.

(1) An individual may hold temporary licensure for a maximum of five (5) consecutive licensure years from the date of initial issuance.

(2) An individual who is deaf or hard of hearing may hold temporary licensure for a maximum of ten (10) consecutive licensure years from the date of initial licensure.

(3) Any extension of a temporary license shall occur during the period established in subsection (1) or (2) of this section and pursuant to Section 4 of this administrative regulation.

(4) The board may, in individual cases involving medical disability, illness, undue hardship, active military service, or other extenuating circumstances that preclude the individual from completing the requirements within the timeframe set forth in subsections (1) and (2) of this section, grant an extension of temporary licensure for one (1) additional one (1) year period for applicants who submit to the board:

(a) A written request for a one (1) time, one (1) year extension of the temporary licensure term established in subsection (1) and (2) of this section delivered to the board by certified mail no less than thirty (30) days before the expiration of the temporary license; and

(b)

Verifying documentation signed by a licensed physician or proper military personnel, if applicable; or
Documentation that provides evidence to support the extension.

Section 3. Supervision Requirements.Each applicant for a temporary license shall be trained and supervised by a board-approved supervisor and shall meet the applicable requirements of 201 KAR 39:075.

Section 4. Extensions of Temporary Licenses.

(1) Temporary licenses shall expire on July 1 each year. To extend a temporary license, a request for extension shall be submitted by July 1 each year. An applicant whose temporary license has expired may apply for an extension during the initial five (5) year period for a hearing interpreter, or the initial ten (10) year period for a deaf interpreter, from the date the temporary license was issued. The board may issue the extension for good cause shown as determined by board, and the duration of the extended temporary license shall not exceed the duration of the initial temporary license.

(2) To request an extension of a temporary license a temporary licensee shall submit:

(a) A completed Temporary License Extension Application form;

(b) The appropriate fee established in 201 KAR 39:040;

(d) A letter recommending extension written by the board-approved supervisor for the previous licensure term that describes the progress achieved by the supervisee; and

(e) A revised plan of supervision for the upcoming licensure year.

(3) The extensions of temporary licenses under this section shall be subject to the term limitations imposed by Section 2(1) and (2) of this administrative regulation.

(4) The board may extend the use of the temporary license to an applicant who has submitted a Temporary License Extension Application on or before the July 1 deadline for a period not to exceed sixty (60) days. The board shall review the application for extension prior to the expiration of the sixty (60) day period.

Section 5. Appeal of Denial of an Application for Temporary Licensure.

(1) If an Application for Temporary Licensure is denied, the applicant shall have the right to appeal that preliminary determination.

(2) An appeal shall be:

(a) Submitted to the board in writing by certified mail; and

(3) The appeal of a preliminary denial of an Application for Temporary Licensure shall be held in accordance with the provisions of KRS Chapter 13B.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Temporary Licensure", DPL-KBI-004, April 2024

(b) "Plan of Supervision for Temporary License", DPL-KBI-005, April 2024; and

History

RELATES TO: KRS Chapter 13B, 309.312(1)(b), (3)
STATUTORY AUTHORITY: KRS 309.304(3), 309.312
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3) and 309.312(1)(b) and (3) require the board to promulgate an administrative regulation establishing the requirements for an applicant for temporary licensure as an interpreter for the deaf and hard of hearing. This administrative regulation establishes the requirements regarding temporary licensure, including extensions.
History: 28 Ky.R. 1263; Am. 1609; eff. 1-14-2002; 32 Ky.R. 2333; 33 Ky.R. 387; eff. 9-1-2006; 38 Ky.R. 1648; 1849; eff. 6-1-2012; TAm eff. 6-1-2012; 42 Ky.R. 845; eff. 12-4-2015; 42 Ky.R. 845; eff. 12-4-2015; 44 Ky.R. 49; eff. 8-4-2017; 51 Ky.R. 100, 946, 1100; eff. 2-5-2025.

201 KAR 39:075 Supervision {#sec-201-kar-39-075 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:075}

Section 1. Qualification for Supervision Status. To qualify as a board-approved supervisor of record for a temporary licensee or a licensee under discipline, a licensed interpreter shall:

(1) Complete the Application for Board-Approved Supervisor;

(2) Meet the requirements for licensure in Kentucky as established in KRS 309.300 to 309.319 and 201 KAR Chapter 39;

(3) Hold a valid certificate meeting the requirements for full licensure for a minimum of three (3) years prior to application to serve as a supervisor, with the exception of those who are fully licensed who do not have a nationally recognized certification and who shall not be eligible to serve as a supervisor;

(4) Have completed forty-five (45) hours of continuing education since obtaining certification; and

(5) Be approved by the board pursuant to the requirements of this section.

Section 2. Supervision Requirements.

(1) General obligations.

(a) An interpreter who has applied and been approved as a supervisor by the board as required in Section 1 of this administrative regulation, may supervise a temporary licensee or a licensee under discipline.

(b) During the period of supervision, the board-approved supervisor shall meet with the temporary licensee or licensee under discipline on a quarterly basis.

One (1) of the meetings shall be face-to-face between the supervisor and temporary licensee or the licensee under discipline.
The remaining meetings may be through the use of video or video teleconferencing or any other method outlined in the approved plan of supervision.

(c) The board-approved supervisor shall direct and oversee each supervisee who holds a temporary licensee or who is a licensee under discipline with supervisory conditions imposed as the result of an investigation of a complaint, taking responsibility for the professional interpreting practice of the supervisee.

(d) The supervisor shall have access to the supervisee's documentation, and when needed:

Review the supervisee's documentation and records;
View the supervisee's services in face-to-face format, recorded format, or both, if available; and
Communicate with the supervisee's clients, if applicable, regarding the supervisee's performance.

(e) The supervisor shall use observations from the supervisee's documentation, client sessions, and communications with any third parties, including the administrative supervisor, if applicable, to inform supervision and shall document these observations in his or her supervisory notes.

(2) Extension of Temporary License. The board-approved supervisor shall provide the board with the following information upon the request by a supervisee applying for extension of a temporary license:

(a) A letter recommending extension that describes the progress achieved by the supervisee; and

(b) For supervision of a temporary licensee, a revised plan of supervision for the upcoming licensure year.

Section 3. Plan of Supervision.

(1) A temporary licensee shall enter into a written plan of supervision with an approved supervisor that shall be submitted with the application for temporary licensure as provided in 201 KAR 39:070. The plan of supervision shall contain:

(a) The name and address of the supervisee;

(b) The name, address, license or certification number, and number of years of practice of the supervisor of record;

(d) The nature, duration, and frequency of the supervision, including the:

Number of hours of supervision per quarter;
Number of hours of individual supervision;
Methodology for transmission of information; and
Number of hours of face-to-face supervision;

(e) The conditions or procedures for termination of the supervision;

(f) A statement that:

The supervisor of record understands that the supervisor shall be held accountable to the board for the interpreting services given to the supervisee's clients; and
The supervisor of record meets the criteria established in Section 1 of this administrative regulation; and

(g) The signatures of both the supervisor and the supervisee.

(2) If a supervisee changes his or her supervisor of record, the supervisee shall submit a new plan of supervision, which shall include the information required by this section.

(3) The supervisee may begin the practice of interpreting services upon the board's approval of the plan.

(4) A supervisee shall not continue to practice interpreting services if:

(a) The conditions for supervision established in the plan of supervision are not followed; or

(b) The plan of supervision is terminated for any reason other than the extenuating circumstances as authorized by the board.

(5) If the terms of the plan of supervision are not being met by the supervisee, the supervisor shall immediately notify this board in writing.

Section 4. A supervisor of record shall assume responsibility for the practice of the supervisee. A supervisor shall not serve as a supervisor of record for more than six (6) persons obtaining experience for licensure at the same time. Any supervisor with more than six (6) supervisees on or before January 1, 2025, shall reduce the number of supervisees to six (6) or less through attrition and shall not accept new supervisees until the supervisor has fewer than six (6) supervisees of record.

Section 5. A supervisor who is placed under discipline shall be ineligible to act as a supervisor and shall not become eligible to apply for reinstatement as a supervisor earlier than two (2) years following the completion of any disciplinary action, including completion of any suspension or probationary period. Further, a board-approved supervision training shall be required prior to reinstatement.

Section 6. Incorporation by Reference.

(1) "Application for Board-Approved Supervisor", DPL-KBI-007, April 2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Interpreters for the Deaf and Hard of Hearing, 500 Mero St, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:00 p.m. This material is also available on the board's Web site at www.kbi.ky.gov.

History

RELATES TO: KRS 309.304(3), 309.312(3), 309.316(3)
STATUTORY AUTHORITY: KRS 309.304(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.304(3) requires the Kentucky Board of Interpreters for the Deaf and Hard of Hearing to promulgate necessary and reasonable administrative regulations to effectively carry out and enforce the provisions of KRS 309.300 to 309.319, pertaining to the practice and licensure of a deaf or hearing interpreter. This administrative regulation establishes provisions relating to the supervision of temporary licensees, or a licensee under discipline with supervisory conditions, as referenced in KRS 309.312(3) and 309.316(3).
History: 51 Ky.R. 175, 1101; eff. 2-5-2025.

201 KAR 39:080 Reciprocity {#sec-201-kar-39-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:080}

Section 1. An applicant for licensure by reciprocity shall:

(1) Hold a current, valid license in good standing to practice interpreting which has been granted by at least one (1) state, U.S. Territory, the District of Columbia, or a Canadian province, which maintains an interpreter registration board;

(2) The standards or requirements for having granted that license shall meet or exceed the licensure requirements contained in KRS Chapter 309 and 201 KAR Chapter 39;

(3) Not have a report of disciplinary action pending in another state or province; and

(4) Submit the reciprocity fee as set forth in 201 KAR 39:040.

History

RELATES TO: KRS 309.304(1), 309.312(4)
STATUTORY AUTHORITY: KRS 309.304(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.312(4) requires the board to promulgate an administrative regulation governing the granting of a license through reciprocity. This administrative regulation establishes the requirements for licensure by reciprocity.
History: 28 Ky.R. 1264; eff. 1-14-2002; Am. 38 Ky.R. 1648; 1849; eff. 6-1-2012; Crt eff. 2-21-2020.

201 KAR 39:090 Continuing education unit requirements {#sec-201-kar-39-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:090}

Section 1. Accrual of Continuing Education Hours Mandatory for Full Licensure; Computation of Accrual.

(1) A person who is licensed as an interpreter shall have earned a minimum of fifteen (15) continuing education unit hours during each licensure period.

(2) A minimum of half of the fifteen (15) hours shall be from any of the following sources, alone or in combination:

(a) Alexander Graham Bell Association of the Deaf;

(b) American Sign Language Teacher Association;

(d) National Educational Interpreters Conference;

(e) Registry of Interpreters for the Deaf - Certificate Maintenance Program; or

(f) Registry of Interpreters for the Deaf - Associate Continuing Education Training.

(3) A minimum of three (3) of the fifteen (15) continuing education unit hours shall be related to ethics. To be approved:

(a) The program title shall contain the word "ethics"; or

(b) The licensee shall submit the course description for the board to review to determine if the program relates to the code of ethics for interpreters.

Section 2. Accrual of Continuing Education Unit Hours Mandatory for Temporary Licensure; Computation of Accrual.

(1) A person who holds a temporary license as an interpreter shall have earned a minimum of eighteen (18) hours of approved continuing education units during each licensure period.

(2) A minimum of seven and one-half (7.5) of the eighteen (18) hours shall be from any of the following sources, alone or in combination;

(a) Alexander Graham Bell Association for the Deaf;

(b) American Sign Language Teacher Association;

(d) National Educational Interpreters Conference;

(e) Registry of Interpreters for the Deaf - Certificated Maintenance Program; or

(f) Registry of Interpreters for the Deaf - Associate Continuing Education Training.

(3) A minimum of three (3) of the eighteen (18) continuing education unit hours shall be related to ethics. To be approved:

(a) The program title shall contain the word "ethics"; or

(b) The licensee shall submit the course description for the board to review to determine if the program relates to the code of ethics for interpreters.

Section 3. Methods of Acquiring Continuing Education Unit Hours. Continuing education unit hours applicable to the renewal of the license shall be directly related to the professional growth and development of an interpreter. The hours shall be earned by completing any of the following educational activities:

(1) Programs not requiring board review and approval. An educational program from any of the following providers shall be deemed to be relevant to the practice of interpreting and shall be approved without further review by the board:

(a) A program sponsored or approved by the:

Alexander Graham Bell Association of the Deaf;
American Sign Language Teacher Association;
National Association of the Deaf;
Registry of Interpreters for the Deaf; or
National Association of Interpreters in Education; or

(b) An academic course offered by an accredited postsecondary institution that is directly related to interpreting. Credit shall only be granted for grades of "C" or above.

(2) Programs requiring board review and approval. A program from any of the following sources shall be reviewed and determined if the program is relevant and therefore subsequently approved by the board:

(a) Relevant programs, including asynchronous and synchronous learning either in-person or virtual, training provided by other organizations, educational institutions, or other service providers approved by the board;

(b) Relevant programs or academic courses presented by the licensee. Presenters of relevant programs or academic courses may earn full continuing education credit for each contact hour of instruction, not to exceed three (3) hours of continuing education credits. Credit shall not be issued for repeated presentation of the same course.

(c) Authoring an article in a relevant, professionally-recognized, or juried publication. Credit shall not be granted for an article unless the article was published within the one (1) year period immediately preceding the renewal date. A licensee shall earn three (3) hours of continuing education credit toward the hours required for renewal. No more than one (1) publication shall be counted during a renewal period.

(d) A general education course, elective course, or a course designed to meet degree requirements offered by an accredited postsecondary institution. Academic credit equivalency for continuing education hours shall be based on one (1) credit hour equals 10 continuing education hours. Credit shall only be granted for grades of "C" or above.

Section 4. Procedures for Preapproval of Continuing Education Unit Sponsors and Programs.

(1) Any entity seeking to obtain approval of a continuing education program prior to its offering shall complete and submit the Application for Continuing Education Program Unit Approval form to the board at least sixty (60) days in advance of the commencement of the program, stating the following:

(a) A published course or similar description containing educational objectives;

(b) Names and qualifications of the instructors;

(d) Number of continuing education unit hours being requested; and

(e) A copy of the evaluation.

(2) A continuing education activity shall be approved if the board determines the activity being offered:

(a) Is an organized program of learning;

(b) Pertains to subject matters, which integrally relate to the practice of interpreting;

(d) Is conducted by individuals who have educational training or experience acceptable to the board.

(3) A sponsor of continuing education requiring board approval shall be responsible for submitting a course offering to the board for review and approval before listing or advertising that offering as approved by the board.

Section 5. Responsibilities and Reporting Requirements of Licensees. A licensee shall be responsible for obtaining the required continuing education unit hours. A licensee shall:

(1) Maintain records of continuing education unit hours.

(a) Each licensee shall maintain all documentation verifying successful completion of continuing education unit hours for a period of two (2) years from the date of renewal.

(b) During each licensure renewal period, up to fifteen (15) percent of all licensees, chosen at random, shall be required by the board to furnish documentation of the completion of the appropriate number of continuing education unit hours for the current renewal period.

(2) Fully comply with the provisions of this administrative regulation. Failure to comply shall constitute a violation of KRS 309.318(1)(e) and may result in the refusal to renew, suspension, or revocation of the licensure.

Section 6. Procedures for Approval of Continuing Education Programs. A program that has not been preapproved by the board may be used for continuing education units if the licensee submits the program for board approval. In order for the board to adequately review a program for approval, the following information shall be submitted:

(1) A published course or similar description containing educational objectives;

(2) Names and qualifications of the instructors;

(3) A copy of the program agenda indicating hours of instruction, coffee and lunch breaks;

(4) Number of continuing education hours being requested; and

(5) A copy of the course evaluation.

Section 7. Carry Over of Continuing Education Unit Hours. A licensee with a full license may carry over six (6) continuing education unit hours earned in excess of those required under Section 1 of this administrative regulation for one (1) renewal period, after which time they shall expire. All carry-over hours shall comply with the requirements of Sections 1 through 3 of this administrative regulation.

Section 8. Board to Approve Continuing Education Unit Hours; Appeal when Approval Denied.

(1) In the event of a denial, in whole or in part, of any application for approval of continuing education hours, the licensee shall have the right to request reconsideration by the board of its decision.

(2) The request shall be in writing, specifically stating the reasons for reconsideration, and shall be received by the board within thirty (30) days of the board's decision denying approval of continuing education hours.

Section 9. Continuing Education Requirements for Reinstatement of License.

(1) A person requesting reinstatement of licensure shall submit evidence of completion of required hours of continuing education units within the twelve (12) month period immediately preceding the date on which the request for reinstatement is submitted to the board.

(2) If the person seeking reinstatement does not meet the requirements established in subsection (1) of this section, the board may conditionally reinstate licensure, requiring the applicant to obtain required hours of continuing education units within six (6) months of the date on which licensure is reinstated.

(3) The continuing education unit hours received in compliance with this section for reinstatement shall be in addition to the regular continuing education unit requirements established in Section 1 of this administrative regulation and shall not be used to comply with the requirements of that section.

Section 10. Incorporation by Reference.

(1) "Application for Continuing Education Unit Program Approval", DPL-KBI-008, April 2024, form is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. or found on the board's Web site at www.kbi.ky.gov.

History

RELATES TO: KRS 309.304(5), 309.318
STATUTORY AUTHORITY: KRS 309.304(3), 309.314(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.314(7) authorizes the board to promulgate an administrative regulation that requires interpreters who apply for renewal or reinstatement to show evidence of completion of continuing education. This administrative regulation establishes the requirements for continuing education units and prescribes methods and standards for the accreditation of continuing education courses.
History: 28 Ky.R. 1264; Am. 1610; eff. 1-14-2002; 32 Ky.R. 2335; 33 Ky.R. 387; eff. 9-1-06; 38 Ky.R. 1651; eff. 6-1-2012; TAm eff. 6-1-2012; Crt eff. 2-21-2020; 51 Ky.R 102, 948, 1102; eff. 2-5-2025.

201 KAR 39:100 Complaint procedure {#sec-201-kar-39-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:100}

Section 1. Receipt of Complaints.

(1) A complaint:

(a) May be submitted by an:

Individual;
Organization; or
Entity;

(b) Shall:

Be in writing or contained on a videotape or digital media; and
Include the signature or stated name, address, and telephone or videophone number of the person submitting the complaint; and

(2) Upon receipt of the complaint, a copy of the complaint shall be sent to the licensee named in the complaint along with a request for the licensee's response to the complaint. The individual shall be allowed a period of twenty (20) days from the date of receipt to submit a written, videotaped, or other digital media response.

Section 2. Initial Review.

(1) After the receipt of a complaint and the expiration of the period for the licensee's response, the complaint screening committee shall consider the complaint, the licensee's 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, the board shall:

(a) Dismiss the complaint; and

(b) Notify the complainant and licensee of the board's decision.

(3) If the board determines that a complaint warrants a formal investigation, the board 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 written 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 if there has been a prima facie violation of KRS 309.300 through 309.319 or 201 KAR Chapter 39 and if a formal complaint shall be filed.

(2) If the board determines that a complaint does not warrant issuance of a formal complaint, the board shall:

(a) Dismiss the complaint; and

(b) Notify the complainant and respondent of the board's decision.

(3) If the board determines that a violation has occurred but is not serious, the board may issue a written admonishment to the licensee in accordance with KRS 309.316(4).

(4) If the board determines that a complaint warrants the issuance of a formal complaint against a respondent, the board attorney in conjunction with the complaint screening committee shall prepare a formal complaint that 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.

(5) If the board determines that a person may be in violation of KRS 309.301(1), the board shall:

(a) Order the individual to cease and desist from further violations of KRS 309.301(1);

(b) Forward information to the county attorney of the county of residence of the person allegedly violating KRS 309.301(1) with a request that appropriate action be taken under KRS 309.319; or

(c) Initiate action in Franklin Circuit Court for injunctive relief to stop the violation of KRS 309.301(1) pursuant to KRS 309.304(7).

Section 4. Settlement by Informal Proceedings.

(2) An agreed order or settlement reached through this process may 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. Notice and Service of Process. A notice required by KRS 309.300 through 309.319 or this administrative regulation shall be issued pursuant to KRS Chapter 13B.

Section 6. Notification. The board shall make public:

(1) Its final order in a disciplinary action pursuant to KRS 309.316(3); and

(2) An action to restrain or enjoin a violation of KRS 309.301(1).

Section 7. Incorporation by Reference.

(1) "Complaint Form", DPL-KBI-009, October 2024, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. and found on the board's Web site at www.kbi.ky.gov.

History

RELATES TO: KRS Chapter 13B, 309.301(1), 309.304(7), 309.316, 309.318, 309.319
STATUTORY AUTHORITY: KRS 309.304(3), 309.316(2), 309.318
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.316(2) requires the board to establish procedures for receiving and investigating complaints. KRS 309.318 authorizes the board to take disciplinary action against a licensee. This administrative regulation establishes procedures for the filing, evaluation, and disposition of administrative complaints.
History: 28 Ky.R. 1266; Am. 1611; eff. 1-14-2002; 38 Ky.R. 1654; 1850; eff. 6-1-2012; TAm 6-1-2012; Crt eff. 2-21-2020; 51 Ky.R. 105, 1104; eff. 2-5-2025.

201 KAR 39:120 Code of ethics {#sec-201-kar-39-120 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:120}

Section 1. A licensee shall abide by the following standards of professional and ethical conduct:

(1) A licensee shall keep all service-related information strictly confidential. From the moment of accepting the service, the licensee holds a trustworthy relationship with the consumer, in which the licensee shall be bound to confidentiality.

(a) All information shall be considered confidential. This shall apply whether the licensee accepts or declines the request for services.

(b) All information about a consumer that is received from other licensees shall be considered confidential and shall be exchanged in a manner that protects both the consumer and the service.

(c) The licensee shall comply with the requirements of KRS 620.030 by reporting to the proper authorities the dependency, neglect, or abuse of a child if the licensee reasonably believes that the dependency, neglect, or abuse of a child is ongoing or has occurred.

(2) A licensee shall faithfully convey the content and spirit of the speaker using language most readily understood by the persons whom they serve. Every interpretation shall be faithful to the message of the source text. A faithful interpretation should not be confused with a literal interpretation. The fidelity of an interpretation includes an adaptation to make the form, the tone, and the deeper meaning of the source text felt in the target language and culture.

(3) A licensee shall possess the knowledge and skills to support accurate and appropriate interpretation. A licensee works in a variety of settings and with a wide range of consumers and therefore shall be adept at meeting the linguistic needs of consumers, the cultural dynamics of each situation, and the spirit and content of the discourse.

(4) A licensee shall not counsel, advise, or interject personal opinions.

(a) A licensee shall remain neutral, impartial, and objective. If the licensee is unable to put aside personal biases or reactions that threaten impartiality, the licensee shall be under an obligation to examine options and take actions to remedy the situation.

(b) A licensee shall refrain from altering a message for political, religious, moral, or philosophical reasons, or for any other biased or subjective considerations.

(c) The licensee shall advise the consumer that the licensee assumes a position of neutrality in the relationship between all parties during an interpreting service. The licensee shall not become personally involved in the issues or persons present at the interpreting service.

(5) In accepting a request for services, a licensee shall use discretion with regard to skill, setting, and the consumers involved.

(a) Licensees shall approach requests for services with respect and cultural sensitivity towards all participants.

(b) If a request for services demands an additional deaf or hearing licensee, a licensee shall not accept the request, or continue with the services if it has been initially accepted, until the additional deaf or hearing licensee is included in the professional interpreting team.

(c) A licensee shall refrain from accepting a request for services in which family members or personal or business associations may affect impartiality.

In an emergency situation, a licensee may provide services for family members, friends, or business associates, and the licensee shall guard against allowing personal involvement to affect the licensee's ability to interpret impartially.
If the licenseeis unable to be impartial, the licensee shall inform the parties involved and may assist in finding another licensee.

(6) Prior to accepting an engagement for services, a licensee shall advise the party responsible for payment of the services to be provided of the amount of compensation to be charged for the services.

(7) A licensee shall not advertise the licensee's services in a false, deceptive, or misleading manner.

(8) A licensee shall function in a manner appropriate to the situation. A licensee shall become familiar with the anticipated discussion topic, type of activity, level of formality, expected behaviors, and possible presentational materials prior to commencement of the service.

History

RELATES TO: KRS 309.304(3), 309.318(1)(e), (f), 620.030
STATUTORY AUTHORITY: KRS 309.304(3), 309.318(1)(e), (f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.318(1)(e) and (f) authorize the board to take disciplinary action against a licensee who violates any state statute or requirement of 201 KAR Chapter 39 or who violates the code of ethics, known as the Professional Code of Conduct of the licensee's national certifying organization or organizations. This administrative regulation establishes the code of ethics in accordance with KRS 309.318(1)(f).
History: 28 Ky.R. 1268; Am. 1612; eff. 1-14-2002; 38 Ky.R. 1656; 1851; eff. 6-1-2012; Crt eff. 2-21-2020; 51 Ky.R. 107, 1104; eff. 2-5-2025.

201 KAR 39:130 Registration for nonresident interpreters {#sec-201-kar-39-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 39:130}

Section 1. Registration and Reporting.

(1) A nonresident interpreter providing interpreting services in Kentucky shall:

(a) Register with the Board of Interpreters for the Deaf and Hard of Hearing for entry into the Nonresident Interpreter Registry before providing nonresident interpreting services using the Registration of Nonresident Interpreter form; and

(b) Report each date of nonresident interpreting service provided in the state to the Board of Interpreters for the Deaf and Hard of Hearing using the Report of Service by Nonresident Interpreter form within ten (10) business days.

(2) For the purpose of meeting the registration and reporting requirements established in subsection (1) of this section, each partial day of interpreting by a nonresident interpreter shall be counted as a full day.

(3) License-exempt nonresident interpreting services shall be provided less than twenty (20) days per calendar year.

(4) A registration number shall be provided by the board and the nonresident interpreter shall include the registration number on the required report of services for purposes of record keeping.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) Form "Registration of Nonresident Interpreter", DPL-KBI-010, October 2024; and

(b) Form "Report of Service by Nonresident Interpreter", DPL-KBI-011, October 2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Interpreters for the Deaf and Hard of Hearing, 500 Mero St., Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. and on the board's Web site at www.kbi.ky.gov.

History

RELATES TO: KRS 309.301(2)(a)
STATUTORY AUTHORITY: KRS 309.301(2)(a), 309.304(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.301(2)(a) authorizes the board to exempt from licensure nonresident interpreters working in the Commonwealth less than twenty (20) days per year. This administrative regulation establishes requirements applicable to nonresident interpreting services.
History: 51 Ky.R. 177, 1105; eff. 2-5-2025.

Chapter 41 Kentucky Board of Private Investigators

201 KAR 41:020 Application for licensure {#sec-201-kar-41-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:020}

Section 1. Individual Applicant.

(1) An individual seeking licensure as a private investigator shall submit to the board:

(a) A complete, sworn and notarized Private Investigator Application;

(b) The nonrefundable initial application fee established in 201 KAR 41:040, Section 1;

(d) A check or money order made payable to the "Kentucky State Treasurer" for the criminal background check and fingerprint fee; and

(e) Authorization for release of medical, psychological, and, if applicable, records pursuant to the requirements of KRS 329A.035(3)(e)-(l).

(2) The applicant shall contact the Department of Professional Licensing for the combined amount of state and federal fees, pursuant to 502 KAR 30:060 and 28 C.F.R. 16.33.

Section 2. Application for Company Private Investigator License.

(1) Owners, partners, or qualifying agents of a company seeking licensure as a private investigating company shall submit to the board:

(a) A complete Private Investigator Company Application that has been:

Sworn by each partner, if the applicant is a partnership;
Sworn by the qualifying agent; and
Notarized.

(b) The nonrefundable initial application fee established in 201 KAR 41:040, Section 2;

(c) A check or money order made payable to the "Kentucky State Treasurer" for the criminal background check and fingerprint fee; and

(d) A list of all private investigators employed by the company.

(2) The applicant shall contact the Department of Professional Licensing for the combined amount of state and federal fees, pursuant to 502 KAR 30:060 and 28 C.F.R. 16.33.

Section 3. Status Change.

(1) An individual licensee, applicant, or private investigation company shall notify the board in writing within thirty (30) days of a change in company affiliation, business address, residence address, or phone number.

(2)

(a) A private investigation company shall notify the board in writing within thirty (30) days of a change in company affiliation or upon the death or termination of a private investigator working for that company.

(b) If a private investigator's employment is terminated, the private investigation company employer shall notify the board of the reason for the termination within thirty (30) days of termination.

Section 4. Application Processing. Except for proof of a passing examination score, all application documents and fees shall be submitted within thirty (30) days of the submission of the application to the board. Failure to provide all required documents within thirty (30) days of the submission of the application to the board shall result in automatic denial of the application.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Private Investigator Application and Applicant Instructions", 10/2008 edition; and

(b) "Private Investigator Company Application and Applicant Instructions", 10/2008 edition.

(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.

History

RELATES TO: KRS 329A.035, 329A.040(1), 329A.065(1), 28 C.F.R. 16.33
STATUTORY AUTHORITY: KRS 329A.025(1), 329A.035
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(1) requires the Kentucky State Board of Licensure for Private Investigators to evaluate the qualification of candidates for licensure as private investigators and private investigating companies. KRS 329A.035 establishes application requirements for private investigators and private investigation companies. This administrative regulation establishes the application requirements and process for licensure.
History: 32 Ky.R. 2388; 33 Ky.R. 727; eff. 10-6-2006; 35 Ky.R. 620; 1442; eff. 1-5-2009; 45 Ky.R. 3475; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:030 Examination {#sec-201-kar-41-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:030}

Section 1. Examination structure.

(1) The written examination shall be called the "Kentucky Private Investigator Examination".

(2) The exam shall be developed and administered by a board-approved examination service pursuant to a contractual agreement.

(3) The exam shall be administered by computer and provided at locations within the Commonwealth of Kentucky, to be determined by the contractor.

(4) The examination shall be structured and designed to measure the subject areas in KRS 329A.025(2)(c).

(5) The examination passing score shall be determined and set by the board in consultation with the examination contractor.

Section 2. General Requirements.

(1) An applicant for examination shall:

(a) Submit a completed application for licensure as required by 201 KAR 41:020;

(b) Pay the applicable application fee established in 201 KAR 41:040(1)(a); and

(2) The board administrator shall review each application received for completeness. If the board administrator determines that the application is complete, the board administrator shall notify the applicant that he or she is authorized to sit for the examination. The applicant shall sit for the examination within sixty (60) days of the date the board administrator notifies the applicant of his or her eligibility. Notification that an applicant is qualified to sit for the examination shall not mean the application for licensure has been approved by the board.

(3) An applicant may sit for the examination at any approved examination contractor testing center or via any contractor and board-approved electronic testing method.

(4) Failure to take the examination within sixty (60) days of the board administrator's notification shall result in automatic denial of the application and forfeiture of all application and examination fees paid. An applicant whose application has been denied pursuant to this Section may reapply for licensure by submitting a new application and payment of a new application fee.

(5) An applicant shall have six (6) months from the board administrator's notification to tender a passing exam score to the board. An applicant may sit for the examination a second time during this six (6) month period if the applicant did not achieve a passing score the first time the applicant sat for the examination. Failure to pass the examination within the six (6) month period shall result in automatic denial of the application and forfeiture of all application and examination fees paid.

(6) No applicant shall be permitted to sit for the examination within twelve (12) months of their second failed examination attempt.

History

RELATES TO: KRS 329A.025(2)(c), 329A.035(3)(m)
STATUTORY AUTHORITY: KRS 329A.025(2)(c), 329A.035 (3)(m)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(2)(c) requires the board to promulgate administrative regulations creating an examination for private investigator applicants. This administrative regulation establishes the examination for private investigator applicants.
History: 30 Ky.R. 771; 1207; eff. 12-5-2003; 45 Ky.R. 3477; 46 Ky.R. 423; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:040 Fees {#sec-201-kar-41-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:040}

Section 1. Private Investigator Application Fees. An applicant for licensure as a private investigator shall submit the following fees:

(1)

(a) The initial application fee for licensure as a private investigator shall be $400.

(b) The fee shall be submitted to the board as follows:

$100 shall be due within thirty (30) days of submission of the application. This fee shall be non-refundable; and
$300 shall be due at the time the applicant submits proof of a passing examination score. This fee shall be refunded if the applicant is denied a license.

(2)

(a) The fee for the criminal history, background check, and fingerprinting shall be remitted to the Kentucky State Treasurer in an amount pursuant to 502 KAR 30:060 and 28 C.F.R. 16.33.

(b) Contact the Department of Professional Licensing for the current fee amount or check the board's Web site at http://kpi.ky.gov/Pages/default.aspx.

Section 2. Private Investigator Company Application Fees.

(1) The initial application fee for licensure as a private investigator company shall be:

(a) $100 for a sole proprietorship; or

(b) $400 for a firm, association, partnership, corporation, nonprofit organization, or institution.

(2) The initial application fee shall be submitted within thirty (30) days of the application.

Section 3. Examination Fee.

(1) The examination fee shall be the actual amount charged by the examination service for the examination pursuant to a contractual agreement with the board.

(2) The examination fee shall be paid directly to the examination service.

Section 4. Biennial Renewal License Fee.

(1) The fee for renewal of a private investigator license shall be $250.

(2) The fee for renewal of a private investigating company license shall be $250.

Section 5. Late Renewal Fee.

(1) Late renewal fees shall be in addition to license renewal fees established in Section 4 of this administrative regulation.

(2) The fee for late renewal of a private investigator license, submitted for renewal between July 1 and August 31, shall be $250.

(3) The fee for late renewal of a private investigating company license, submitted for renewal between July 1 and August 31, shall be $250.

Section 6. Reinstatement Fee.

(1) Reinstatement fees shall be in addition to license renewal fees established in Section 4 of this administrative regulation and late renewal fees established in Section 5 of this administrative regulation.

(2) The fee for reinstatement of a private investigator's license terminated pursuant to KRS 329A.045(8) shall be $100.

(3) The fee for reinstatement of a private investigating company license terminated pursuant to KRS 329A.045(8) shall be $100.

Section 7. Inactive Status Fee.

(1) The fee for placing a license in inactive status shall be $100.

(2) The fee for renewal of a license in inactive status shall be $100.

(3) The fee to reactivate an inactive license pursuant to 201 KAR 41:065 shall be $250.

Section 8. Duplicate License Fee. The fee for a duplicate license or certificate shall be twenty-five (25) dollars.

Section 9. Continuing Education Program Application Fee.

(1) The annual fee for an application for approval of a continuing education program shall be fifty (50) dollars.

(2) The fee shall be applicable to all continuing education providers except those who do not require board approval pursuant to 201 KAR 41:070, Section 3.

Section 10. Temporary Employee Registration Fee. A private investigator or private investigating firm employing a person for less than 240 hours per year pursuant to 201 KAR 41:100 shall pay a fee of twenty (20) dollars per temporary employee at the time of registration.

History

RELATES TO: KRS 329A.025, 329A.040(1)(b), 329A.045(4), 329A.070(9)
STATUTORY AUTHORITY: KRS 329A.025(2)(b), 329A.040(1)(b), 329A.045(4), 329A.070(9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(2)(b) requires the board to establish fees associated with the licensure of private investigators and private investigating companies. 329A.040(1)(b) requires the board to establish an application fee for licensure and for state criminal history background checks. KRS 329A.045(4) requires the board to establish a license renewal fee. This administrative regulation establishes the application and related fees, the licensure renewal fees, and the fee procedure for the licensure examination.
History: 30 Ky.R. 772; 1207; eff. 12-5-2003; 35 Ky.R. 622; 1443; eff. 1-5-2009; 45 Ky.R. 3478; 46 Ky.R. 424; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:060 Renewal and reinstatement procedures {#sec-201-kar-41-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:060}

Section 1. An individual private investigator license shall be renewed upon:

(1) Payment of the biennial renewal fee established in 201 KAR 41:040, Section 4(1); and

(2) Submission of a completed PI Individual License Renewal Form with the following written information to the board:

(a) Documentation of completion of continuing professional education requirements during the licensure renewal period established in 201 KAR 41:070;

(b) Written confirmation that, since the license was issued or renewed, the licensee has not:

Been convicted of a felony; or
Been professionally disciplined by receiving a reprimand, fine, license suspension, probation, or license revocation from the Kentucky Board of Licensure for Private Investigators or any other state private investigator licensing board in the United States and is not currently the subject of a professional disciplinary investigation in Kentucky or another state; and Copies of the certificate of liability insurance coverage pursuant to KRS 329A.035(3)(n).

Section 2. A licensee convicted of a felony or professionally disciplined in the interim period between issuance and renewal of the license, or between renewal periods, shall submit notice of the conviction or professional discipline along with a written explanation to the board within thirty (30) days of the entry of the conviction or final order imposing professional discipline.

Section 3. Failure to provide all information required by this administrative regulation, and the renewal fee, on or before September 1 of the renewal year, shall result in the automatic termination of the license, and the person shall not work as a private investigator in Kentucky.

Section 4. Company License Renewal. Private investigation companies who want to renew their licenses shall submit a completed PI Company License Renewal Form and comply with the provisions of KRS 329A.045(3).

Section 5. A license terminated pursuant to Section 3 of this administrative regulation may be reinstated, if the applicant submits:

(1) A completed Application for Reinstatement form within five (5) years of the termination date;

(2) Evidence of receiving twelve (12) hours of continuing education within the two (2) year period immediately preceding the date that reinstatement is requested; and

(3) Payment of renewal and reinstatement fees set forth in 201 KAR 41:040.

Section 6.

(1) An applicant whose request for reinstatement is denied may file a written request for a hearing before the board within thirty (30) days of the letter denying reinstatement.

(2) A hearing held pursuant to the provisions of this section shall be conducted in accordance with KRS Chapter 13B.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "PI Company License Renewal Form", 2008 Edition;

(b) "PI Individual License Renewal Form", 2008 Edition; and

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

History

RELATES TO: KRS 164.772, 329A.045(1)-(3), (8), (11)
STATUTORY AUTHORITY: KRS 329A.025(2)(a), (3)(e)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(3)(e) authorizes the board to renew licenses. KRS 329A.025(2)(a) requires the board to implement the provisions of KRS 329A.010 to 329A.090 through the promulgation of administrative regulations. This administrative regulation provides directions for the biennial renewal of these licenses.
History: 32 Ky.R. 2389; 33 Ky.R. 727; eff. 10-6-2006; 35 Ky.R. 624; 1444; eff. 1-5-2009; 45 Ky.R. 3480; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:065 Inactive status {#sec-201-kar-41-065 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:065}

Section 1. Inactive Status.

(1) Inactive licensure status shall be granted upon:

(a) Written request to the board prior to the time of renewal; and

(b) Payment of the inactive license fee established in 201 KAR 41:040, Section 7.

(2) A licensee with an inactive license shall not:

(a) Advertise or perform any of the duties established in KRS 329A.010(4);

(b) Hold himself or herself out as a private investigator in violation of KRS 329A.015; or

(3) The identification card shall be returned to the board office within ten (10) days of acknowledgement of inactive status by the board.

(4) Violations committed while a license is inactive may subject the licensee to:

(a) Penalties associated with KRS 329A.080; and

(b) Action pursuant to KRS 329A.025(3)(g).

(5) The inactive licensee shall be required to either affirm the inactive status or request a return to active licensure each renewal cycle.

Section 2. The licensee may return to active status upon:

(1) Written notification to the board;

(2) Payment of the fee established in 201 KAR 41:040, Section 7; and

(3) Providing proof of compliance with all continuing education requirements as established in 201 KAR 41:070, Section 11.

History

RELATES TO: KRS 329A.010(4), 329A.015, 329A.025, 329A.080
STATUTORY AUTHORITY: KRS 329A.025(3)(e), 329A.045(12)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(3)(e) authorizes the board to renew licenses and consider requiring continuing education as a condition for renewal. KRS 329A.045(12) authorizes that a valid license may be put on inactive status by the licensee at the time of renewal at a cost to be determined by the board. This administrative regulation establishes the requirements for inactive licensure status, fee payment, and continuing education.
History: 35 Ky.R. 679; 1445; eff. 1-5-2009; 456 Ky.R. 3482; 46 Ky.R. 425; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:070 Continuing professional education requirements {#sec-201-kar-41-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:070}

Section 1. Definitions.

(1) "Approved" means recognized and accepted by the Kentucky Board of Licensure for Private Investigators.

(2) "Continuing education hour" means fifty (50) clock minutes of participating in a continuing professional education experience.

(3) "Preapproved" means a program approved pursuant to Section 3 or Section 5 of this administrative regulation.

(4) "Program" means an organized learning experience:

(a) Planned and evaluated to meet behavioral objectives; and

(b) Presented in one (1) session or in a series.

(5) "Provider" means an organization approved by the Kentucky Board of Licensure for Private Investigators for providing continuing professional education programs.

Section 2. Accrual of Continuing Education Hours; Computation of Accrual.

(1) A minimum of twelve (12) continuing education hours shall be accrued by each person holding licensure during the two (2) year licensure period.

(2) All hours shall be directly related to the field of private investigation and promote the professional growth and development of a licensed private investigator.

Section 3. Programs Not Requiring Board Review and Approval. A program provided, officially approved, or sponsored by any of the following providers shall be preapproved and relevant to the practice of private investigation and shall be approved without further review by the board:

(1) Kentucky Professional Investigators Association (KPIA);

(2) Kentucky Society of Professional Investigators (KSPI);

(3) Association of Certified Fraud Examiners;

(4) Association One;

(5) National Fire or Arson Certification Associations;

(6) State and local bar associations;

(7) Continuing education programs approved by other state licensure boards;

(8) Institute of Police Technology and Management (IPTM);

(9) Northwestern University Center for Public Safety;

(10) United States Department of Transportation Federal Motor Carrier Safety Administration (FMCSA);

(11) Michigan State University Department of Civil and Environmental Engineering;

(12) University of Kentucky Transportation Cabinet;

(13) University of Tulsa Continuing Education for Science and Engineering;

(14) Texas A&M Transportation Institute;

(15) Crash Data Group Event Data Recording Summit;

(16) Society of Automotive Engineers (SAE);

(17) National Society of Professional Insurance Investigators (NSPII);

(18) International Association of Special Investigation Units (IASIU); and

(19) National Association of Legal Investigators (NALI).

Section 4. Programs Requiring Board Review and Approval. The board shall review the following programs to determine whether these satisfy the requirements of this administrative regulation:

(1) A general education course, or elective designated to meet undergraduate or postgraduate degree requirements, shall equal twelve (12) continuing education hours per one (1) hour of academic credit if the board determines it to be relevant to the field of private investigation;

(2) A program, including a home study course and in-service training provided by an organization or education institution not listed in Section 3 of this administrative regulation; or

(3) A program or academic course presented by the licensee.

(a) The presenting licensee shall earn two (2) continuing education hours for each contact hour of instruction.

(b) Credit shall not be issued for repeated instruction of the same course.

Section 5. Procedures for Preapproval of Continuing Education Programs.

(1)

(a) A continuing education provider seeking preapproval of a continuing education program shall apply to the board at least sixty (60) days in advance of the commencement of the program by submitting a completed Application for Approval for Providers to Offer Continuing Education and shall provide the information required in Section 6 of this administrative regulation.

(b) An approved program fee shall be paid as established in 201 KAR 41:040, Section 9.

(2) A continuing education program shall be preapproved if the board determines the program:

(a) Is an organized program of learning;

(b) Pertains to subject matter relating to private investigation;

Refreshing the licensee's knowledge and skills; or
Educating on a new topic or subject; and

(d) Is conducted by a competent instructor, as documented by academic training, professional licensures or certifications, or professionally recognized experience.

(3) A licensee shall not be required to request approval for a continuing education program preapproved pursuant to Section 3 of this administrative regulation.

Section 6. Procedures for a Licensee to Request Approval of Continuing Education Programs.

(1) A licensee shall request board approval for continuing education hours for a program described in Section 4 of this administrative regulation by submitting the following information for the board to review:

(a) A published course or seminar description;

(b) The name and qualifications of the instructor;

(d) Number of continuing education hours requested;

(e) Official certificate of completion or college transcript from the sponsoring agency or college; and

(f) A completed Licensee Application for Approval of Continuing Education Hours.

(2) The licensee shall redeem continuing education hours approved by the board pursuant to subsection (1) of this section at the time of the licensee's next license renewal, reinstatement, or reactivation application following the date of approval. The licensee shall submit a copy of the board's decision approving the continuing education hours.

Section 7. Responsibilities and Reporting Requirements of Licensees.

(1) Each licensee shall submit proof he or she completed the appropriate number of continuing education hours at the time the licensee submits his or her application for renewal, reinstatement, or reactivation of licensure.

(2) A licensee shall:

(a) Be responsible for obtaining required continuing education hours;

(b) Identify continuing education needs and seek activities that meets those needs;

(d) Select preapproved programs to earn continuing education hours;

(e) Submit to the board, if applicable, a request for approval for continuing education hours that have not been preapproved pursuant to Section 5 of this administrative regulation;

(f) Document attendance, participation in, and successful completion of continuing education programs; and

(g) Maintain records of continuing education hours for two (2) years from the date of the offering of the continuing education program.

(3) The following items may be used to document attendance at continuing education programs:

(a) Transcript;

(b) Certificate;

(d) Receipt for the fee paid to the provider.

(4) Failure to comply with the provisions of this administrative regulation shall constitute a violation of KRS Chapter 329A and may result in:

(a) Refusal to renew, reinstate, or reactivate licensure;

(b) Suspension of licensure; or

Section 8. Carry-over of Continuing Education Hours Prohibited. Continuing education hours earned in excess of those required under Section 2 of this administrative regulation shall not be carried over into any subsequent licensure renewal period.

Section 9. Appeal of Denial of Continuing Education Hours.

(1) If an application for approval of continuing education hours submitted pursuant to Section 6 of this administrative regulation is denied, the licensee may appeal the board's decision.

(2) A notice to appeal shall be:

(a) Submitted in writing and signed by the appellant;

(b) Received by the board within thirty (30) days of the decision denying approval of continuing education hours; and

Section 10. Waiver or Extensions of Time for Completion of Continuing Education.

(1) The board may grant a licensee a waiver or an extension of time to complete the continuing education requirements in the following cases:

(a) Serious injury or medical disability of the licensee;

(b) Illness of the licensee or an immediate family member;

(d) Active military duty;

(e) Undue hardship; or

(f) Similar extenuating circumstance that precludes the licensee's completion of the requirements.

(2) To request a waiver or extension of time to complete the continuing education requirements pursuant to this section, a licensee shall:

(a) Submit the request in writing, signed by the requesting licensee; and

(b)

Provide a verifying document signed by a licensed physician, or proper military personnel, if applicable; or
Documentation to support the waiver.

(3) A waiver of or extension of time to complete the minimum continuing education requirements shall not exceed one (1) year.

(4) If the medical disability, illness, active military duty, or circumstance upon which a waiver or extension of time has been granted continues beyond the period of the waiver or extension of time, the licensee shall reapply for the waiver or extension of time.

Section 11. Continuing Education Requirements for Reinstatement or Reactivation of Licensure. A person requesting reinstatement or reactivation of licensure shall submit evidence of receiving twelve (12) hours of continuing education within the two (2) year period immediately preceding the date that reinstatement or reactivation is requested.

Section 12. Effective Date for the Submission of Continuing Education Hours. Licensees shall submit proof of continuing education hours obtained in the previous two (2) years at the time of their first license renewal, reinstatement, or reactivation on or after January 1, 2021, and each subsequent renewal period thereafter.

Section 13. Incorporation by Reference.

(1) The following forms are incorporated by reference:

(a) "Application for Approval for Providers to Offer Continuing Education," May, 2019; and

(b) "Licensee Application for Approval of Continuing Education Hours," May, 2019.

History

RELATES TO: KRS 329A.025, 329A.045(11)
STATUTORY AUTHORITY: KRS 329A.025(2)(a), (3)(e), 329A.045(11)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(3)(e) authorizes the board to renew licenses and require continuing professional education as a condition for renewal. KRS 329A.025(2)(a) requires the board to implement the provisions of KRS 329A.010 to 329A.090 through the promulgation of administrative regulations. This administrative regulation establishes the requirements for continuing education and prescribes methods and standards for the accreditation of continuing education courses.
History: 32 Ky.R. 2390; 33 Ky.R. 728; eff. 10-6-2006; 35 Ky.R. 626; 1445; eff. 1-5-2009; 45 Ky.R. 3483; 46 Ky.R. 425; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:080 Complaint procedure {#sec-201-kar-41-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:080}

Section 1. Definitions.

(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.

Section 2. Receipt of Complaints.

(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:

(a) Submitted in writing using the Complaint Form and Instructions; and

(b) Signed by the individual or a representative of the legal entity offering the complaint.

(3) Upon receipt of a complaint:

(a) A copy of the complaint shall be sent to the respondent with a request for the respondent's answer to the complaint. The respondent shall be allowed a period of twenty (20) days from the date of receipt of the complaint. Failure to answer within twenty (20) days of receipt may be considered an admission to the complaint.

(b) Upon receipt of the respondent's written answer, a copy of the answer shall be sent to the complainant. The complainant may reply in writing within seven (7) days from receipt of the respondent's answer.

Section 3. Initial Review.

(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:

(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 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.

Section 4. 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 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:

(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 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.

Section 5. 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 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.

Section 6. Notice of Service of Process. A notice required by this administrative regulation shall be issued pursuant to KRS Chapter 13B.

Section 7. Incorporation by Reference.

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

History

RELATES TO: KRS 329A.025(3)(g), (i)-(k), 329A.040(2)(a), 329A.060(2), (3)
STATUTORY AUTHORITY: KRS 329A.060(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.060(1) states that the board shall promulgate administrative regulations regarding the receiving and investigating of complaints. This administrative regulation establishes procedures for the filing, evaluation, and disposition of administrative complaints.
History: 32 Ky.R. 2393; 33 Ky.R. 730; eff. 10-6-2006; 45 Ky.R. 3486; 46 Ky.R. 427; eff. 9-6-2019; Crt eff. 12-11-2019; Crt eff. 9-1-2026.

201 KAR 41:090 Code of ethics {#sec-201-kar-41-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:090}

Section 1. Proper Conduct of Practice.

(1) The licensee shall at all times recognize the primary obligation to protect the health, safety, and welfare of the public in the performance of the licensee's professional duties.

(2) A licensee possessing knowledge of a violation, by another licensee of KRS Chapter 329A or any administrative regulation promulgated thereunder, shall report that violation to the board in writing and shall cooperate with the board in furnishing any information or assistance as the board may require.

(3) If the licensee becomes aware of a decision taken by an employer or client, against the licensee's advice, which violates applicable federal, state, or local laws and regulations or which may affect adversely the health, safety, or welfare of the public, the licensee shall:

(a) Refuse to consent to the decision; and

(b) In circumstances where the licensee reasonably believes that other decisions will be made, notwithstanding the licensee's objections, terminate services with reference to that employer or client.

Section 2. The Code of Ethics. A private investigator shall:

(1) Adhere to the guidelines, policies, and procedures of the Kentucky Private Investigators Act in KRS Chapter 329A and the administrative regulations contained in 201 KAR Chapter 41.

(2) Practice with honesty, sincerity, integrity, fidelity, morality, and good conscience in all dealings with clients, other investigators, as well as other professions.

(a) The licensee shall perform his duties in accordance with all local, state, and federal laws, as well as adhere to the highest moral principles of the profession.

(b) The licensee shall not engage in prohibited acts as set forth in KRS 329A.055.

(3) Provide only those services for which the licensee is qualified to perform.

(a) The licensee shall not falsify or permit misrepresentation of his or his associates' academic or professional qualifications.

(b) The licensee shall not misrepresent or exaggerate his degree of responsibility in or for the subject matter of prior assignments.

(c) Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employer, employees, associates, joint ventures, or his or their past accomplishments with the intent and purpose of enhancing his qualifications and his work.

(4) All advertising shall be truthful, not misleading.

(5) Not accept any assignment that creates a personal or business conflict of interest. Regarding conflicts of interest:

(a) The licensee shall not accept compensation, financial or otherwise, from more than one (1) party for services on or relating to the same investigation, set of circumstances, court case, or issues, unless all interested parties consent in writing after full disclosure by the licensee;

(b) The licensee shall avoid all known conflicts of interest with his employer or client and shall promptly inform his employer or client of any business association, interest, or circumstance which could influence his judgment or the quality of his services. When a conflict becomes apparent, the licensee shall disclose the circumstances to the licensee's employer and client.

(c) The licensee shall take reasonable steps to ascertain the existence of potential conflicts of interests among his employers and clients. A conflict exists when a private investigator, because of some personal interest, finds it difficult to devote himself with loyalty and singleness of purpose to the best interest of his client or employer.

(d) A private investigations company shall be responsible for avoiding conflicts of interest between:

The company and the clients of any private investigator(s) affiliated with the company;
The clients of one (1) private investigator affiliated with the company and the clients of any other private investigator affiliated with the company.

(e) A licensee or employee of a licensee shall not contact or cause to be contacted any individual under investigation for the purpose of revealing confidential information to that individual. Any contact with a subject being investigated, whether intentional or unintentional, shall be made a part of the investigative file of such case.

(f) The licensee shall ensure that all clients are dealt with justly and impartially regardless of social, political, racial, ethnic, or religious considerations, economic status, or physical characteristics.

(6) Preserve client confidentiality under any and all circumstances unless required otherwise by law.

(a) The licensee shall safeguard information and exercise due diligence to prevent improper disclosure of that information.

(b) Any licensee or registered employee may divulge to any law enforcement officer or prosecuting attorney or his representative, any information the licensee may acquire as to any criminal offense, but he shall not divulge to any other person, except as the licensee may be required by law so to do, any information acquired by the licensee, except at the direction of the employer or client for whom the information was obtained.

(c) A licensee or registered employee of a licensee, shall not knowingly make any false report to his employer or client for whom information was being obtained.

(d) Client confidentiality shall not:

Affect in any way the licensee's obligation to comply with a validly-issued and enforceable subpoena or summons;
Prohibit review of a licensee's professional practice by the Kentucky Board of Licensure for Private Investigators; or
Prohibit a licensee from utilizing any such relevant information in the defense of a claim asserted against a licensee.

(7) Make all reporting based upon truth and fact and shall express honest opinions on that basis.

(a) Upon the request of a client in good standing, a licensee shall submit a written report to that client or his designee.

(b) A written report shall include all relevant information obtained during the investigation.

(8) Explain to the full satisfaction of all clients any fees and charges associated with his or her case.

(a) The licensee shall not bill a client for services or expenses which have not been provided or incurred.

(b) A complete and comprehensive itemized statement of services and expenses shall be provided to the client upon request.

(9) Make certain that any obligations and responsibilities in contracts and mutual agreements shall be met in a timely manner, and the principle of appropriate and adequate compensation for those engaged in investigative work shall not be abused.

(10) Assist when necessary, law enforcement officers and all other duly-constituted authorities.

(11) Ensure that the licensee's conduct does not bring discredit to the investigative profession. A licensee may be deemed by the board to be guilty of misconduct in his professional practice if:

(a) He is convicted in a court of competent jurisdiction of a felony or misdemeanor which the board finds reflects unfavorably on the licensee's fitness for licensure; or

(b) His license or certificate of registration to practice private investigations in another jurisdiction is revoked, suspended, or voluntarily surrendered as a result of disciplinary proceedings.

(12) Refrain from maliciously injuring the professional reputation or practice of colleagues.

History

RELATES TO: KRS 329A.025(2)(d)
STATUTORY AUTHORITY: KRS 329A.025(2)(d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(2)(d) requires the board to promulgate administrative regulations establishing a code of professional practice and conduct for private investigator licensees. This administrative regulation establishes the code of professional practice and conduct for private investigators.
History: 32 Ky.R. 2394; 33 Ky.R. 731; eff. 10-6-2006; Crt eff. 12-11-2019.

201 KAR 41:100 Verification of limited employees {#sec-201-kar-41-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 41:100}

Section 1. Definitions.

(1) "Limited employee" means a person who engages in private investigating for a licensed private investigator or licensed private investigating firm for less than 240 hours per year.

(2) "Private investigating" is defined by KRS 329A.010(4).

Section 2. Registration of Limited Employees.

(1) Within five (5) business days of hiring, a licensee of the board shall file with the board a Limited Employee Registration form for each limited employee who works for that licensee under the exemption in KRS 329A.070(9). The Limited Employee Registration form shall be accompanied by payment of a twenty (20) dollar fee per limited employee registered.

(2) The board shall assign the limited employee a tracking number that the licensee shall use on all reporting forms.

(3) A licensee shall file a Limited Employee Registration form with the Board to update a limited employee's information, if changed, or upon termination of employment.

(4)

(a) Each licensee shall maintain a daily log listing the dates and hours worked for each limited employee.

(b) Within five (5) business days of the board's request, the licensee shall provide the daily log to the board.

(5) A limited employee may work for more than one (1) licensee during a one (1) year period. Each licensee employing that person shall comply with the requirements of this administrative regulation.

Section 3. Annual Reports. Between December 1st and December 31st each year, the licensee shall submit to the board an Annual Limited Employee Report listing each registered limited employee and the number of hours each limited employee worked during that year.

Section 4. Registration Renewal.

(1) Limited employee registration shall expire one (1) year from the date of issuance. To renew, a licensee shall submit a Limited Employee Registration form listing each registered limited employee to be renewed and payment of the twenty (20) dollar fee per limited employee registered no later than forty-five (45) days prior to the expiration date.

(2) Failure to timely submit the fee payment or the Limited Employee Registration form shall automatically suspend the limited employee's licensure exemption under KRS 329A.070(9) until the board receives and processes the payment and completed Limited Employee Registration form.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Limited Employee Registration", 5/2018; and

(b) "Annual Limited Employee Report", 5/2018.

History

RELATES TO: KRS 329A.025, 329A.070
STATUTORY AUTHORITY: KRS 329A.025(2), 329A.070(9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 329A.025(2) and 329A.070(9) require the board to establish a fee and a method of verification of the number of hours worked by a limited employee who works under the direction of a private investigator or private investigating firm licensed by the board. This administrative regulation establishes a fee and method for this verification.
History: 37 Ky.R. 1112; 1987; eff. 3-4-2011; 44 Ky.R. 2572; 45 Ky.R.340; eff. 8-24-2018; Crt eff. 12-11-2019.

Chapter 42 Board of Licensure for Massage Therapy

201 KAR 42:010 Goals for massage therapy sessions {#sec-201-kar-42-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:010}

Section 1.

(1) Goals for massage therapy may include:

(a) Maintaining health;

(b) Providing relaxation;

(d) Diminishing soft-tissue pain arising from stress, anxiety, adhesions, and overuses; and

(e) Providing treatment that is professionally appropriate for the client.

(2) In order to reach these objectives, the massage therapist shall:

(a) Provide consultation with a client or a referring professional on soft-tissue issues;

(b) Evaluate clients for the appropriate approaches for each session;

(d) Provide direct treatment; and

(e) Provide draping and treatment in a way that ensures the safety, comfort, and privacy of the client.[

History

RELATES TO: KRS 309.350(7), 309.355(3)
STATUTORY AUTHORITY: KRS 309.355(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(3) requires the board to promulgate administrative regulations setting standards of practice. This administrative regulation establishes the goals of massage therapy and possible means of achieving these goals.
History: 32 Ky.R. 1015; 1226; eff. 2-3-2006; 37 Ky.R. Am. 1009; 1695; 1989; eff. 3-4-2011; Cert eff. 2-26-2020; 48 Ky.R. 1241; eff. 7-5-2022.

201 KAR 42:020 Fees {#sec-201-kar-42-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:020}

Section 1. Fee Payments.

(1) All fees established in Section 2 of this administrative regulation shall be:

(a) Made payable as required by KRS 309.356 to the Kentucky State Treasurer; and

(b) Paid by:

Cashier's check;
Certified check;
Money order;
Personal check; or
Online payment by credit card, debit card, or electronic check.

(2) A payment for an application fee that is incorrect shall be returned to the applicant and the application shall not be posted until the correct fee is received.

(3) The application fee and the initial licensure fee established in Section 2(1) of this administrative regulation shall be nonrefundable.

(4) If it is determined that a refund of any fee is required, the refund shall be issued to the applicant or licensee.

Section 2. Fees.

(1) The fee for an initial massage therapist license shall be $200.

(2)

(a) The biennial renewal fee for a massage therapist license renewed on or before the renewal date shall be $200.

(b) If the license is renewed after the renewal date and up to sixty (60) days after expiration of the license, the fee for late renewal shall be $225.

(c) If the license is renewed sixty-one (61) to ninety(90) days after the expiration of the license, the late renewal fee shall be $250.

(d) If a license has been expired for ninety-one (91) or more, the licensee shall apply for reinstatement.

(3) The licensee may apply to reinstate the license by paying the late renewal fee of $250 and the following reinstatement fee:

(a) For applications for reinstatement submitted after ninety (90) days, but before one (1) year after the license expired, $100;

(b) For applications for reinstatement submitted after one (1) year, but before two (2) years after the license expired, $150;

(c) For applications for reinstatement submitted after two (2) years, but before three (3) years after the license expired, $200;

(d) For applications for reinstatement submitted after three (3) years, but before four (4) years after the license expired, $250; or

(e) For applications for reinstatement submitted after four (4) years, but before five (5) years after the license expired, $300.

(f) A license shall not be reinstated under subsection (2)(d) of this section if more than five (5) years have passed since the license expired. A person may apply for and obtain a new license by meeting the current requirements for licensure.

(4) A licensee shall be in good standing with the board at the time the licensee elects inactive status.

(5)

(a) The annual renewal date for an inactive license shall remain the original issue date of the license.

(b) The fee for the issuance of an inactive license shall be fifty (50) dollars.

(6) If the inactive license is renewed after the renewal date and up to sixty (60) days after expiration of the license, the fee for late inactive renewal shall be seventy (70) dollars.

(7) If the inactive license is renewed sixty-one (61) to ninety (90) days after the expiration of the license, the late renewal fee shall be eighty-five (85) dollars.

(8) The application fee for restoring a license from inactive to active status shall be fifty (50) dollars and shall not be prorated.

(9) A licensee who elects inactive status or an inactive licensee electing to activate his or her license shall complete and submit an Application for Inactive Status, Renewal of Inactive Status, or Return to Active Status in addition to the fee referenced in subsection (7) of this section. An applicant shall affix a two (2) inch by two (2) inch or larger passport quality color photograph of the applicant to the Application for Inactive Status, Renewal of Inactive Status, or Return to Active Status.

(10) A licensee who elects to give notice of the licensee's retirement and voluntarily surrender his or her massage therapy license shall complete and submit a notarized written request.

(11) The fee for an initial certificate of good standing for a program of massage therapy instruction in accordance with 201 KAR 42:080, Section 2, shall be $125.

(12) The annual fee for renewal of a certificate of good standing for a program of massage therapy instruction in accordance with 201 KAR 42:080, Section 3, shall be seventy-five (75) dollars.

(13) The fee for a one (1) time certificate of good standing shall be fifty (50) dollars. This is only applicable to: out-of-state schools who have a graduate applying to the board for licensure as a massage therapist and therefore complete the Certificate of Good Standing application, as incorporated by reference in 201 KAR 42:080 for the period of time in which the graduate was in attendance.

Section 3. Incorporation by Reference.

(1) The"Application for Inactive Status, Renewal of Inactive Status, or Return to Active Status", June 2021 is incorporated by reference.

History

RELATES TO: KRS 309.356, 309.357
STATUTORY AUTHORITY: KRS 309.355(3), 309.357
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(3) requires the board to promulgate administrative regulations to implement KRS 309.350 to 309.364. KRS 309.357 requires the board to establish reasonable fees for the licensure of massage therapists. KRS 309.357(2) and (3) authorize the issuance of an inactive license and reinstatement. This administrative regulation establishes the fees relating to massage therapy (MT) licensure.
History: 30 Ky.R. 2245; Am. 31 Ky.R. 30; eff. 8-6-2004; 33 Ky.R. 1882; 2934; eff. 4-6-2007; 37 Ky.R. 1011; 1696; 1988; eff. 3-4-2011; 39 Ky.R. 1935; 2163; eff. 5-31-2013; 42 Ky.R. 1588; eff. 2-5-2016; 43 Ky.R.790, 1729; eff. 5-5-2017; 48 Ky.R. 1242, 2577; eff. 6-2-2022.

201 KAR 42:030 Licensee's change of name, home address, or place of business {#sec-201-kar-42-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:030}

Section 1.

(1) A massage therapist licensed pursuant to KRS Chapter 309 shall notify the board electronically or in writing of any change in the person's name, home address, or place of business within thirty (30) days after the change has taken place.

(2) Any request for a name change shall be made only after submission of a legal document that authorizes the change, such as an updated passport, Social Security card, driver's license, marriage certificate, or court order showing the new name.

History

RELATES TO: KRS 309.355(4)
STATUTORY AUTHORITY: KRS 309.355(3), (4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(4) requires the board to keep a register of all persons licensed as massage therapists. KRS 309.355(3) requires the board to promulgate administrative regulations to implement KRS 309.350 through 309.364. This administrative regulation establishes the mechanism for a massage therapist to change the name, home address, or place of business under which the therapist is originally licensed.
History: 32 Ky.R. 1016; eff. 2-3-2006; 37 Ky.R. 1012; 1989; eff. 3-4-2011; Cert eff. 2-26-2020; 48 Ky.R. 1244, 2578; eff. 7-5-2022.

201 KAR 42:035 Application process, exam, and curriculum requirements {#sec-201-kar-42-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:035}

Section 1. An applicant for licensure as a massage therapist shall:

(1) File a completed, signed, and dated Application for Licensure as a Massage Therapist, and the required documentation with the board, meeting the requirements established in KRS 309.358;

(2) Pay the application fee as established in 201 KAR 42:020; and

(3) Affix a two (2) inch by two (2) inch or larger passport quality color head shot photograph of only the applicant to the application form. The photograph submitted with the application shall be taken within the previous six (6) months to reflect the current appearance of the applicant.

Section 2.

(1) To comply with KRS 309.358(1)(f), an applicant shall submit to the board, upon application, an official transcript or certificate that:

(a) Shows the completion of at least 600 classroom hours earned at a board approved massage therapy program; and

(b) Itemizes compliance with the clock hour requirements established in KRS 309.363(1)(b).

(2) Board approved massage therapy programs include only those programs holding a certificate of good standing issued pursuant to KRS 309.363, 309.3631, and 201 KAR 42:080.

(3) A massage therapy school which has registered and obtained a school code assignment with the National Certification Board for Therapeutic Massage and Bodywork (NCBTMB) shall maintain good standing with the NCBTMB during the entire period the applicant attended the school. Suspension or revocation of the NCBTMB school code at any time during that period shall constitute grounds for:

(a) Denial of an application for licensure by graduates of that school; and

(b) Revocation of a certificate of good standing held by the massage therapy school.

(4) A school's non-renewal of an NCBTMB code while in good standing shall not preclude an applicant from obtaining licensure.

Section 3. Examinations.

(1) An applicant shall successfully pass an examination:

(a) Listed in KRS 309.358(1)(g); or

(b) Approved by the board pursuant to KRS 309.358(1)(g) and listed in subsection (4) of this section.

(2) An examination shall be approved by the board as meeting the standard established in KRS 309.358(1)(g) if the board finds that the examination:

(a) Has been scientifically constructed to be valid and objective;

(b) Reflects the curriculum content established in KRS 309.363(1);

(d) Has clear application, reporting, and appeal procedures.

(3) Approval of exams shall be noted in the board minutes and on the board Web site at http://bmt.ky.gov.

(4) The following examinations have been approved by the board pursuant to KRS 309.358(1)(g):

(a) The Massage and Bodywork Licensing Examination (MBLEx) or other exam administered by the Federation of State Massage Therapy Boards (FSMTB);

(b) An entry level examination administered by the National Certification Board for Therapeutic Massage and Bodywork (NCBTMB);

(d) An entry level massage therapy examination administered by the National Board Certification Agency (NBCA);

(e) The State of Ohio Massage Therapy Licensing Exam; and

(f) The State of New York Massage Therapy Licensing Exam.

Section 4.

(1) An applicant with a criminal history, excluding minor traffic violations, may be required to participate in an in-person interview with the board's Application Committee prior to licensure. The purpose of this interview shall be to find if the applicant meets the requirement for good moral character established in KRS 309.358(1)(c). The interview shall be conducted pursuant to the board's authority under KRS 309.355(2), 309.362(1)(b), and 309.362(2) and in accordance with KRS 335B.010 to 335B.070.

(2) All applicants shall submit a recent fingerprint-supported background check performed by the Kentucky State Police and the Federal Bureau of Investigation. The required background check shall be applied for within the ninety (90) days preceding the date of submission of the application for licensure to the board.

Section 5. Appeals.An applicant may appeal the denial of his or her licensure application by requesting a hearing in accordance with KRS 309.362(2). In order to request a hearing, the applicant shall file a notice of appeal in writing within thirty (30) days of the date of the letter informing the applicant of the denial.

Section 6. Incorporation by Reference.

(1) The "Application for Licensure as a Massage Therapist", June 2021, is incorporated by reference.

History

RELATES TO: KRS 309.355, 309.358, 309.359, 309.362, 309.363, 309.3631, 335B.010-335B.070
STATUTORY AUTHORITY: KRS 309.355(1), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(1) requires the board to administer and enforce the provisions of KRS 309.350 to 309.364 and to evaluate the qualifications of applicants for licensure. KRS 309.355(3) requires the board to promulgate administrative regulations to implement KRS 309.350 to 309.364, including educational program curriculum. The board may issue a license to an applicant meeting the standards established in KRS 309.358 or 309.359. This administrative regulation establishes the application process and curriculum requirements for licensure.
History: 30 Ky.R. 2417; Am. 31 Ky.R. 31 eff. 8-6-2004; 33 Ky.R. 1883; 2934; eff. 4-6-2007; 37 Ky.R. 1013; 1697; 1990; eff. 3-4-2011; 38 Ky.R. 93; eff. 11-4-2011; 39 Ky.R. 1936; 2152; eff. 5-31-2013; 40 Ky.R. 2202; 41 Ky.R. 441; eff. 10-3-2014; 42 Ky.R. 1590; 2053; eff. 2-5-2016; 48 Ky.R. 1246, 2578; eff. 7-5-2022.

201 KAR 42:040 Renewal and reinstatement {#sec-201-kar-42-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:040}

Section 1.

(1) A license to practice massage therapy shall be renewed upon:

(a) Payment of the biennial renewal fee as established in 201 KAR 42:020, Section 2(2), on or before the anniversary date of issue of license;

(b) Submission to the board of a completed Application for License Renewal form and the following written information:

Current complete home address, email address, and telephone number, to receive communications from the board;
Current complete name, address, and telephone number of each location in which massage therapy service is provided by the licensee;
A list indicating completion of the continuing education hours as required by 201 KAR 42:110. The list shall:

a. Itemize the number of clock hours credited for each course; and

b. Designate the courses that fulfill the three (3) required hours of ethics training; and

Confirmation that, since the license was issued or renewed, the licensee has not:

a. Been convicted of a felony; or

b. Had his or her license disciplined and is not currently under disciplinary review in another state; and

(c) Submission of a two (2) inch by two (2) inch or larger passport quality color head shot photograph of only the applicant to the board affixed to the Application for License Renewal form. The photograph submitted with the application shall be taken within the previous six (6) months to reflect the current appearance of the applicant.

(2)

(a) A licensee who has been convicted of a crime or who has been disciplined or is currently under disciplinary investigation or review by the board of another jurisdiction during the licensure period immediately preceding the submission of the Application for License Renewal may be required to participate in an in-person interview with the board's Application Committee prior to renewal of the license. The purpose of this interview shall be to find if the licensee meets the requirement of good moral character established in KRS 309.358(1)(c). The interview shall be conducted pursuant to the board's authority under KRS 309.355(2), 309.362(1)(b), and 309.362(2), and in accordance with KRS 335B.010 to 335B.070.

(b) Each applicant for renewal who has been convicted of a crime or who has been disciplined by the board of another jurisdiction during the licensure period immediately preceding the submission of the Application for License Renewal shall submit a recent fingerprint supported background check performed by the Kentucky State Police and the Federal Bureau of Investigation. The required background check shall be applied for within the ninety (90) days preceding the date the Application for License Renewal is submitted.

(3) If the board denies an Application for License Renewal, notice shall be sent to the licensee and the licensee shall have thirty (30) days from the date of the notice to request an administrative hearing in accordance with KRS Chapter 13B by filing a written request for an appeal with the board.

(4) A revoked license shall not be renewed.

Section 2. A licensee convicted of a felony or disciplined by the board of another jurisdiction, shall submit notice of the conviction or discipline to the board within sixty (60) days of the discipline or conviction.

Section 3. If payment and complete information are not received by the board on or before the anniversary date of the issuance of the license, the license shall expire and the person shall not practice nor represent himself or herself as a massage therapist in Kentucky.

Section 4.

(1) An expired license shall be renewed within ninety (90) days of expiration if the applicant submits:

(a) A completed Application for License Renewal form;

(b) Documentation of successful completion of twelve (12) hours of continuing professional education, which:

Includes studies in ethics, business practices, science, and techniques related to massage therapy;
Have been credited within two (2) years prior to the renewal deadline; and
Have not been previously used within the same renewal period to satisfy Kentucky license renewal requirements; and

(2) If ninety-one (91) days or more, but less than five (5) years, have elapsed since the license expiration, the licensee shall file an Application for Reinstatement.

Section 5.

(1) A licensee shall at all times display a copy of the licensee's current license certificate at the primary massage therapy service location. A digital copy of the licensee's certificate shall be:

(a) Provided to the licensee upon initial licensing and renewal; and

(b) Made available for download by the licensee.

(2) A licensee shall provide verification of current licensure upon request if he or she is currently engaged in the practice of massage therapy, intends to engage within a reasonable time in the practice of massage therapy, or has engaged in the practice of massage therapy immediately prior to the request.

(3) Official verification of licensure status shall be available on the board's Web site at http://bmt.ky.gov.

Section 6. Reactivation Requirement for Inactive Status Massage Therapist.

(1)

(a) Before the expiration of five (5) years of inactive status, a licensee seeking restoration to active status shall:

Provide proof to the board of completion of one (1) hour of continuing professional education for every six (6) months the license has been in an inactive state, not to exceed five (5) years, in accordance with 309.357(3). If an applicant obtained inactive status within ninety (90) days of a biennial renewal date, the applicant shall also provide proof of the twelve (12) required CE hours for renewal and pay the renewal fee;
Complete the Application for Inactive Status, Renewal of Inactive Status, or Return to Active Status, as required by 201 KAR 42:020, Section 2(8); and
Pay the fee prescribed by 201 KAR 42:020, Section 2(7).

(b) The continuing education hours provided pursuant to paragraph (a)1 of this subsection may be counted toward continuing education requirements for the next regular renewal period.

(2) After more than five (5) years of inactive status, a person requesting to return to active status shall reapply as required by KRS 309.357(1)(d).

Section 7.

(1) A former licensee whose license has been expired for less than five (5) years shall apply for reinstatement of the license by:

(a) Submitting a completed Application for Reinstatement;

(b) Submitting proof of completion of a total of credit hours of continuing professional education determined at the rate of one-half (1/2) credit hour for each month having passed since the license expired; and

(2) Continuing professional education credit hours completed by an applicant for reinstatement:

(a) May have been obtained by the applicant at any time after the license expired, but shall have been obtained prior to submitting the Application for Reinstatement; and

(b) Shall meet the requirements for board-approved continuing education courses set forth at 201 KAR 42:110, Section 3.

(3) A license shall not be reinstated if more than five (5) years have passed since the license expired pursuant to Section 3 of this administrative regulation. A person may apply for and obtain a new license by meeting the current requirements for licensure.

(4)

(a) Each applicant for reinstatement who has been convicted of a crime since the license expired shall submit a fingerprint supported background check performed by the Kentucky State Police and the Federal Bureau of Investigation. The background check shall be applied for within the ninety (90) days preceding the date the Application for Reinstatement is submitted.

(b) If an applicant for reinstatement has been convicted of a crime or has been disciplined or is currently under disciplinary investigation or review by the board of another jurisdiction, the applicant shall include a written explanation of the charges and proof of dispositions with the application. The board may require the applicant to participate in an in-person interview with the board's Application Committee prior to reinstatement of the license. The purpose of this interview shall be to find if the licensee meets the requirement of good moral character established in KRS 309.358(1)(c). The interview shall be conducted pursuant to the board's authority under KRS 309.355(2), 309.362(1)(b), and 309.362(2), and in accordance with KRS 335B.010 to 335B.070.

(5) If the board denies an Application for Reinstatement, notice of the decision shall be sent to the applicant for reinstatement and the applicant shall have thirty (30) days from the date of the notice to request an administrative hearing in accordance with KRS Chapter 13B by filing a written request for an appeal with the board.

(6) A revoked license shall not be reinstated.

Section 8. Incorporation by Reference.

(1) The following forms are incorporated by reference:

(a) "Application for License Renewal", June 2021; and

(b) "Application for Reinstatement", June 2021.

History

RELATES TO: KRS 309.357(1)(a), 309.358, 309.361, 309.362, 335B.010-335B.070
STATUTORY AUTHORITY: KRS 309.355(1), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(1) requires the board to administer and enforce the provisions of KRS 309.350 to 309.364 and authorizes licensure renewal. KRS 309.355(3) requires the board to promulgate administrative regulations to implement KRS 309.350 to 309.364. KRS 309.357(1)(a) requires the board to establish a schedule of fees for the renewal of licenses, the reinstatement of licenses, and establishes requirements for placing licenses in inactive status and for restoring licensing to active status. KRS 309.361(1) designates a two (2) year renewal period. This administrative regulation establishes the requirements for renewal of licenses and the reinstatement of expired licenses that have been expired for less than five (5) years' time.
History: 32 Ky.R. 1017; Am. 1226; eff. 2-3-2006; 33 Ky.R. 1885; 2935; eff. 4-6-2007; 37 Ky.R. 1699; 1991; eff. 3-4-2011; 38 Ky.R. 1657; 1856; eff. 6-1-2012; 39 Ky.R. 1938; eff. 5-31-2013; 40 Ky.R. 2204; 41 Ky.R. 442; eff. 10-3-2014; 42 Ky.R. 1592; 2054; eff. 2-5-2016; 43 Ky.R. 792, 1729; eff. 5-5-2017; 48 Ky.R. 1248, 2579; eff. 7-5-2022.

201 KAR 42:050 Complaint procedure and disciplinary action {#sec-201-kar-42-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:050}

Section 1. Definitions.

(1) "Complaint committee" means a committee of the board that:

(a) Reviews an initiating complaint; and

(b)

Recommends dismissal or further investigation of the complaint; or
Determines the existence of sufficient evidence to bring a formal complaint.

(2) "Formal complaint" means a formal administrative pleading authorized by the board that sets forth a charge against a licensee or applicant and commences a formal disciplinary proceeding under KRS Chapter 13B.

(3) "Initiating complaint" means a written complaint alleging a violation of KRS 309.350 through 309.364.

(4) "Respondent" means the person against whom an initiating complaint or formal complaint has been made.

Section 2. Initiating Complaint.

(1) A complaint may be initiated by:

(a) An individual;

(b) A state or government agency;

(d) The board.

(2) An initiating complaint shall be made in writing to the board and received in the board office.

(3) The board may conduct an investigation on its own initiative, without receipt of a complaint, if the board has reason to believe that there may be a violation of KRS 309.350 through 309.364, or 201 KAR Chapter 42.

(4) A certified copy of a court record for conviction of a misdemeanor or felony shall be considered a valid reason for an initiating complaint.

(5) Any complaint shall be in writing, identify the complainant, including name and contact information, and contain specific details regarding the complaint. Complaints without the required information will not be processed. The Form to File a Complaint or Unlicensed Activity Report may be used for this purpose.

Section 3. Procedure Upon Receipt of Initiating Complaint.

(1) Upon receipt of the initiating complaint, the board office shall send a copy of the initiating complaint to the respondent at the respondent's last address of record with the board.

(2) The respondent shall file a response to the initiating complaint with the board within twenty (20) days after the board mails the initiating complaint to the respondent.

(3) The allegations in an initiating complaint shall be considered true if the respondent fails to respond to the initiating complaint in a timely fashion.

Section 4.

(1) The complaint committee shall:

(a) Review the initiating complaint and the response filed by the respondent at its next meeting; and

(b) Recommend one (1) of the following options to the board at the board's next meeting:

Dismissal;
Further investigation;
Issuance of a formal complaint; or
Referral to another government agency.

(2) A complaint committee member having any known conflict of interest shall be recused from the matter and disclose the existence of the conflict in a regular board meeting.

Section 5. Board Action upon Recommendation of Complaint Committee. At the board's next meeting following review by the complaint committee, the board shall review the committee's recommendations and shall accept or reject the recommendations in whole or in part.

Section 6. Dismissals. The complainant and respondent shall be notified if a case is dismissed.

Section 7. Investigations.

(1) If investigation is warranted, the board shall appoint one (1) of its members or an agent or representative of the board to conduct an investigation of the complaint.

(2) In its investigation, the board may be assisted by:

(a) Board staff;

(b) A board agent; or

Section 8. Formal complaints. If the board finds that sufficient evidence exists to file a formal complaint, the board shall:

(1) Resolve the case informally by agreed order; or

(2) File a formal complaint, in accordance with KRS Chapter 13B.

Section 9. Settlement by Informal Proceedings.

(1) The board, through counsel, may enter into informal discussions or negotiations with the respondent for the purpose of appropriately dispensing with the matter.

(2) An agreed order or settlement reached through informal proceedings shall be approved by the board and signed by the chair of the board, the respondent, and the respondent's attorney. A copy shall be placed in the licensee's file and a copy shall be mailed to the complainant.

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

Section 10. Procedures for Disciplinary Hearings.

(1) All procedures for disciplinary hearings shall conform to KRS Chapter 13B.

(2) Testimony to be considered by the board, hearing panel, or hearing officer, if any, may be taken by deposition. A party or witness may be allowed to testify by deposition, rather than attend the hearing, upon a showing of inability to attend and a showing that other parties shall have an opportunity to cross-examine at the deposition. The presiding officer or hearing officer, if any, shall rule upon motions to allow testimony to be considered by deposition, subject to review and approval by the board.

(3) The presiding officer or hearing officer, if any, may order that at least five (5) days prior to the hearing, each party shall file a summary of each witness' expected testimony.

(4) The board may request recovery of administrative costs and fees incurred by the board in processing, investigating, or administering a complaint to be paid by a respondent. The request shall be submitted by motion to an administrative hearing officer assigned under KRS 13B.080 to preside over a KRS Chapter 13B hearing of the complaint. The request may also be made to a circuit court judge presiding over an action for injunction filed by the board pursuant to KRS 309.355(6).

Section 11. Final Disposition. Upon reaching a decision, the board shall notify the respondent in writing, by certified mail or personal service, of its final disposition of the matter and the complainant shall be notified by regular mail.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Form to File a Complaint", June 2021; and

(b) "Unlicensed Activity Report", June 2021.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601. The board's Web site address is: https://bmt.ky.gov/.

History

RELATES TO: KRS 309.351, 309.355(1), (2), (6), 309.362
STATUTORY AUTHORITY: KRS 309.355(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(1) requires the board to regulate the practice of massage therapy. KRS 309.355(2) requires the board to investigate every alleged violation and take appropriate action. This administrative regulation establishes the procedure for filing a complaint and the action to be taken by the board on a complaint and disciplinary action of a licensee or applicant in violation of KRS 309.351 or 309.362.
History: 32 Ky.R. 1019; 1227; eff. 2-3-2006; 37 Ky.R. 1016; 1700; 1992; eff. 3-4-2011; 42 Ky.R. 1594; 2055; eff. 2-5-2016; 48 Ky.R. 1251, 2581; eff. 7-5-2022.

201 KAR 42:061 Code of ethics and standards of practice for massage therapists {#sec-201-kar-42-061 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:061}

Section 1. Code of Ethical Standards for the Massage Therapist. A massage therapist shall:

(1) Maintain the confidentiality of all client information, unless law or court order mandates disclosure;

(2) Keep the client well informed of procedures and methods that will be employed during the session;

(3) Report to the board if the massage therapist has first-hand knowledge or evidence indicating any unethical, incompetent, or illegal act has been committed by another licensee;

(4) Take precautions to do no harm to the physical, mental, and emotional well-being of clients or associates;

(5) Make every reasonable effort to report unlicensed practice of massage therapy to the board;

(6) Represent his or her educational and professional qualifications honestly;

(7) Inform clients of the limitations of the licensee's practice;

(8) Consistently take measures to improve professional knowledge and competence by a regular assessment of personal and professional strengths and weaknesses through continuing education training;

(9) Respect the client's right to treatment with informed and voluntary consent, either verbal or written, and to refuse, modify, or terminate treatment regardless of prior consent;

(10) Not engage in sexual conduct or activities with a client;

(11) Not engage in an interest, activity, or influence that conflicts with the practitioner's obligation to act in the best interest of the client;

(12) Respect the client's boundaries with regard to privacy, disclosure, exposure, emotional expression, beliefs, and reasonable expectations of professional behavior;

(13) Refuse to accept gifts or benefits, which are intended to influence a referral or treatment that are purely for personal gain and not for the good of the client;

(14) Conduct all business and professional activities with honesty and integrity;

(15) Respect the inherent worth of all clients;

(16) Provide only those services that the licensee is qualified to perform; and

(17) Respect the client's autonomy.

Section 2. Standards of Practice for the Massage Therapist.

(1) In the practice of massage therapy, a massage therapist shall:

(a) Perform a written or verbal intake interview with the client to evaluate if any contraindications to massage therapy exist and if modifications including pressure, technique, and duration of treatment are applicable;

(b) Evaluate each client through observation, palpation, and any relevant records provided by the client;

(d) Plan and implement a treatment session or program individualized for the client;

(e) Refer the client to other professionals or services if the treatment or service is beyond the massage therapist's scope of practice;

(f) Maintain for a minimum period of five (5) years accurate, timely, and organized records of every client;

(g) Provide massage therapy services that meet or exceed the generally accepted practice of the profession;

(h) If a plan of care or treatment is applicable, explain the plan to the client, to others designated by the client, and to professionals with client permission;

(i) Unless prohibited by law, be allowed to pool or apportion fees received with other members of a business entity in accordance with any business agreement;

(j) Practice massage therapy in sanitary and safe conditions;

(k) Use proper draping technique;

Before beginning a massage, the massage therapist shall explain to the client the draping techniques that will be used; and
Provide the client a clean drape large enough for the purpose of draping the buttocks, genitalia, and chest. These body parts shall remain covered, except during therapeutic treatment of those specific areas, with the exception of the genitalia, which shall always remain covered; and

(l) Have the right to refuse to treat any person or part of the body at the licensee's discretion.

(2) In the practice of massage therapy, a massage therapist shall not:

(a) Provide treatment to the anus or anal canal, including, treatments such as colonic irrigations and enemas; or

(b) Provide treatment to the genitals, including, for conditions such as erectile dysfunction or pelvic floor issues.

(3) Interacting with other medical professionals. With written permission from the client, the massage therapist may interact with the client's physician or other healthcare providers if the client is under direct medical care.

(4) If the client is self-referred and under the care of a health care professional, the massage therapist may, with written permission from the client:

(a) Advise the health care professional that the patient is seeking massage treatment;

(b) Provide to the health care professional the massage therapist's evaluation results;

(d) Provide a follow-up report upon completion of the massage treatment plan to enhance communication between the multidisciplinary care-giving team.

(5) Breast massage. A licensee performing massage of the tissue of the breast shall:

(a) Obtain the client's informed written consent prior to providing the service;

(b) Maintain proof documenting specialized training in breast massage which addresses breast anatomy, breast pathology, and breast massage technique and which was provided by an approved massage therapy program or board approved continuing education provider;

(c) Inform the client prior to the commencement of the service that this service may be performed through a draping sheet if the client so desires and the licensee shall provide the service through a draping sheet if the client so prefers;

(d) Inform the client prior to the commencement of the service that the client may discontinue the service at any time and the licensee shall honor that election by discontinuing the provision of the service if that request is made;

(e) Keep detailed Subjective Objective Analysis Plan notes for the service such as notes related to all emotional factors that the client reports to the licensee which might impact the client's suitability for the service and the precautions that the licensee has taken to ensure that the service is provided in a manner accounting for those emotional factors; and

(f) Refrain from an act or statement which the client may construe as being sexual in nature.

Section 3. Standards for Documentation. The massage therapist and client shall agree upon the purpose of the massage session.

(1) Documentation shall not be required if the massage session is for general relaxation, a sports event massage, or public demonstration as in chair massage.

(2) If a written plan of treatment is requested or required, the client file shall include the following documentation:

(a) The initial evaluation, which shall include:

The client's name, age, and gender;
Date of the session; and
Pertinent medical history, including:

a. Client sensitivities and allergies;

b. Medical diagnoses, if available, and the source of the diagnosis;

c. Contraindications; and

d. Medications as disclosed by the client;

(b) Progress notes signed by the massage therapist rendering the massage therapy, which shall include:

Subjective information including the area of complaint as stated by the client and the date of onset;
Objective information including any observations and objective testing, if applicable;
Ongoing assessments, if applicable;
Actions taken by the massage therapist; and
The client response to massage therapy treatment; and

Modalities to be rendered;
Frequency and duration of treatment;
Referral to other professionals, if indicated;
Client self-help education and instruction; and
The goals or desired outcome of the treatment.

History

RELATES TO: KRS 309.355(1), (3), 309.362
STATUTORY AUTHORITY: KRS 309.355(1), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(1) requires the Board of Licensure for Massage Therapy to administer and enforce the provisions of KRS 309.350 to 309.364. KRS 309.355(3) requires the board to establish by administrative regulation a code of ethics and standards of practice for massage therapists. This administrative regulation establishes those standards, which, if violated, are a basis for disciplinary action under KRS 309.362.
History: 48 Ky.R. 1971, 2582; eff. 7-5-2022.

201 KAR 42:070 Endorsement {#sec-201-kar-42-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:070}

Section 1. An applicant who is credentialed as a massage therapist in another state shall submit:

(1) A completed Application for Licensure by Endorsement;

(2) A recent fingerprint-supported background check performed by the Kentucky State Police and the Federal Bureau of Investigation. The required background check shall be applied for within the ninety (90) days preceding the date of submission of the application for licensure to the board.

(3) A two (2) inch by two (2) inch or larger passport quality color head shot photograph of only the applicant, which is attached to the application form. The photograph submitted with the application shall be taken within the previous six (6) months to reflect the current appearance of the applicant.

(4) A certified statement from the credentialing authority of the jurisdiction in which the applicant currently holds a license or credential that the individual has been licensed in that jurisdiction for one (1) year prior to the filing of the application in Kentucky and has been in good standing as a massage therapist for the duration of the license or credential;

(5) The appropriate fee for licensure as required by 201 KAR 42:020, Section 2(1); and

(6) Documents evidencing the applicant's combined initial training, professional experience, continuing education, or other credentials constituting equivalency to KRS 309.358. Acceptable documentation may include:

(a) Passage of an entry level examination administered by the National Certification Board of Therapeutic Massage and Bodywork (NCBTMB), which includes the National Certification Examination (NCE), National Certification Examination for Therapeutic Massage (NCETM), and the National Certification Examination for Therapeutic Massage and Bodywork (NCETMB), or an examination that has been approved by the board pursuant to 201 KAR 42:035;

(b) Certified school transcripts received directly from the massage school, which qualified for a certificate of good standing from the Commonwealth of Kentucky for the duration of the applicant's attendance;

(c) Copies of continuing education certificates from studies completed after or not included as part of the initial training;

(d) Certified transcript of health care related academic course work;

(e) Proof of teaching massage therapy relevant curriculum as stated in KRS 309.363;

(f) Other credentials that may constitute equivalence to the standards in KRS 309.358, which may also include research, clinical internships, publications, and massage therapy leadership positions; or

(g) Current proof of hands-on therapeutic massage or bodywork sessions with supporting documentation for the hours or years of massage therapy work for six (6) months of the one (1) year preceding the application for endorsement.

The supporting documentation shall include:

a. Appointment books, employer verification, log books, and contact information for the employer; or

b. If self-employed, appointment books, and verification of self-employment.

If proof of hands on therapeutic massage or bodywork sessions is the only documentation provided to establish equivalency, a minimum of four (4) years' experience shall be required.

Section 2. Reciprocity for Spouses and Dependents of Members of the United States Military, Reserves, or National Guard. The spouse or a dependent of a member of the United States Military, Reserves, or National Guard may apply for licensure by endorsement by submitting:

(1) A completed Application for Licensure by Endorsement;

(4) The appropriate fee for licensure as required by 201 KAR 42:020, Section 2(1), unless prohibited by a Kentucky Revised Statute;

(5) Proof that the applicant holds a valid license or certificate for the profession issued by another state, the District of Columbia, or any possession or territory of the United States;

(6) Proof they are married to or a dependent of a member of the United States Military, Reserves, or National Guard; and

(7) Proof that the applicant's spouse or family member is assigned to a duty station in this Commonwealth pursuant to the official orders.

Section 3. Criminal History. An applicant with a criminal history, excluding minor traffic violations, may be required to be interviewed by the board's Application Committee prior to licensure to find if the applicant complies with the requirement for good moral character established in KRS 309.358(1)(c), and the interview shall be conducted pursuant to the board's authority under KRS 309.355(2) and KRS 309.362(1)(b), and in accordance with KRS 335B.010 to 335B.070.

Section 4. Appeals.

(1) An applicant may appeal the denial of his or her licensure application by requesting a hearing in accordance with KRS 309.362(2).

(2) In order to request a hearing, the applicant shall file a notice of appeal in writing within thirty (30) days of the date of the letter informing the applicant of the denial.

Section 5. Incorporation by Reference.

(1) The "Application for Licensure by Endorsement", March 2022, is incorporated by reference.

History

RELATES TO: KRS 309.355, 309.358, 309.359, 309.362, 309.363, 335B.010-335B.070
STATUTORY AUTHORITY: KRS 309.355(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.359 authorizes the board to issue a license to a person holding a credential in another state of the United States. KRS 309.355(3) requires the board to promulgate administrative regulations to implement KRS 309.350 through 309.364. This administrative regulation establishes the application process for issuance of a license to a person holding a credential in another state of the United States.
History: 33 Ky.R. 2227; Am. 2936; eff. 4-6-2007; 37 Ky.R. 1020; 1704; 1993; eff. 3-4-2011; 39 Ky.R. 1939; 2164; eff. 5-31-2013; Crt eff. 2-26-2020; 48 Ky.R. 1255, 2584; eff. 7-5-2022.

201 KAR 42:080 Programs of massage therapy instruction {#sec-201-kar-42-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:080}

Section 1. Definitions.

(1) "Adjunctive course" means a course in a program of education that enhances the career of a massage therapist, but is not massage theory, technique, or practice.

(2) "Clinic" or "clinical" means a setting in which students are provided with on-site supervision and training in the practice of massage therapy.

(3) "Clinical coordinator" means the instructor of a massage therapy course in which students are assigned to perform massage therapy sessions on non-students, on or off-campus, and who is responsible for assigning the student to a clinical setting, supervising student performance through regular consultation with the student, and evaluating student achievement of clinical course objectives.

(4) "Externship" means a course offered by an approved program that:

(a) Has a syllabus that describes objectives and evaluations; and

(b) Is over and above the 600 supervised curriculum hours required for licensure.

(5) "Other licensed healthcare professional" means a practitioner as established in KRS 309.352(9)(a) through (c), (e), and (f) who may supervise a massage therapy student in a business.

(6) "Supervision" means the process of verifying attendance, assigning work, consulting with the student, evaluating student performance, and being available for emergency assistance.

Section 2.

(1) To apply for a Certificate of Good Standing, a program of massage therapy instruction shall file a completed, signed, and dated Certificate of Good Standing for a Massage Therapy Training Program Initial Application Form and required documentation with the board, meeting the requirements established in KRS 309.363(1), and pay the fee set forth in 201 KAR 42:020, Section 2(11), and if applicable, in Section 2(13). Documentation shall include:

(a) A copy of the current license to operate issued by the Kentucky Commission for Proprietary Education, the Council on Postsecondary Education, or their equivalent in the state in which the school is conducting classes;

(b) A curriculum statement as described in KRS 309.363(1)(b) showing clock hours for each of the required subjects;

(c) A listing of instructional staff and their qualifications, as described in KRS 309.363(1)(c)1., 2., and 3. including:

Documentation of current Kentucky licensure of massage instructors; and
A resume, curriculum vitae, or PE-11 form, which is incorporated by reference in 791 KAR 1:010, for all instructors showing the specific qualifications for teaching an adjunctive or science course;

(d) A description of the policies and procedures in place for collecting and analyzing data about the quality and effectiveness of educational programs including student progress, completion, and licensure;

(e) A copy of the program or school catalogue;

(f) Documentation of accreditations held by the program or school offering the program; and

(g) A copy of a student contract agreeing not to accept compensation for massage therapy services provided prior to licensure by the board.

(2)

(a) A school may be presumed to have met the qualifications in subsections (1)(b) and (c) of this section if:

It holds a current designation of "Approved School" from the National Certification Board of Therapeutic Massage and Bodywork; or
It has the designation of "accredited" or "COMTA-endorsed curriculum" from the Council for Massage Therapy Accreditation.

(b) The designation shall have been current for the time period the Certificate of Good Standing is to be requested.

(3) After a determination is made, an applicant that has been denied shall be entitled to a hearing on the denial in accordance with KRS Chapter 13B if the applicant notifies the board in writing within thirty (30) days that it desires a hearing.

Section 3.

(1)

(a) A Certificate of Good Standing may be renewed upon submission of the Certificate of Good Standing for a Massage Therapy Training Program Renewal Application with the information required by this administrative regulation to the board and payment of the fee set forth in 201 KAR 42:020, Section 2(12), on or before the anniversary date of issue of the certificate.

(b) The Certificate of Good Standing for a Massage Therapy Training Program Renewal Application shall include:

The current complete name, address, email address, Web site, and telephone number of each location in which the massage therapy training program is provided;
The name and contact information of the owner;
Documentation of the items required in Section 2 of this administrative regulation if these have changed since the program's initial application or last renewal;
A statement with supporting statistics to show student completion, examination pass rates, licensure rates, and placement rates;
A statement with supporting documentation showing proof that at least seventy (70) percent of the graduates of the program who have taken the MBLEx or other board approved examinations over the twelve (12) months prior to application have received a passing score. This statistical report from the examination company shall be computed for the twelve (12) months, which ends thirty (30) days prior to the certificate anniversary date. Failure to supply proof of meeting this standard shall be grounds for denial of a program's request for certification of good standing; and
A curriculum statement for new programs of massage therapy added to the school's original offering, such as an associate's degree program, if the new program may be used to meet initial qualifications for licensure; and

(c) Documentation of changes to any of the following items, if these have changed since the program's initial application or last renewal, shall be filed with the board within sixty (60) days of the change:

The contact information for the school;
The instructional staff;
The qualifications of an instructor;
The curriculum;
The massage therapy programs offered;
The program's accreditation; and
Updated information on student completion, examination pass rates, licensure rates, and placement rates.

(2) After a determination is made, an applicant seeking renewal that has been denied shall be entitled to a hearing on the denial in accordance with KRS Chapter 13B if the applicant notifies the board in writing within thirty (30) days that it desires a hearing.

Section 4. Notifications to Students of Changes in Status.

(1) A program of massage therapy instruction shall notify current students in writing of any changes in status of its Certificate of Good Standing from the Commonwealth of Kentucky within thirty (30) days of that change in status. The notice shall include an explanation of the specific actions taken to remedy the problem.

(2) The program of massage therapy instruction shall provide proof to the board of this notification within ten (10) days of the notification.

Section 5. Externships and Clinicals.

(1) A student completing an externship or clinical experience shall not receive compensation.

(2) Massage schools or businesses that provide any type of student massage shall conspicuously include the respective words "student massage" in all promotional materials, and shall conspicuously display a written notice in the waiting room or treatment area that services are being provided by a student.

(3) Clinical courses awarding credit hours toward the 600 hours required for licensure shall be supervised by a licensed massage therapist with at least three (3) years of experience in the practice of massage therapy and who is available for on-site consultation.

(a) Massage sessions offered as part of a student clinic shall be evaluated by the instructor, and applicable goals for improvement in areas such as customer service, technique, body mechanics, and draping shall be established according to the needs of the student.

(b) Student massage clinics shall be supervised by a massage therapy instructor in the clinic.

(c) Student clinic client records shall be maintained at the school and shall meet the record keeping requirement established in 201 KAR 42:061, Section 2(1)(f) and the Standards for Documentation established in 201 KAR 42:061, Section 3. Record of payment shall be made available to the client upon request.

(4) The instructor of the externship course shall provide:

(a) Clear, written learning objectives to students and their site supervisors;

(b) Planned opportunities to discuss the externship experience at regular intervals with the student, and with the site supervisor; and

(c) A mechanism for evaluating student performance in the externship experience, presented to the student and the site supervisor at the beginning of the course.

(5) A program offering an externship course shall have a written agreement signed by the institution's representative or program director and the externship site personnel that clearly defines the responsibilities of the onsite supervisor, the clinical coordinator, and the student. An externship course shall be limited to no more than twenty (20) percent of the total program hours. The externship course, if offered, shall be completed after the primary 600 supervised curriculum hours required by KRS 309.358(1)(f).

(6) A program offering an externship course shall have liability insurance to cover student activities within the course.

(7) Externship sites shall have a licensed massage therapist or other licensed healthcare professional onsite to be available for emergencies or consultation.

(a) Externs may accrue hours for reception, documentation, or business-related activities other than hands-on massage services while the site supervisor is off-premises.

(b) A student session at an externship site may occur with the site supervisor available by phone if the client of the session is on the staff of the externship site or is another extern, and a member of the professional staff is on premises for emergency assistance.

(8) Externship client records shall be maintained at the externship site and shall meet the record keeping requirement established in 201 KAR 42:061, Section 2(1)(d) and the Standards for Documentation established in 201 KAR 42:061, Section 3. Record of payment shall be available to the client upon request.

Section 6.

(1) A program of massage therapy instruction which fails to uphold the standards set in KRS 309.363 shall notify the board in writing within ten (10) days of the lapse. The failure to uphold the standards, and the failure to notify the board in a timely manner, may result in a fine and probation as determined by the board pursuant to KRS 309.362 to allow time to re-attain the standard. Graduates from the program during the period of non-compliance and the probationary period may be considered for licensure. If there is a failure to meet standards and the program's Certificate of Good Standing is revoked, the board shall not consider graduates of the program to have met the educational requirements for licensure after the revocation.

(2) The loss of a qualified instructor shall be remedied within thirty (30) days. The use of an unqualified instructor to substitute in the program may result in revocation of the Certificate of Good Standing and a fine of fifty (50) dollars.

(3) Proof of the exam rate from the administering agency for twelve (12) months ending thirty (30) days prior to the renewal date shall be submitted with the Certificate of Good Standing for a Massage Therapy Training Program Renewal Application.

(a) The first incidence of failure to maintain the required license exam pass rate for this twelve (12) month period shall result in a probationary period during which graduates of the program may still be considered by the board for licensure.

(b) A second failure within a five (5) year period may result in revocation of the Certificate of Good Standing, and graduates of the program may no longer be considered for licensure by the board unless they graduate from another approved program of massage therapy instruction.

(4) If filing a Certificate of Good Standing for a Massage Therapy Training Program Renewal Application while on probation, the school shall explain in writing specific actions taken to remedy the problem.

Section 7. Sale or Other Change in Ownership. If the school is sold or is otherwise transferred, the school shall notify the board in writing within thirty (30) days of transfer of the new ownership, and provide updated information regarding the ownership structure, contact information, and any staff or curriculum changes.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Certificate of Good Standing for a Massage Therapy Training Program Initial Application Form", November 2021; and

(b) "Certificate of Good Standing for a Massage Therapy Training Program Renewal Application", March 2022.

History

RELATES TO: KRS 309.352(2), (9), 309.355(1), (3), 309.358(1)(f), 309.362, 309.363(1), 309.3631
STATUTORY AUTHORITY: KRS 309.355(1), (3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.352(2) requires the board to define licensed health-care professionals for the supervision of massage therapy students in clinical settings. KRS 309.355(1) requires the board to administer and enforce the provisions of KRS 309.350 to 309.364. KRS 309.355(3) requires the board to promulgate administrative regulations on standards of massage therapy educational program curriculum and instructor qualifications. KRS 309.358(1)(f) requires the board to approve massage therapy training programs. KRS 309.363 requires board approval of massage therapy programs of instruction and establishes instructor qualifications. KRS 309.3631 requires the annual renewal of certificates of good standing, documentation of program updates, personnel changes, graduation rates, licensing examination rates, and the payment of a fee. This administrative regulation establishes the definitions of supervision and qualifying supervisors and establishes the process for issuing and renewing the Certificate of Good Standing to a program of massage therapy education.
History: 37 Ky.R. 1113; 1705; 1994; eff. 3-4-2011; 39 Ky.R. 1941; 2165; eff. 5-31-2013; 40 Ky.R. 2207; 41 Ky.R. 444; eff. 10-3-2014; 42 Ky.R. 1596; 2056; eff. 2-5-2016; 48 Ky.R. 1891, 2585; eff. 7-5-2022.

201 KAR 42:110 Continuing education requirements {#sec-201-kar-42-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 42:110}

Section 1. Definitions.

(1) "ABMP" means the Associated Bodywork and Massage Professionals.

(2) "AMTA" means the American Massage Therapy Association.

(3) "AOBTA" means the American Organization for Bodywork Therapies of Asia.

(4) "Board" is defined by KRS 309.350(1).

(5) "CE hour" means continuing education hours consisting of fifty (50) minutes of an organized learning activity that is either didactic or clinical experience and excludes meals, breaks, and registration.

(6) "Competency" means the study, development, and demonstration of knowledge and skills in meeting professional expectations as a massage therapist.

(7) "Continuing education" means participation in an approved program or learning experience that is designed to facilitate continued competency including ethical and legal practice in the therapeutic massage and bodywork profession through participation in a learning process that enhances the licensee's current knowledge, skills, and abilities in the profession.

(8) "FSMTB" means the Federation of State Massage Therapy Boards.

(9) "NCBTMB" means the National Certification Board for Therapeutic Massage and Bodywork.

(10) "NCCAOM" means the National Certification Commission for Acupuncture and Oriental Medicine.

(11) "Provider" means an organization, entity, or individual that has met the requirements of the board to provide educational courses that are designed to ensure continued competence in the practice of massage therapy.

(12) "Self-paced learning" means a course designated for an individual to learn at his or her own pace and is often referred to as correspondence or home study with testing or an evaluation process.

Section 2. Accrual of CE Hours; Computation of Accrual.

(1) A licensee shall accrue a minimum of twelve (12) CE hours during a two (2) year licensure period for renewal of a license, beginning on the date of license issue.

(2) A minimum of three (3) of the twelve (12) hours required by subsection (1) of this section shall be accrued in the field of professional ethics.

(3) All CE hours shall be in or related to the practice of massage therapy.

(4) Coursework related to therapeutic techniques conducted on animals shall not be approved for continuing education credit.

Section 3. Acquisition of CE Hours.

(1) CE hours applicable to the renewal of a license shall be directly related to the professional growth and development of massage therapy practitioners. CE hours may be earned by completing any of the educational activities described in this subsection.

(a) Courses Not Requiring Board Review and Approval. Courses from the following sources shall be relevant to the practice of massage therapy and shall be approved if the course is in or relates to massage therapy and does not violate any of the prohibitions contained in this administrative regulation:

Courses and Learning Opportunities approved by the NCBTMB;
Courses offered by the AMTA and its state affiliates;
Courses approved by the NCCAOM;
Courses offered by the AOBTA and its state affiliates;
Courses offered by the ABMP;
Kentucky board approved massage therapy programs of instruction or massage therapy programs duly licensed to operate in other states;
Relevant academic courses completed in a degree-granting college or university accredited by an agency that is approved by the Council on Higher Education Accreditation (CHEA); or
Courses offered by the FSMTB.

(b) Programs Requiring Board Review and Approval. All other programs, including self-paced learning courses and in-service training provided by organizations, educational institutions, or other service providers not listed in paragraph (a) of this subsection, and programs or academic courses presented by the licensee shall require approval by the board.

(c) Required Training for pulsed electromagnetic field (PEMF) or microcurrent devices. Massage therapists who use PEMF therapy or microcurrent devices shall be able to prove training in the use of the device they employ. This training may be provided by entities described in subsection(1)(a) and (b) of this section, or by the manufacturer of the device if the Applications Committee reviews the training and finds that it provides clear guidelines for proper application, indications, and contraindications. Manufacturer training shall not be considered for CE credit unless the training has been approved by the board as described in subsection(1)(b) of this section.

(2) Presenters of relevant programs or academic courses may earn double continuing education credit for the length of presentation time, not to exceed six (6) CE hours per renewal cycle.

(3) Credit shall not be issued for repeated instruction of the same course.

(4) A licensee shall not receive credit for completing the same CE course within the two (2) year renewal period.

Section 4. Documentation of CE Hours.

(1) A licensee shall furnish the following information regarding completion of the appropriate number of CE hours for the current renewal period:

(a) Name of course, date, and the author or instructor;

(b) Name of providing organization and the location of the course;

(d) Provider number;

(e) Provider name and telephone number for board verification;

(f) Official transcripts with a raised seal showing academic credits and grades awarded if courses are received from a university, college, or vocational technical adult education facility; and

(g) Documentation of completion, if requested by the board.

(2) A licensee who supplies false information to the board in order to comply with the CE requirements of this administrative regulation shall be subject to disciplinary action that may include suspension or revocation of license.

Section 5. Procedures for Preapproval of Continuing Education Courses.

(1) An entity seeking to obtain approval of a continuing education course prior to its offering shall complete a Continuing Education Program Application and submit it to the board at least sixty (60) days in advance of the commencement of the course, stating the:

(a) Type of learning activity;

(b) Subject matter;

(d) Number of CE hours offered; and

(e) Statement of how the CE course relates to massage therapy.

(2) A CE activity shall be preapproved if the activity being presented:

(a) Is an organized course of learning;

(b) Pertains to subject matters that integrally relate to the practice of massage therapy;

(d) Is conducted by an individual with approved educational training or experience.

(3) The board shall review preapproval requests meeting the board's deadline at the board meeting immediately following the submittal and receipt of all required materials. An entity shall submit a preapproval request, and all required materials shall be received by the board at least one (1) business day before the board meeting. The board may defer a preapproval request to the next board meeting if the request did not meet the deadline established in this subsection.

Section 6. Responsibilities and Reporting Requirements of Licensees. A licensee shall:

(1) Identify the licensee's own continuing education needs, take the initiative in seeking continuing professional education activities to meet these needs, and seek ways to integrate new knowledge, skills, and attitudes;

(2) Select approved activities by which to earn CE hours;

(3) Maintain records of CE hours, for a period of two (2) years from the date of renewal; and

(4) Document attendance and participation in a CE activity by providing official transcripts, copies of certificates, or verification of completion, if requested.

Section 7. Carry-over of CE Hours.

(1) A maximum of six (6) CE hours may be carried over into the next renewal period.

(2) A licensee shall maintain records related to carry-over CE hours and submit those CE hours to the board if the licensee elects to utilize those hours for the fulfillment of the continuing education requirement for the current renewal period.

(3) A continuing education course shall only be used for the fulfillment of the continuing education requirement for a single renewal period and shall not be subdivided for utilization in multiple renewal periods.

Section 8. Appeal Procedure If Approval for CE Hours is Denied. If an application for approval of CE hours is disapproved, the licensee may request reconsideration by the board. The request shall be in writing and shall be received by the board within thirty (30) days after the date of the board's decision denying approval of the CE hours.

Section 9. Audit of CE Activities. The board may audit the documentation of a licensee's CE hours for the current renewal period. If notified by the board, the licensee shall respond to the audit within thirty (30) days of the date of the request.

Section 10. Waiver or Extension of Continuing Education.

(1) The board shall, in individual cases involving medical disability, illness, undue hardship, active military service, or other similar extenuating circumstance that precludes the individual's completion of the requirements, waive CE requirements or grant an extension of time within which to fulfill the requirements if the board receives:

(a) A written request for waiver or extension of time; and

(b)

Verifying documentation signed by a licensed physician or proper military personnel, if applicable; or
Documentation to support the waiver.

(2) A waiver of the minimum CE requirements or an extension of time within which to fulfill the CE requirements may be granted by the board for a period not to exceed one (1) calendar year. If the circumstance extends beyond the period of the waiver or extension, the licensee shall reapply for the waiver or extension.

Section 11. Incorporation by Reference.

(1) "Continuing Education Program Application", June 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, 8:00 a.m. to 4:30 p.m. The board's Web site address is: https://bmt.ky.gov/.

History

RELATES TO: KRS 309.350, 309.351, 309.355, 309.361
STATUTORY AUTHORITY: KRS 309.355(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.355(3) requires the board to promulgate an administrative regulation establishing a requirement for continuing education as a condition for renewal of a license. KRS 309.361 identifies the requirements for continuing education and prescribes the types of courses required during the renewal period. This administrative regulation establishes the procedures and standards for submitting documentation to meet the continuing education requirements for renewal of a license.
History: 32 Ky.R. 1022; 1229; eff. 2-3-2006; 33 Ky.R. 1887; 2229; eff. 4-6-07; 37 Ky.R. 1022; 1996; eff. 3-4-2011; 40 Ky.R. 2210; 41 Ky.R. 446; eff. 10-3-2014; 42 Ky.R. 1599; eff. 2-5-2016; 48 Ky.R. 1258, 2587; eff. 7-5-2022.

Chapter 43 Kentucky Applied Behavior Analysts Licensing Board

201 KAR 43:010 Application procedures for licensure {#sec-201-kar-43-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:010}

Section 1. Application Procedures.

(1) An Application for Licensure as a behavior analyst shall be submitted after the requirements established in KRS 319C.080(1) are met.

(2) An Application for Licensure as an assistant behavior analyst shall be submitted after the requirements established in KRS 319C.080(2) are met.

(3) The application required by subsections (1) and (2) of this section shall be made by submitting a completed Form ABA-001, Application for Licensure, to the board. The application shall include:

(a) A certification by the applicant that the:

Information in the application is true, correct, and complete to the best of his or her knowledge and belief; and
Applicant is aware that a misrepresentation or falsification in the application is grounds for denial or revocation of the license at any time;

(b) A copy of the degree obtained;

(c) A check or money order payable to the Kentucky State Treasurer for the application review and licensure fee as required by 201 KAR 43:030;

(d) Proof of compliance with the educational, examination, and credentialing requirements established in KRS 319C.080(1) for applicants seeking licensure as a behavior analyst and KRS 319C.080(2) for applicants seeking licensure as an assistant behavior analyst; and

(e) Proof of completion of at least five (5) hours of training in:

Adult abuse and neglect;
Child abuse, neglect, and dependency; or
A combination of subparagraphs 1. and 2. of this paragraph. The completed proof shall indicate that abuse, neglect, or dependency was explicitly covered in the training.

(4) Applicants for licensure as an assistant behavior analyst shall also submit a completed Supervisory Plan, Form ABA-002, as incorporated by reference in 201 KAR 43:050, for board approval.

(5) A licensed assistant behavior analyst may apply for licensure as a licensed behavior analyst at any time within the two (2) year licensure period after meeting the requirements established in this administrative regulation. A final Report of Supervision, Form ABA-003, as incorporated by reference in 201 KAR 43:050, shall also be submitted for board approval.

Section 2. Applications Committee. The applications committee shall consist of at least two (2) board members appointed by the chair of the board. The applications committee may be assisted by the board staff and counsel to the board. The applications committee shall:

(1) Review applications for licensure including renewals and reinstatements;

(2) Review Supervisory Plans and Reports of Supervision;

(3) Make recommendations to the board to approve, defer, or deny applications; and

(4) Make recommendations to the board to approve or require revisions to Supervisory Plans and Reports of Supervision.

Section 3. Incorporation by Reference.

(1) Form ABA-001, "Application for Licensure", May 2022, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Applied Behavior Analysis Licensing Board, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at aba.ky.gov.

History

RELATES TO: KRS 319C.070, 319C.080(1), (2)
STATUTORY AUTHORITY: KRS 319C.060(2)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2)(a) requires the board to promulgate administrative regulations establishing the requirements for an applicant for licensure as a behavior analyst or assistant behavior analyst. This administrative regulation establishes the requirements for applicants for licensure.
History: 37 Ky.R. 3031; 38 Ky.R. 899; eff. 12-2-2011; 40 Ky.R. 122; 541; eff. 10-4-2013; 42 Ky.R. 847; 1481; eff. 12-4-2015; 48 Ky.R. 1894; 49 Ky.R. 22; eff. 10-4-2022.

201 KAR 43:020 Application procedures for temporary licensure {#sec-201-kar-43-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:020}

Section 1. Application procedures.

(1) An application for a temporary license as a behavior analyst or assistant behavior analyst shall be submitted after the requirements established in KRS 319C.080(3) are met.

(2) The application required by subsection (1) of this section shall be made by submitting to the board a completed Form ABA-001, Application for Licensure, as incorporated by reference in 201 KAR 43:010.

(a) The application shall include a certification by the applicant that the:

Information in the application is true, correct, and complete to the best of his or her knowledge and belief;
Applicant is aware that a misrepresentation or falsification in the application is grounds for denial or revocation of the license; and
Applicant is aware that any temporary license issued expires two (2) years from the issuance date and may be renewed only once, if the temporary licensee produces a record signed by the supervisor with his or her renewal application indicating that fieldwork hours toward a BACB credential were being accumulated every month while credentialed as a temporary licensee or produces documentation showing extenuating circumstances that prevented the accumulation of fieldwork hours, such as illness of the temporary licensee, maternity leave of the temporary licensee, or the temporary licensee's displacement from employment.

(b) If the applicant has completed the coursework through a Behavior Analyst Certification Board (BACB) or Association for Behavior Analysis International (ABAI) Verified Course Sequence (VCS), the application shall include an official post-secondary transcript and VCS course sequence number.

(c) If the applicant has completed coursework from a non-BACB or non-ABAI VCS program, the application shall include an official post-secondary transcript and course syllabi for all behavior-analytic coursework showing that the applicant has met the most current BACB coursework requirements for eligibility to sit for the Board Certified Behavior Analyst (BCBA) examination for applicants applying for a temporary license as a behavior analyst or the Board Certified Assistant Behavior Analyst examination for applicants applying for a temporary license as an assistant behavior analyst.

(3) The applicant shall submit check or money order payable to the Kentucky State Treasurer for the application review and licensure fee as required by 201 KAR 43:030.

(4) The applicant shall submit proof of compliance with the requirements established in KRS 319C.080(3).

(5) The applicant shall submit proof of completion of at least five (5) hours of training in:

(a) Adult abuse and neglect;

(b) Child abuse, neglect, and dependency; or

(c) A combination of paragraphs (a) and (b) of this subsection. The completed proof shall indicate that abuse, neglect, or dependency was explicitly covered in the training.

(6) Applicants for temporary licensure as a behavior analyst or assistant behavior analyst shall also submit a completed Supervisory Plan for board approval, Form ABA-002, as incorporated by reference in 201 KAR 43:050.

(7) An application for full licensure may be submitted at any time within the two (2) year temporary licensure period after meeting the requirements established in KRS 319C.080(1) and (2). A final Report of Supervision, Form ABA-003, as incorporated by reference in 201 KAR 43:050, shall also be submitted for board approval.

History

RELATES TO: KRS 319C.070, 319C.080(3)
STATUTORY AUTHORITY: KRS 319C.060(2)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2)(a) requires the board to promulgate administrative regulations establishing the requirements for an applicant for temporary licensure as a behavior analyst or assistant behavior analyst. This administrative regulation establishes the requirements for applicants for temporary licensure.
History: 37 Ky.R. 3032; 38 Ky.R. 900; eff. 12-2-2011; 42 Ky.R. 848; 1481; eff. 12-4-2015; 48 Ky.R. 1896; 49 Ky.R. 23; eff. 10-4-2022.

201 KAR 43:030 Fees {#sec-201-kar-43-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:030}

Section 1. Application and Licensure Fees for Licensed Behavior Analysts.

(1) An applicant for licensure as a licensed behavior analyst shall pay the following:

(a) A $400 application review and licensure fee for the first two (2) year licensure period;

(b) A licensed assistant behavior analyst applying for licensure as a licensed behavior analyst for the remainder of their two (2) year licensure period shall pay a $100 non-refundable application review fee;

(c) A temporary licensed behavior analyst applying for licensure as a licensed behavior analyst for the remainder of their two (2) year licensure period shall pay a non-refundable $100 application review fee; and

(d) A temporary licensed assistant behavior analyst applying for licensure as a licensed behavior analyst for the remainder of their two (2) year licensure period shall pay a non-refundable $100 application review fee.

(2) The licensure renewal fee for a licensed behavior analyst for each subsequent, two (2) year licensure period shall be $300.

Section 2. Application and Licensure Fees for Licensed Assistant Behavior Analysts.

(1) An applicant for licensure as a licensed assistant behavior analyst shall pay the following:

(a) A $300 application review and licensure fee for the first two (2) year licensure period.

(b) A temporary licensed assistant behavior analyst applying for licensure as a licensed assistant behavior analyst for the remainder of the two (2) year licensure period shall pay a $100 non-refundable application review fee.

(2) The licensure renewal fee for a licensed assistant behavior analyst for each subsequent, two (2) year licensure period shall be $200.

Section 3. Application and Temporary Licensure Fees.

(1) An applicant for a temporary license as a behavior analyst shall pay a $300 application review and[ licensure fee for the two (2) year temporary licensure period.

(2) The licensure renewal fee for a temporary licensed behavior analyst for a one (1) time subsequent two (2) year licensure period shall be $200.

(3) An applicant for a temporary license as an assistant behavior analyst shall pay a $200 application review and[ licensure fee for the two (2) year temporary licensure period.

(4) The licensure renewal fee for a temporary licensed assistant behavior analyst for a one (1) time subsequent two (2) year licensure period shall be $100.

Section 4. Fees for Inactive Status.

(1) A licensed behavior analyst or a licensed assistant behavior analyst who applies for inactive status shall pay a fee of $100.

(2) A licensed behavior analyst or a licensed assistant behavior analyst who applies to renew their inactive status shall pay a fee of $100.

Section 5. Fee for Retired Status. A licensed behavior analyst or a licensed assistant behavior analyst who applies for retired status shall pay a fee of $100 dollars.

Section 6. Fees for Late Renewal or Reinstatement.

(1) A licensee who files to renew his or her license after its renewal date but within thirty (30) days of that renewal date shall pay a late fee of fifty (50) dollars in addition to the fee set forth in Section 1 or 2 of this administrative regulation.

(2) A licensed behavior analyst or a licensed assistant behavior analyst who files to reinstate his or her expired license more than thirty (30) days after its renewal date shall pay a reinstatement fee of $250 in addition to the renewal fee set forth in Section 1, 2, or 3 of this administrative regulation.

(3) A licensed behavior analyst or a licensed assistant behavior analyst who applies to reinstate following a period of board-approved inactive status or retirement shall pay a reinstatement fee of $100 in addition to the renewal fee set forth in Section 1 or 2 of this administrative regulation.

Section 7. For applications that are denied, the applicant may request a fifty (50) percent refund of the application and licensure review fee in writing to the board administrator within ninety (90) days.

History

RELATES TO: KRS 319C.060(2)(f), 319C.080(1), (2), (3)
STATUTORY AUTHORITY: KRS 319C.060(2)(f), 319C.120
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2)(f) requires the board to promulgate administrative regulations establishing reasonable fees for the licensure and license renewal of behavior analysts, assistant behavior analysts, and temporary licensees. This administrative regulation establishes those fees.
History: 37 Ky.R. 3034; 38 Ky.R. 900; eff. 12-2-2011; 39 Ky.R. 1943; eff. 5-31-2013; Crt eff. 5-20-2020; 48 Ky.R. 1898; 49 Ky.R. 24; eff. 10-4-2022.

201 KAR 43:040 Code of ethical standards and standards of practice {#sec-201-kar-43-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:040}

Section 1. Definitions.

(1) "BACB Code" means the Behavior Analyst Certification Board (BACB) January 1, 2022 Ethics Code for Behavior Analysts.

(2) "Behavior analyst" means a person licensed under KRS Chapter 319C as a licensed behavior analyst, a licensed assistant behavior analyst, or a temporary licensee.

(3) "Client" means:

(a) A client as defined in the BACB Code;

(b) A person who receives behavior analytic assessment, intervention, consultation, treatment, or other professional services for the purpose of practicing applied behavior analysis;

(c) A corporate entity or other organization if the professional contract is to provide a professional service of benefit to the corporate entity or organization; and

(d) The legal guardian of a minor or a legally incompetent adult for a decision-making purpose.

(4) "Confidential information" means information revealed by a client or clients or otherwise obtained by a behavior analyst in a professional relationship and includes all protected health information (PHI) and educational records.

(5) "Kentucky Code" means the Code of Ethics set forth in this administrative regulation.

(6) "Professional relationship" means a mutually agreed upon relationship between a behavior analyst and a client for the purpose of the client obtaining the behavior analyst's professional expertise.

(7) "Professional service" means all actions of the behavior analyst in the context of a professional relationship with a client.

Section 2. Administration and Enforcement of the Code of Ethics.

(1) Notwithstanding the requirements of the BACB Code, the changes established in the Kentucky Code shall be mandatory and shall supersede any conflicting provisions of the BACB Code.

(2) Except as superseded by the provisions of this administrative regulation and the Kentucky Code, the BACB Code shall be the mandatory ethics code for Kentucky Applied Behavior Analysts.

Section 3. Additional Requirements for Kentucky Licensees.

(1) Reporting of abuse of children and vulnerable adults. The behavior analyst shall be familiar with the relevant law concerning the reporting of abuse of children and vulnerable adults, and shall comply with those laws, including KRS 620.030.

(2) Disclosure without informed written consent. The behavior analyst shall disclose confidential information without the informed consent of the client if the behavior analyst has a duty to warn an intended victim of the client's threat of violence pursuant to KRS 202A.400 or 645.270.

Section 4. Incorporation by Reference.

(1) "Ethics Code for Behavior Analysts", Behavior Analyst Certification Board, January 1, 2022, is incorporated by reference.

(3) This material is also available on the Behavior Analyst Certification Board's Web site at https://www.bacb.com/wp-content/ethics-code-for-behavior-analysts/.

History

RELATES TO: KRS 202A.400, 319C.060(1), (2)(c), 620.030, 645.270
STATUTORY AUTHORITY: KRS 319C.060(2)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2)(c) requires the board to adopt a code of ethical standards and standards of practice for all licensed behavior analysts, assistant behavior analysts, and temporary licensees. This administrative regulation establishes the code of ethical standards and standards of practice for licensees.
History: 37 Ky.R. 3035; 38 Ky.R. 901; eff. 12-2-2011; Crt eff. 2-27-2020; 48 Ky.R. 1900, 2602; 49 Ky.R. 24; eff. 10-4-2022.

201 KAR 43:050 Requirements for supervision {#sec-201-kar-43-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:050}

Section 1. Definitions.

(1) "Direct supervision" means in-person interactions between the supervisor and the licensee under his or her supervision which includes direct observation of actual service provision to individuals.

(2) "General supervision" means interactions between the supervisor and the licensee under his or her supervision involving real time visual and auditory contact, conducted in-person or via electronic means.

(3) "Licensed supervisee" means an individual permitted to practice applied behavior analysis under the direction of a Licensed Behavior Analyst qualified to supervise while holding licensure in Kentucky as a:

(a) Licensed assistant behavior analyst;

(b) Temporarily licensed behavior analyst; or

(4) "Paraprofessional" means a person who assists in delivering behavior analysis services and practices under the direction and close supervision of a Licensed Behavior Analyst or Licensed Assistant Behavior Analyst qualified to supervise.

(5) "Supervisee" means a person as defined by KRS 319C.010(10) who is a paraprofessional.

(6) "Supervisor" means a Licensed Behavior Analyst in good standing that meets the qualifications to supervise under his or her Behavior Analyst Certification Board (BACB) Board Certified Behavior Analyst (BCBA).

(7) "Trainee" means a person who is enrolled in an Association for Behavior Analysis International (ABAI) accredited program or Verified Course Sequence (VCS) while acquiring experience in applied behavior analysis toward an eligibility requirement for either a Behavior Analyst Certification Board (BACB) Certified Behavior Analyst (BCBA) or BACB Board Certified Assistant Behavior Analyst (BCaBA) credentialing examination.

Section 2. Qualifications to Supervise. In order to provide supervision to a licensed supervisee, a Licensed Behavior Analyst shall:

(1) Be licensed in good standing in Kentucky; and

(2) Have completed supervision training as identified in the Behavior Analyst Certification Board's (BACB) Certificant Registry .

Section 3. Supervisory Plan and Report of Supervision.

(1) The supervisor and the licensed supervisee shall jointly complete and the licensed supervisee shall submit to the board a completed Supervisory Plan upon application for licensure and again annually or biennially as required by subsection (3) of this section.

(2) The supervisor and the licensed supervisee shall jointly complete and the licensed supervisee shall submit to the board a Report of Supervision either annually or biennially as required by subsection (3) of this section.

(3) In calculating the amount of time spent in full-time practice while under supervision, 1,500 hours of satisfactory supervised practice shall be equivalent to one (1) year of experience.

(a) A licensed assistant behavior analyst with five (5) or more years of full-time practice, or its equivalent, shall submit a Report of Supervision and an updated Supervisory Plan every two (2) years prior to renewal.

(b) A licensed assistant behavior analyst with fewer than five (5) years of full-time practice, or its equivalent, shall submit a Report of Supervision and an updated Supervisory Plan annually on or before the anniversary of the date of licensure as a licensed assistant behavior analyst and prior to renewal.

(c) A temporarily licensed behavior analyst or temporarily licensed assistant behavior analyst shall submit a Report of Supervision and an updated Supervisory Plan annually on or before the anniversary of the date of licensure as a temporarily licensed behavior analyst or temporarily licensed assistant behavior analyst. A final Report of Supervision shall be submitted by the licensed supervisee upon application for full licensure.

(4) The Supervisory Plan shall include a minimum of three (3) measurable goals for supervision and shall focus on extending the supervisee's skills beyond the scope of practice as a paraprofessional as it relates to applied behavior analysis, within the following areas, and a minimum of two (2) goals shall encompass competencies included in paragraphs (a) through (e) of this subsection:

(a) Behavior-change procedures;

(b) Concepts and principles;

(d) Measurement, data display, and interpretation;

(e) Selecting and implementing interventions;

(f) Personnel supervision and management;

(g) Experimental design; and

(h) Behaviorism and philosophical foundations.

(5) The Report of Supervision shall include:

(a) A description of the frequency, format, and duration of supervision;

(b) An assessment of the functioning of the licensed assistant behavior analyst, temporarily licensed behavior analyst, or temporarily licensed assistant behavior analyst, including the strengths and weaknesses;

(c) The methods that the supervisor and licensed assistant behavior analyst practicing under the direction of the supervisor shall employ to plan, report, and evaluate the supervisory process; and

(d) Any other information, which the supervisor deems relevant to an adequate assessment of the practice of the licensed assistant behavior analyst, temporarily licensed behavior analyst, or temporarily licensed assistant behavior analyst.

(6) The licensed supervisee shall submit to the board the description of the supervisory arrangement or a change in the supervisory arrangement by submitting an updated Supervisory Plan no later than thirty (30) days after a change in the effective date of the arrangement or change. A final Report of Supervision shall also be submitted by the licensed supervisee at the termination of any supervisory relationship.

Section 4. Supervisory Responsibilities.

(1) The supervisor shall assure that the practice of each licensed supervisee is in compliance with this administrative regulation.

(2) The supervisor shall report to the board an apparent violation of KRS Chapter 319C on the part of the licensed supervisee.

(3) The supervisor shall inform the board administrator in writing or electronically of a change in the ability to supervise, or in the ability of a licensed supervisee to function in the practice as a licensed supervisee in a competent manner.

(4) The supervisor shall control, direct, or limit the behavior analytic duties performed by the licensed supervisee practicing under the direction of the supervisor to ensure that these duties are competently performed.

(5)

(a) The supervisor of record shall be responsible for the behavior analytic duties of the licensed supervisee practicing under the direction of the supervisor.

(b) If the board initiates an investigation concerning a licensed supervisee practicing under the direction of the supervisor, the investigation shall include the supervisor of record.

(6)

(a) For each supervisee and licensed supervisee, the supervisor shall maintain a record of each supervisory session that shall include the type, place, and general content of the session.

(b) This record shall be maintained for a period of not fewer than seven (7) years after the last date of supervision.

Section 5. Multiple Supervisors.

(1) If a licensed supervisee has more than one (1) board-approved supervisor, the supervisors shall be in direct contact with each other at least once every six (6) months, and their licensed supervisee shall[ provide individual Supervisory Plans and Reports of Supervision to the board for each supervisor.

(2) A request to have more than two (2) supervisors at one (1) time shall be subject to board approval and shall be submitted by new applicants on the licensure application and the Supervisory Plan and by existing licensees on the Supervisory Plan, which shall include detailed information as to how the supervisors shall communicate and coordinate with each other in providing the required supervision.

Section 6. Supervisor Experience. If a licensed supervisee practicing under the direction of the supervisor is a behavior analyst with less than five (5) years of fulltime, post-certification practice, or its equivalent, or a licensure candidate with temporary permission to practice, the supervisor of record shall:

(1) Read and countersign all assessments and treatment plans to assess the competency of the licensed supervisee to render applied behavior analytic services;

(2) Review notes and correspondence on an as-needed basis;

(3) Conduct general supervision of the work performed by the licensed supervisee practicing under the direction of the supervisor at least twice per month;

(4) Have direct supervision of the work performed by the licensed supervisee practicing under the direction of the supervisor at least once every three (3) months;

(5) Have direct knowledge of the size and complexity of the caseload for each licensed supervisee practicing under the direction of the supervisor;

(6) Limit and control the caseload as appropriate to the level of competence of each licensed supervisee practicing under the direction of the supervisor;

(7) Have knowledge of the techniques being used by the licensed supervisee; and

(8) Have knowledge of the physical and emotional well-being of each licensed supervisee practicing under the direction of the supervisor when it has a direct bearing on his or her competence to practice.

Section 7. Licensed Supervisee Experience. If the licensed assistant behavior analyst is a behavior analyst with more than five (5) years of fulltime, post-certification practice, or its equivalent, the supervisor of record shall:

(1) Review and countersign assessments as needed or appropriate;

(2) Review treatment plans, notes, and correspondence as needed or appropriate;

(3) Have general supervision of the work performed by each licensed assistant behavior analyst practicing under the direction of the supervisor at least once per month;

(4) Have direct supervision of the work performed by each licensed assistant behavior analyst practicing under the direction of the supervisor at least twice a year;

(5) Have direct knowledge of the size and complexity of the caseloads for each licensed assistant behavior analyst practicing under the direction of the supervisor;

(6) Limit and control the caseload as appropriate to the level of competence of each licensed assistant behavior analyst;

(7) Have knowledge of the techniques being used by each licensed assistant behavior analyst; and

(8) Have knowledge of the physical and emotional well-being of each licensed assistant behavior analyst practicing under the direction of the supervisor when it has a direct bearing on his or her competence to practice.

Section 8. Supervision Requirements.

(1) A licensed assistant behavior analyst shall meet these supervision requirements, even if he or she is not currently providing behavior analytic services, unless having obtained Inactive status by the board.

(2) If the licensed assistant behavior analyst is not currently providing behavior analytic services, supervision may focus on guiding the development and maintenance of the licensed assistant behavior analyst's professional knowledge and skills and remaining current with the professional literature in the field.[

Section 9. Supervision for Part-Time Practice. Supervision requirements for part-time practice may be modified by the board upon approval of the submitted plan. Additional modifications of the format, frequency, or duration of supervision may be submitted for approval by the board.

Section 10. Licensed Supervisee Responsibilities. The licensed supervisee shall:

(1) Keep the supervisor adequately informed at all times of his or her activities and ability to function;

(2) Seek supervision as needed in addition to a regularly scheduled supervisory session;

(3) Participate with the supervisor in establishing supervisory goals and in completing the regular supervisory reports;

(4) Be jointly responsible with the supervisor for ensuring that a supervisory report or plan has been sent to the board in accordance with the reporting schedule established in Section 3 of this administrative regulation; and

(5) Report to the board any apparent violation of KRS Chapter 319C on the part of the supervisor.

Section 11. Identification of Provider in Billing. The actual deliverer of a service shall be identified to the client. A billing for a rendered service shall identify which service was performed by the supervisee, licensed supervisee, or supervisor.

Section 12. Disciplinary Procedures and Supervision of a Disciplined License Holder.

(1) The board shall appoint an approved supervisor to supervise a disciplined license holder for the period of time defined by the final order or settlement agreement conferring the discipline.

(2) When specified by the final order or settlement agreement, the disciplined license holder shall be responsible for paying the costs of supervision.

(3) The supervisor shall:

(a) Review the originating complaint, agreed order, or findings of the disciplinary hearing;

(b) Meet with the disciplined license holder and the board liaison to:

Summarize the actions and concerns of the board;
Review the goals and expected outcomes of supervision submitted by the board liaison;
Develop a specific plan of supervision; and
Review the reporting requirements that shall be met during the period of supervision;

(c) Meet with the disciplined license holder at least weekly, on an individual face-to-face basis for a minimum of one (1) hour unless modified by the board;

(d) Submit a quarterly report to the board which reflects progress, problems, and other information relevant to the need for board-mandated supervision;

(e) Ensure that the disciplined license holder's practice is in compliance with KRS Chapter 319C and 201 KAR Chapter 43;

(f) Report to the board any apparent violation of KRS Chapter 319C on the part of the disciplined license holder;

(g) Immediately report to the board, in writing, a change in the ability to supervise, or in the ability of the disciplined license holder to function in the practice of a licensed behavior analyst in a competent manner;

(h) Review and countersign assessments as needed or appropriate;

(i) Review treatment plans, notes, and correspondence as needed or appropriate;

(j) Have direct observation of the disciplined license holder's work on an as-needed basis;

(k) Have direct knowledge of the size and complexity of the disciplined license holder's caseload;

(l) Have knowledge of the therapeutic modalities and techniques being used by the disciplined license holder; and

(m) Have knowledge of the disciplined license holder's physical and emotional wellbeing when it has direct bearing on the disciplined license holder's competence to practice.

(4) The supervisor shall control, direct, or limit the disciplined license holder's practice to ensure that the disciplined license holder's practice is competent.

(5) The supervisor shall contact the board liaison with any concern or problem with the disciplined license holder, his or her practice, or the supervision process.

(6)

(a) A final meeting shall be scheduled within thirty (30) days of the end of the established supervision period to summarize the supervision.

(b) The meeting shall include the supervisor, disciplined license holder, and board liaison.

(c) A written summary of the supervision shall be submitted by the supervisor to the board two (2) weeks following this meeting with a copy to the board liaison.

Section 13. Board Liaison for Disciplined License Holder. The board shall appoint a board member to serve as a liaison between the board and the approved supervisor. The board liaison shall:

(1) Recruit the supervising licensed behavior analyst from a list provided by the board;

(2) Provide the supervising licensed behavior analyst with the originating complaint, agreed order or findings of the hearing and supply other material relating to the disciplinary action;

(3) Ensure that the supervising licensed behavior analyst is provided with the necessary documentation for liability purposes to clarify that he or she is acting as an agent of the board and has immunity commensurate with that of a board member;

(4) Provide the supervising licensed behavior analyst with a written description of the responsibilities of the supervisor and a copy of the responsibilities of the liaison;

(5) Ensure that the board has sent a written notification letter to the disciplined license holder. The notification letter shall:

(a) State the name of the supervising licensed behavior analyst; and

(b) Specify that the disciplined license holder shall meet with the supervising licensed behavior analyst and the liaison within thirty (30) days of the date of the notification letter;

(6) Meet with the supervising licensed behavior analyst and disciplined license holder within thirty (30) days of the date of the notification letter to summarize the actions of the board, review the applicable statutes and administrative regulations regarding supervision requirements for a disciplined license holder, and assist with the development of a plan of supervision. The plan of supervision shall be written at the first meeting;

(7) Submit the Report of Supervision to the board for approval.

(a) The liaison shall place the Report of Supervision on the agenda for review and approval at the next regularly scheduled board meeting.

(b) In the interim, the supervising licensed behavior analyst and disciplined license holder shall continue to meet;

(8) Remain available to the supervising licensed behavior analyst to provide assistance and information as needed;

(9) Report any problem or concern to the board regarding the supervision and communicate a directive of the board to the supervising licensed behavior analyst;

(10) Review the quarterly Report of Supervision and forward to the supervision committee of the board for approval; and

(11) Meet with the supervising licensed behavior analyst and the disciplined license holder at the end of the term of supervision to summarize the supervision.

Section 14. Training. Trainees shall:

(1) Be supervised by a Licensed Behavior Analyst qualified to supervise;

(2) Be permitted, without a license as defined in KRS 319C.010, to practice applied behavior analysis under the close supervision and direction of a qualified supervisor;

(3) Not identify his or her status as a licensed behavior analyst, licensed assistant behavior analyst, temporary licensed behavior analyst, or temporary licensed assistant behavior analyst; and

(4) Give to all clients and payors the name of the supervisor or supervisors responsible for his or her work..

Section 15. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) Form ABA-002, "Supervisory Plan", May 2022; and

(b) Form ABA-003, "Report of Supervision", May 2022.

History

RELATES TO: KRS 319C.050(1), 319C.060(2)(a)-(d)
STATUTORY AUTHORITY: KRS 319C.060(2)(a)-(d)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2)(a) requires the board to promulgate an administrative regulation governing the supervision of a licensed assistant behavior analyst, temporarily licensed behavior analyst, and temporarily licensed assistant behavior analyst. This administrative regulation establishes the requirements for supervision.

201 KAR 43:060 Complaint and disciplinary process {#sec-201-kar-43-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:060}

Section 1. Definitions.

(1) "Act" means KRS Chapter 319C.

(2) "Board" is defined by KRS 319C.010(3).

(3) "Charge" means a specific allegation contained in a document issued by the board or hearing panel alleging a violation of a specified provision of KRS Chapter 319C or 201 KAR Chapter 43.

(4) "Complaint Committee" means the committee appointed pursuant to Section 2 of this administrative regulation.

(5) "Formal complaint" means a formal administrative pleading or notice of administrative hearing authorized by the board that sets forth charges against a licensee or applicant and commences a formal disciplinary proceeding in accordance with KRS Chapter 13B.

(6) "Initiating complaint" means an allegation alleging misconduct by a licensee or applicant or alleging that an unlicensed person is engaging in unlicensed practice or using a title without holding a license.

(7) "Order" means the whole or a part of a final disposition of a hearing.

(8) "Presiding officer" means the person appointed by the board to preside at a hearing held pursuant to KRS Chapter 13B, and shall include a hearing officer, a member or members of the hearing panel, or both.

(9) "Respondent" means the person against whom an initiating or a formal complaint has been made.

Section 2. Initiating Complaint.

(1) Source of initiating complaint. An initiating complaint may be initiated by the board, by the public, or by a governmental agency. A certified copy of a court record for a misdemeanor or felony conviction shall be considered a valid initiating complaint.

(2) Form of initiating complaint. Initiating complaints shall:

(a) Be in writing;

(b) Clearly identify the person against whom the initiating complaint is being made;

(d) Identify by signature the person making the initiating complaint; and

(e) Contain a clear and concise statement of the facts giving rise to the initiating complaint.

(3) Receipt of initiating complaint. An initiating complaint shall be submitted to the Board Office at the Department of Professional Licensing.

(4) Response. A copy of the initiating complaint shall be mailed to the respondent. The respondent shall file with the board a written response to the initiating complaint:

(a) Within fifteen (15) days of the date on which the initiating complaint was mailed; or

(b)

Within a specified period of time if an extension is requested in writing by the respondent and granted by the board. In order to be granted an extension, the respondent shall provide proof of good cause justifying the extension.
Good cause includes instances such as family emergencies, medical needs, and undue hardship.

(5) Complaint Committee.

(a) The complaint committee shall consist of three (3) board members appointed by the chair of the board to:

Review initiating complaints, responses, and investigative reports;
Participate in informal proceedings to resolve formal complaints; and
Make recommendations for disposition of initiating complaints and formal complaints to the full board.

(b) The complaint committee may be assisted by the board staff and counsel to the board.

(6) Consideration of initiating complaint. At the next regularly-scheduled meeting of the board or as soon thereafter as practicable, the board or the complaint committee shall review the initiating complaint and response. The board, upon recommendation of the complaint committee, shall determine if an investigation is warranted, and if so, the board shall appoint an agent or representative of the board to conduct an investigation of the initiating complaint.

(7) Investigation.

(a) If the board directs that an investigation be completed, the respondent shall be interviewed as a part of that investigation. With the consent of the respondent, a meeting may be scheduled at which time the respondent may respond further to the allegations of the initiating complaint. The board and the respondent shall have the right to be represented at the meeting by legal counsel. The respondent's failure to submit to an interview or cooperate with an investigation shall not deprive the board of the authority to take action pursuant to paragraph (c) of this subsection.

(b) Report of investigation. Upon the completion of the investigation, the person or persons making that investigation shall submit a written report to the board containing a succinct statement of the facts disclosed by the investigation.

(c) Consideration of complaint and investigative report. Based on consideration of the complaint; the investigative report, if any; and the psychological or physical examination, if any, the board shall determine if there has been a prima facie violation of the Act.

If it is determined that the facts alleged in the initiating complaint or investigative report do not constitute a prima facie violation of KRS Chapter 319C or 201 KAR Chapter 43, the board shall provide written notice to the person or entity making the initiating complaint and the respondent that no further action shall be taken at the present time.

a. If it is determined that there is a prima facie violation of KRS Chapter 319C or 201 KAR Chapter 43, the board shall issue a formal complaint against the licensee or applicant.

b. In the case of a prima facie violation of KRS 319C.020(1) and the respondent is not a licensee or an applicant, the board shall take one (1) or all of the following actions:

(i) Issue a cease and desist order;

(ii) File suit to enjoin the violator pursuant to KRS 319C.050(2); or

(iii) Seek criminal prosecution pursuant to KRS 319C.050(2).[

Section 3. Formal Complaint. If the board votes to file a formal complaint, a notice of administrative hearing shall be filed as required by KRS 13B.050.

Section 4. Formal Response.

(2) Allegations not properly responded to shall be deemed admitted.

(3)

(a) The board may, if there is good cause, permit the late filing of a response.

(b) Good cause includes instances such as family emergencies, medical needs, and undue hardship.

Section 5. Composition of the Hearing Panel. Disciplinary actions shall be heard by a hearing officer and:

(1) The full board or a quorum of the board;

(2) A hearing panel consisting of at least one (1) board member appointed by the board; or

(3) The hearing officer alone in accordance with KRS 13B.030(1).

Section 6. Notification of Complainant. Upon final resolution of a complaint submitted pursuant to this process, the board shall notify the person or entity making the initiating complaint of the outcome of the action in writing.

History

RELATES TO: KRS 319C.050(4), 319C.060(2), 319C.070, 319C.110
STATUTORY AUTHORITY: KRS 319C.060(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2) requires the board to promulgate an administrative regulation governing the regulation of licensees. KRS 319C.070, 319C.050(4), and 319C.110 require the board to investigate and take disciplinary action against licensees who violate KRS Chapter 319C and the associated administrative regulations. This administrative regulation details the process by which the board completes those investigations and takes that action.
History: 39 Ky.R. 1965; eff. 5-31-2013; Crt eff. 5-20-2020; 48 Ky.R. 1909; 49 Ky.R. 31; eff. 10-4-2022.

201 KAR 43:080 Renewals {#sec-201-kar-43-080 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:080}

Section 1. Renewal.

(1) A behavior analyst shall biennially, on or before the last day of the calendar month during which the license was issued:

(a) File a completed Renewal and Reinstatement Application, Form ABA-004; and

(b) Pay to the board the renewal fee established by 201 KAR 43:030.

(2) An assistant behavior analyst shall biennially, on or before the last day of the calendar month during which the license was issued:

(a) File a completed Renewal and Reinstatement Application Form ABA-004;

(b) Have a current, approved Report of Supervision and Supervisory Plan; and

Section 2. Late Renewal. A behavior analyst or assistant behavior analyst who fails to renew his or her license on or before the last day of the calendar month during which the license was issued may submit his or her application on or before the last day of the calendar month following the month in which the license was issued if accompanied by the appropriate late fee as required by 201 KAR 43:030.

Section 3. Expiration of License.

(1) A license that is not renewed before the last day of the calendar month following the calendar month during which the license was issued shall be expired and lapsed for failure to renew.

(2) Upon expiration of the license for failure to renew, a behavior analyst or assistant behavior analyst shall not practice in the Commonwealth of Kentucky.

Section 4. Reinstatement. After the last day of the calendar month following the month in which the license was issued, a person whose license has expired for failure to renew shall submit, in order to have his or her license reinstatement request considered by the Board:

(1) Payment of the reinstatement fee established by 201 KAR 43:030;

(2) Completion of the Renewal and Reinstatement Application, Form ABA-004; and

(3) Documentation of employment from the time of expiration of employment until the present.

Section 5. Incorporation by Reference.

(1) Form ABA-004, " Renewal and Reinstatement Application", May 2022, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Applied Behavior Analysis Licensing Board, 500 Mero Street, 2SC 32, Frankfort, Kentucky 40601, (502) 892-4249, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at aba.ky.gov.

History

RELATES TO: KRS 319C.050, 319C.060
STATUTORY AUTHORITY: KRS 319C.050, 319C.060(2), 319C.120
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060 authorizes the board to promulgate administrative regulations required to establish conditions for the renewal and reinstatement of licenses. This administrative regulation establishes procedures for the renewal of licenses.
History: 39 Ky.R. 2166; eff. 5-31-2013; 42 Ky.R. 854; 1485; eff. 12-4-2015; 48 Ky.R. 1911, 2610; 49 Ky.R. 33; eff. 10-4-2022.

201 KAR 43:090 Voluntary inactive and retired status {#sec-201-kar-43-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:090}

Section 1. Conditions for Inactive Status. Inactive status may be granted to a licensee who is currently not working as a behavior analyst or assistant behavior analyst within the Commonwealth of Kentucky but intends to resume providing those services in the future.

Section 2. Application for Inactive Status.

(1) A licensee requesting inactive status shall submit a completed"Application for Inactive or Retired Status", Form ABA-005, to the board and include the following information:

(a) Current home address, email address, and phone number;

(b) Final date of employment in the practice of applied behavior analysis within the Commonwealth of Kentucky; and

(c) Anticipated date of return to employment in the practice of applied behavior analysis within the Commonwealth of Kentucky.

(2) Terms and Responsibilities. Individuals on inactive status shall:

(a) Continue to receive general licensure updates from the board; and

(b) Comply with the code of ethical standards as established in 201 KAR 43:040.

Section 3. Reactivation Requirement for Inactive Status. A licensee seeking restoration to active status shall:

(1) Notify the board prior to returning to practice in Kentucky by submitting a Renewal and Reinstatement Application, Form ABA-004, incorporated by reference in 201 KAR 43:080 and paying the required fees as established in 201 KAR 43:030, including a reinstatement fee.

(2) A licensee seeking reinstatement shall also meet certification and licensure requirements as provided in KRS 319C.080 and show an active BCBA certification.

(3) Individuals on inactive status shall not practice or use state licensure initials, including LBA, LaBA, TLBA, and TLaBA.

(4) Failure to complete reinstatement of a license prior to practicing applied behavior analysis in Kentucky shall constitute a violation of the Kentucky Applied Behavior Analyst Board code of ethical standards as established in 201 KAR 43:040 and shall result in referral to the board for the complaint and disciplinary process, in accordance with the procedures outlined in 201 KAR 43:060.

(5) Upon resumption of practice, the licensed assistant behavior analyst shall document compliance with supervisory requirements and shall report on his or her activities and employment related to behavior analysis during the period in which the analyst did not practice.

Section 4. Conditions for Retired Status.

(1) Retired status is an acknowledgement of service that may be granted to a licensed behavior analyst or licensed assistant behavior analyst who has retired and will no longer be conducting the practice of applied behavior analysis in any jurisdiction.

(2) The board may grant retired status to a licensee if the individual:

(a) Is at least sixty-five (65) years of age;

(b) Has been a license holder in the Commonwealth of Kentucky for at least twenty-five (25) years; or

(c) Suffers an illness or medical disability that renders the licensee unable to continue the practice of applied behavior analysis.

Section 5. Application for Retired Status.

(1) Retired status may be granted to a licensee upon submission of a completed an "Application for Inactive or Retired Status", Form ABA-005, to the board and should include the following information:

(a) Current home address, email address, and phone number;

(b) Condition meeting eligibility for retired status; and

(2) Terms and Responsibilities. A credential holder granted retired status by the board shall:

(a) Be relieved of the obligation to pay the renewal fees under 201 KAR 43:030;

(b) Use the designation "-R" at the end of the acronym for the appropriate credential such as, LBA-R or LaBA-R; and

Section 6. Incorporation by Reference.

(1) Form ABA-005, "Application for Inactive or Retired Status", October 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Applied Behavior Analysis Licensing Board, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material may also be found on the board's Web site at aba.ky.gov.

History

RELATES TO: KRS 319C
STATUTORY AUTHORITY: KRS 319C.050(1), 319C.060
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.050 and 319.060 require the Applied Behavior Analysis Licensing Board to promulgate administrative regulations establishing licensure requirements and licensure and renewal fees. This administrative regulation establishes requirements relating to for inactive and retired status.
History: 48 Ky.R. 1975; 49 Ky.R. 33; eff. 10-4-2022.

201 KAR 43:100 Telehealth and telepractice {#sec-201-kar-43-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:100}

Section 1. Requirements for Licensees Providing Applied Behavior Analytic Services via Telehealth.

(1) A licensee who provides applied behavior analytic services via telehealth shall:

(a) Maintain competence with the technologies utilized, including understanding and adequately addressing the actual and potential impact of those technologies on clients, supervisees, or other professionals;

(b) Maintain compliance with KRS Chapter 319C, 201 KAR Chapter 43, and all other applicable federal, state, and local laws;

(c) At the onset of the delivery of care via telehealth, identify appropriate emergency response contacts local to the client so that those contacts shall be readily accessible if there is an emergency;

(d) Protect and maintain the confidentiality of data and information in accordance with all applicable federal, state, and local laws; and

(e) Dispose of data and information only in accordance with federal, state, and local law and in a manner that protects the data and information from unauthorized access.

(2) If applied behavior analysis commences via telehealth,the licensee shall, at the initial meeting with the client:

(a) Make reasonable attempts to verify the identity of the client;

(b) Obtain alternative means of contacting the client other than electronically;

(d) Document if the client has the necessary knowledge and skills to benefit from the type of telehealth to be provided by the licensee; and

(e) Inform the client in writing about and obtain the client's informed written consent regarding:

The limitations of using technology in the provision of applied behavior analytic services;
Potential risks to confidentiality of information due to technology in the provision of applied behavior analytic services;
Potential risks of disruption in the use of telehealth technology;
When and how the licensee will respond to routine electronic messages;
In what circumstances the licensee will use alternative communications for emergency purposes;
Who else may have access to client communications with the licensee;
How communications can be directed to a specific licensee;
How the licensee stores electronic communications from the client; and
That the licensee or client may elect to discontinue the provision of services through telehealth at any time.

Section 2. Jurisdictional Considerations.

(1) A person providing applied behavior analytic services via telehealth to a person physically located in Kentucky while services are provided shall be required to be licensed by the board.

(2) A person providing applied behavior analytic services via telehealth from a physical location in Kentucky shall be required to be licensed by the board and may be subject to licensure requirements in other states if services are received by the client in another state.

Section 3. Representation of Services and Code of Conduct. A licensee using telehealth to deliver services shall not:

(1) Engage in false, misleading, or deceptive advertising; or

(2) Split fees.

History

RELATES TO: KRS 319C.140(2)
STATUTORY AUTHORITY: KRS 319C.140(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.140(2) requires the Applied Behavior Analysis Licensing Board to promulgate administrative regulations related to utilization of telehealth as a means of healthcare delivery. This administrative regulation establishes the requirements for telehealth and telepractice in applied behavior analysis.
History: 40 Ky.R. 2649; 41 Ky.R. 35; eff. 8-1-2014; Cert eff. 7-29-2021; 48 Ky.R. 1913; 49 Ky.R. 34; eff. 10-4-2022.

201 KAR 43:110 Per diem {#sec-201-kar-43-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 43:110}

Section 1.

(1) Members of the board shall receive compensation of $100 per diem for each day they actually spend in the discharge of their official duties.

(2) The reimbursement to board members for actual and necessary expenses shall be in accordance with state law and the standards applicable to state employees pursuant to KRS 44.060, KRS 45.101, and 200 KAR 2:006.

History

RELATES TO: KRS 319C.030(3)
STATUTORY AUTHORITY: KRS 319C.030(3), 319C.060(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319C.060(2) authorizes the Kentucky Applied Behavior Analysis Licensing Board to promulgate an administrative regulation to carry out its duties under KRS Chapter 319C. KRS 319C.030(3) provides that a member of the board shall receive the usual mileage, subsistence, and per diem when carrying out the duties of the board. This administrative regulation establishes the per diem rates for board members.
History: 43 Ky.R. 149; eff. 10-7-2016; Cert. eff. 10-7-2023.

Chapter 44 Board of Licensure for Prosthetics, Orthotics, and Pedorthics

201 KAR 44:010 Fees {#sec-201-kar-44-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 44:010}

Section 1. Application Fees. The fees established in this section shall be paid for applications for the following licenses issued by the board.

(1) The fee for an application as a licensed prosthetist, a licensed orthotist, or dual licensure as a licensed orthotist/prosthetist shall be a $100 nonrefundable application fee and $350 for the initial license fee.

(2) The fee for application as a licensed pedorthist shall be a $100 nonrefundable application fee and $300 for the initial license fee.

(3) The fee for application as a licensed orthotic fitter shall be a $100 nonrefundable application fee and $250 for the initial license fee.

(4) The board shall refund the initial license fee to an applicant who does not qualify or has been denied a license.

Section 2. Renewal and Reinstatement. The fees established in this section shall be paid for renewals and reinstatements for licenses issued by the board.

(1) The renewal fee on or before July 1 for a licensed prosthetist, a licensed orthotist, or dual licensure as a licensed orthotist/prosthetist shall be $350.

(2) The renewal fee on or before July 1 for a licensed pedorthist shall be $300.

(3) The renewal fee on or before July 1 for a licensed orthotic fitter shall be $250.

(4) The late renewal fee for all licenses during the grace period starting July 1 and ending January 1 shall be $600, in addition to the initial license fee as set forth in Section 1 of this administrative regulation.

(5) The reinstatement fee after January 1 of a license suspended or revoked or for failure to submit the statement of compliance for the current year shall be $200 in addition to the late renewal fee as set forth in subsection (4) above and in addition to the initial license fee in Section 1 of this administrative regulation.

Section 3. Duplicate or Replacement License Fee. The fee for a duplicate license shall be ten (10) dollars.

Section 4. Application for Continuing Education Course Approval. The application fee for continuing education course approval shall be fifty (50) dollars per event.

History

RELATES TO: KRS 319B.030, 319B.050, 319B.120
STATUTORY AUTHORITY: KRS 319B.030(1)(f)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319B.030(1)(f) requires the board to promulgate administrative regulations to carry out the provisions of KRS Chapter 319B. KRS 319B.030(1)(f) requires fees for applications, renewals and reinstatements, late renewals and applications for continuing education course approvals and duplicate licenses or replacements. This administrative regulation establishes those fees.
History: 38 Ky.R. 426; 1118; eff. 1-6-2012; 41 Ky.R. 2132; 2550; eff. 7-6-2015; Cert. eff. 7-1-2022.

201 KAR 44:060 Continuing education requirements and procedures {#sec-201-kar-44-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 44:060}

Section 1. Definitions.

(1) "Contact hour" means an approved credit earned based on sixty (60) minutes of participation in a prosthetics, orthotics, or pedorthics-related activity.

(2) "Continuing education" means a planned learning experience relating to the scope of prosthetics, orthotics, or pedorthics practice as defined by KRS 319B.010(13), (18), and (22) and if the subject is intervention, examination, research, documentation, education, or management of health care delivery systems.

(3) "Jurisprudence Examination" means an open book tutorial provided by the board on KRS Chapter 319B and 201 KAR Chapter 44.

Section 2.

(1) A licensee applying for renewal shall have completed the continuing education requirements established in this section during the preceding renewal period. Continuing education shall be based on contact hours awarded.

(a) For a licensed prosthetist, the board shall require ten (10) contact hours as a condition of licensure renewal. These hours shall be obtained as follows:

One (1) hour shall be awarded for the successful completion of the Jurisprudence Examination per biennium;
At least seven (7) hours shall be earned from Category 1 as established in subsection (2) of this section; and
No more than three (3) hours shall be earned from Category 2 as established in subsection (3) of this section.

(b) For a licensed orthotist, the board shall require ten (10) contact hours as a condition of renewal. These hours shall be obtained as follows:

One (1) hour shall be awarded for the successful completion of the Jurisprudence Examination per biennium;
At least seven (7) hours shall be earned from Category 1 as established in subsection (2) of this section; and
No more than three (3) hours shall be earned from Category 2 as established in subsection (3) of this section.

(c) For a licensed prosthetist-orthotist, the board shall require fifteen (15) contact hours as a condition of renewal. These hours shall be obtained as follows:

One (1) hour shall be awarded for the successful completion of the Jurisprudence Examination per biennium;
At least twelve (12) hours shall be earned from Category 1 as established in subsection (2) of this section; and
No more than three (3) hours shall be earned from Category 2 as established in subsection (3) of this section.

(d) For a licensed pedorthist, the board shall require eight (8) contact hours as a condition of licensure renewal. These hours shall be obtained as follows:

One (1) hour shall be awarded for the successful completion of the Jurisprudence Examination per biennium;
At least six (6) hours shall be earned from Category 1 as established in subsection (2) of this section; and
No more than two (2) hours shall be earned from Category 2 as established in subsection (3) of this section.

(e) For a licensed fitter - orthotics, the board shall require seven (7) contact hours as a condition of licensure renewal. These hours shall be obtained as follows:

One (1) hour shall be awarded for the successful completion of the Jurisprudence Examination per biennium;
At least six (6) hours shall be earned from Category 1 as established in subsection (2) of this section; and
No more than one (1) hour shall be earned from Category 2 as established in subsection (3) of this section.

(2) Category 1 continued competency shall be any of the following:

(a) Completion of courses, seminars, workshops, or symposia consisting of at least three (3) contact hours that have been approved by the board; the board's designee; the Kentucky Orthotics Prosthetics Association; the American Board of Certification for Orthotics, Prosthetics, and Pedorthics, Inc.; the Board of Certification/Accreditation International or any of their components; or any other prosthetics, orthotics, or pedorthics licensing agency;

(b) Completion or auditing of an accredited postsecondary educational institution credit course in the field of orthotics, prosthetics, or pedorthotics. Fifteen (15) contact hours shall be awarded for each semester completed;

(c) Presentation of continuing education courses, workshops, seminars, or symposia that have been approved by the board or its designee;

(d) Authorship of a research article, manuscript, or scientific paper, published in the biennium and related to prosthetics, orthotics, or pedorthics. Four (4) contact hours shall be awarded with a maximum of two (2) events per year;

(e) A presented scientific poster or scientific platform presentation related to prosthetics, orthotics, or pedorthics. Three (3) contact hours shall be awarded per event with a maximum of two (2) events per year;

(f) Teaching part of a prosthetics, orthotics, or pedorthics credit course if that teaching is not the primary employment of the licensee. A maximum of two (2) contact hours per year shall be awarded;

(g) Completion of a clinical residency director or clinical fellowship program. Not more than five (5) contact hours shall be awarded per year, per resident with a maximum of ten (10) contact hours per year;

(h) Engaging in the practice of prosthetics, orthotics, or pedorthics as defined by KRS 319B.010(13), (18), and (22) at least 1,000 hours per biennium. One (1) contact hour shall be awarded per year;

(i) Engaging in the instruction in a Commission on Accreditation of Allied Health Education Programs-accredited program at least 1,000 hours per biennium. One (1) contact hour shall be awarded per year;

(j) Appointment to the Kentucky Board of Prosthetics, Orthotics, and Pedorthics. Two (2) contact hours shall be awarded per year;

(k) Election or appointment as an officer or committee chair to a position of the Kentucky Orthotics Prosthetics Association; the American Board of Certification for Orthotics, Prosthetics, and Pedorthics, Inc.; or the Board of Certification/Accreditation International. Two (2) contact hours shall be awarded per biennium; or

(l) Member of a committee or task force for one (1) of the organizations in paragraph (k) or (l) of this subsection. One (1) contact hour shall be awarded per year.

(3) Category 2 continuing education shall be any of the following:

(a) Self-instruction from reading professional literature or home study program. One half (1/2) contact hour shall be awarded per year;

(b) Clinical instructor for a Commission on Accreditation of Allied Health Education Programs-approved educational program. Continued competency shall be one (1) contact hour yearly per resident;

(c) Participation in a prosthetics, orthotics, or pedorthics in-service or study group consisting of two (2) or more licensees. A maximum of one (1) contact hour shall be awarded per year;

(d) Participation in community service related to health care. A maximum of one (1) contact hour of continued competency shall be awarded yearly;

(e) Member of the American Board of Certification for Orthotics Prosthetics and Pedorthics, Inc., or the Board of Certification/Accreditation International. One-half contact hour shall be awarded per year; or

(f) Member of the Kentucky Prosthetics and Orthotics Association. One (1) contact hour shall be awarded per year.

(4) Documentation of compliance.

(a) Each licensee shall retain independently verifiable documentation of completion of all continuing education requirements of this administrative regulation for a period of at least three (3) years from the end of the license year.

(b) The licensee shall, within thirty (30) days of a written request from the board, provide evidence of continuing education activities to the board.

(c) A licensee who fails to provide evidence of the continuing education activities or who falsely certifies completion of continuing education activities shall be subject to disciplinary action pursuant to KRS 319B.140(1)(d).

(5) Exemption and extension.

(a) A licensee shall be granted a temporary hardship extension for an extension of time, not to exceed one (1) renewal cycle, if the licensee:

Files a completed Extension of Time for Completion of Continued Competency Form, including a plan describing how the required credits will be met; and
Submits documentation showing evidence of undue hardship by reason of the licensee's:

a. Age;

b. Disability;

c. Medical condition;

d. Financial condition; or

e. Other clearly mitigating circumstance.

(b) A licensee shall be granted a temporary nonhardship extension of time if the licensee cannot show undue hardship and if the licensee:

Files a completed Extension of Time for Completion of Continued Competency Form, including a plan describing how the required credits will be met, by December 31 of the year in the renewal cycle for which the extension is sought;
Pays a fee of $250;
Has not received a temporary nonhardship extension of time in the prior renewal cycle; and
Files proof of compliance with the continuing competency requirements by the following July 1.

(c) A licensee on active military duty or a spouse thereof shall be granted an exemption from continuing education requirements in accordance with KRS 12.355 or 12.357.

Section 3. Incorporation by Reference.

(1) "Extension of Time for Completion of Continued Competency Form", August 2020, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable law, at the Kentucky Board of Prosthetics, Orthotics, and Pedorthics, Department of Professional Licensing, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 5:00 p.m.

History

RELATES TO: KRS 12.355, 12.357, 319B.010(13), (18), (22), 319B.030(1)(g), (2), 319B.120(1), (2), 319B.140(1)(d)
STATUTORY AUTHORITY: KRS 319B.030(1)(g)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319B.030(1)(g) requires the board to promulgate administrative regulations establishing the continuing education requirements for licensees, which shall include the frequency of reporting, number of hours, types of courses, methods of proving compliance, penalties for violation, and all fees necessary for implementing the continuing education process. This administrative regulation establishes continuing education requirements and procedures.
History: 38 Ky.R. 1512; 1853; eff. 6-1-2012; Crt eff. 2-21-2020; TAm eff. 10-16-2020.

201 KAR 44:070 Complaint process and disciplinary action procedure {#sec-201-kar-44-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 44:070}

Section 1. Definitions.

(1) "Act" means Chapter 319B of the Kentucky Revised Statutes.

(2) "Board" is defined by KRS 319B.010(1).

(3) "Charge" means a specific allegation contained in a document issued by the board or hearing panel alleging a violation of a specified provision of the KRS Chapter 319B or 201 KAR Chapter 44.

(4) "Complaint Committee" means the committee appointed pursuant to Section 2 of this administrative regulation.

(5) "Formal complaint" means a formal administrative pleading or notice of administrative hearing authorized by the board that sets forth charges against a licensed holder or applicant and commences a formal disciplinary proceeding in accordance with KRS Chapter 13B.

(6) "Initiating complaint" means an allegation alleging misconduct by a licensee or applicant or alleging that an unlicensed person is engaging in the practice of prosthetics, orthotics, or pedorthics, or using the title prosthetist, orthotist, pedorthist, or orthotic fitter.

(7) "Order" means the whole or a part of a final disposition of a hearing.

(8) "Presiding officer" means the person appointed by the board to preside at a hearing pursuant to KRS 319B.140(2) and Chapter 13B, and shall include either a hearing officer or a member of the hearing panel.

(9) "Respondent" means the person against whom an initiating or a formal complaint has been made.

Section 2. Initiating Complaint.

(2) Form of initiating complaint. Initiating complaints shall:

(a) Be in writing;

(b) Clearly identify the person against whom the initiating complaint is being made;

(d) Identify by signature the person making the initiating complaint; and

(e) Contain a clear and concise statement of the facts giving rise to the initiating complaint.

(3) Receipt of initiating complaint. An initiating complaint may be received by:

(a) A board member;

(b) The Office of the Attorney General; or

(4) Reply of respondent. A copy of the initiating complaint shall be mailed to the respondent. The respondent shall file with the board a written response to the initiating complaint:

(a) Within fifteen (15) days of the date on which the initiating complaint was mailed; or

(b) Within thirty (30) days upon written request of the respondent documenting good cause for an extension of time to respond.

(5) Complaint Committee.

(a) The Complaint Committee shall consist of no more than two (2) board members appointed by the chair of the board to:

Review initiating complaints, responses, and investigative reports;
Participate in informal proceedings to resolve formal complaints; and
Make recommendations for disposition of initiating complaints and formal complaints to the full board.

(b) The Complaint Committee may be assisted by the board staff and counsel to the board.

(6) Consideration of initiating complaint. At the next regularly-scheduled meeting of the board or as soon thereafter as practicable, the board or the complaint committee shall review the initiating complaint and response. The board shall determine if an investigation is warranted, and if so, the board shall appoint an agent or representative of the board to conduct an investigation of the initiating complaint.

(7) Order for status examination.

(a) If there is reasonable cause to believe that a licensee or applicant for a license may be physically or mentally impaired, and may not be able to practice with reasonable skill and safety to the public, the board shall order the licensee or applicant to submit to an examination by a psychologist or a physician designated and paid by the board in order to determine the licensee's or applicant's mental or physical health to practice prosthetics, orthotics, or pedorthics.

(b) The board shall then consider the findings and conclusion of the examination and the final investigative report, if any, at the board's next regularly-scheduled meeting or soon thereafter.

(8) Investigation.

(a) The person about whom the initiating complaint has been considered shall be contacted. With the consent of the respondent, a meeting may be scheduled at which time the person about whom the initiating complaint has been made may respond further to the allegations of the initiating complaint. The board and the respondent shall have the right to be represented at the meeting by legal counsel.

If it is determined that the facts alleged in the initiating complaint or investigative report do not constitute a prima facie violation of KRS Chapter 319B or 201 KAR Chapter 44, the board shall notify the person making the initiating complaint and the respondent that no further action shall be taken at the present time.

a. If it is determined that there is a prima facie violation of KRS Chapter 319B or 201 KAR Chapter 44, the board shall issue a formal complaint against the licensee or applicant.

b. In the case of a prima facie violation of KRS 319B.110 and the respondent is not a licensee or an applicant, the board shall:

(i) Issue a cease and desist order;

(ii) File suit to enjoin the violator pursuant to KRS 319B.040(3); and

(iii) Seek criminal prosecution pursuant to KRS 319B.150.

Section 3. Formal Complaint. If the board votes to file a formal complaint, a notice of administrative hearing shall be filed as required by KRS 13B.050.

Section 4. Formal Response.

(2) Allegations not properly responded to shall be deemed admitted.

(3) The board shall, if there is good cause, permit the late filing of a response.

Section 5. Composition of the Hearing Panel. Disciplinary actions shall be heard by a hearing officer and:

(1) The full board or a quorum of the board;

(2) A hearing panel consisting of at least one (1) board member appointed by the board; or

(3) The hearing officer alone in accordance with KRS 13B.030(1).

Section 6. Administrative Disciplinary Fine. If the board finds against the respondent on a charge, an administrative disciplinary fine in accordance with KRS 319B.040(5) shall be assessed against the respondent.

Section 7. Notification of Action Taken. The board shall make public:

(1) Its final order in a disciplinary action; and

(2) Action, if any, taken pursuant to Section 2(8)(c)2.b.(i) - (iii) of this administrative regulation.

History

RELATES TO: KRS 319B.040(2) - (5), 319B.110, 319B.140(1)-(3)
STATUTORY AUTHORITY: KRS 319B.030(1)(e), (h), 319B.040(2) – (5), 319B.110, 319B.140
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319B.110 requires the board to prohibit unlicensed persons from engaging in the practice of Prosthetics, Orthotics, or Pedorthics or using the title of, Licensed Prosthetist, Licensed Orthotist, Licensed Pedorthist, or Licensed Fitter-orthotics. KRS 319B.140(3) authorizes the board to seek injunctive relief to stop the unlawful practice of prosthetics, orthotics, or pedorthics by unlicensed persons. This administrative regulation establishes provisions to protect and safeguard the health and safety of the citizens of Kentucky and to provide procedures for filing, evaluating, and disposing of complaints.
History: 38 Ky.R. 1514; Am. 1854; eff. 6-1-2012; Crt eff. 2-21-2020.

201 KAR 44:090 Requirements for licensure as an orthotist, prosthetist, orthotist-prosthetist, pedorthist, or orthotic fitter on or after January 1, 2013 {#sec-201-kar-44-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 44:090}

Section 1. Licensure of an Orthotist, Prosthetist or Orthotist-Prosthetist. An applicant for licensure as an orthotist, prosthetist, or orthotist-prosthetist shall submit:

(1) A completed Kentucky Board of Prosthetics, Orthotics and Pedorthics Application for Licensure;

(2) A certified copy of the applicant's transcript from an accredited college or university showing a minimum of a baccalaureate degree awarded to the applicant;

(3) A certified copy of the applicant's education program in orthotics, prosthetics, or both from an educational program accredited by the Commission on Accreditation of Allied Health Education Program;

(4) Proof of completion of a residency program established in KRS 319B.010(26) for the discipline for which the applicant has applied;

(5) Proof of the applicant's having obtained a passing score on the American Board of Certification (ABC) examination;

(6) The appropriate fee for licensure as required by 201 KAR 44:010;

(7) Detailed work history, including scope of practice, covering the four (4) year period immediately prior to the date of application; and

(8) A copy of completed current Jurisprudence Examination.

Section 2. Licensure of a Pedorthist. An applicant for licensure as a pedorthist shall submit:

(1) A completed Kentucky Board of Prosthetics, Orthotics and Pedorthics Application for Licensure;

(2) A certified copy of high school diploma or comparable credential;

(3) Proof of completion of an NCOPE-approved pedorthic education program;

(4) Proof of passing the American Board of Certification (ABC) exam;

(5) Proof of a minimum of 1,000 hours of pedorthic patient care, 500 hours shall be completed after the NCOPE-approved education program;

(6) The appropriate fee for licensure as required by 201 KAR 44:010;

(7) A detailed work history, including scope of practice, covering the four (4) year period prior to the date of application; and

(8) A copy of completed current Jurisprudence Examination.

Section 3. Licensure of an Orthotic Fitter. An applicant for licensure as an orthotic fitter shall submit:

(1) A completed Kentucky Board of Prosthetics, Orthotics and Pedorthics Application for Licensure;

(2) A certified copy of high school diploma or comparable credential;

(3) Proof of completion of an NCOPE-approved orthotic fitter education program or a program approved by the American Board of Certification (ABC) or the Board of Certification/Accreditation, International (BOC);

(4) Proof of passing the American Board of Certification (ABC) or the Board of Certification/Accreditation, International (BOC) exam;

(5) Proof of a minimum of 1,000 hours of orthotic fitter patient care, 500 hours shall be completed after the NCOPE-approved education program or a program approved by the American Board of Certification (ABC) or the Board of Certification/Accreditation, International (BOC);

(6) The appropriate fee for licensure as required by 201 KAR 44:010;

(7) A detailed work history, including scope of practice, covering the four (4) year period prior to the date of application; and

(8) A copy of completed current Jurisprudence Examination.

Section 4. Incorporation by Reference.

(1) "Kentucky Board of Prosthetics, Orthotics and Pedorthics Application for Licensure", August 2020, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Prosthetics, Orthotics, and Pedorthics, Department of Professional Licensing, 500 Mero Street, 2SC32, Frankfort, Kentucky 40601], Monday through Friday, 8 a.m. to 5:00 p.m.

History

RELATES TO: KRS 319B.010, 319B.030, 319B.110
STATUTORY AUTHORITY: KRS 319B.030(1), (2), 319B.110
NECESSITY, FUNCTION, AND CONFORMITY: KRS 319B.030(1) requires the board to establish licensure categories and issue licenses for persons who wish to practice in this state as a licensed orthotist, licensed prosthetist, licensed orthotist-prosthetist, licensed pedorthist, or licensed orthotic fitter. This administrative regulation establishes the procedure by which those applicants shall apply for a license pursuant to KRS 319B.030.
History: 39 Ky.R. 353; 950; eff. 12-7-2012; 42 Ky.R. 2439, 2573; eff. 5-6-2016; 44 Ky.R. 50; eff. 8-4-2017; TAm eff. 10-16-2020; Cert eff. 8-2-2024.

Chapter 45 Board of Licensed Diabetes Educators

201 KAR 45:001 Definitions for 201 KAR Chapter 45 {#sec-201-kar-45-001 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:001}

Section 1. Definitions.

(1) "Apprentice diabetes educator" is defined by KRS 309.325(5).

(2) "Board" is defined by KRS 309.325(1).

(3) "Diabetes education" is defined by KRS 309.325(2).

(4) "Diabetes educator" means:

(a) A "licensed diabetes educator" as defined by KRS 309.325(3);

(b) A "master licensed diabetes educator" as defined by KRS 309.325(6); or

(5) "Licensed diabetes educator" is defined by KRS 309.325(3).

(6) "Master licensed diabetes educator" is defined by KRS 309.325(6).

(7) "Supervisor" means a licensed diabetes educator as defined by KRS 309.325(3) in good standing, or a master licensed diabetes educator as defined by KRS 309.325(6) in good standing.

(8) "Work experience":

(a)

Means the hours spent performing the services, tasks, drafting documentation, and reports necessary for providing diabetes education to a person with diabetes or the caregiver of someone with diabetes; or
Means the hours spent interacting with a supervisor; and

(b) May include up to fifteen (15) hours of continuing education units as established in 201 KAR 45:130 per renewal period.

History

RELATES TO: KRS 309.335
STATUTORY AUTHORITY: KRS 309.331, 309.335
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331 requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.325 to 309.339. This administrative regulation establishes the definitions for terms used in 201 KAR Chapter 45.
History: 40 Ky.R. 183; 581; 788; eff. 11-1-2013; 44 Ky.R. 2089, 2318; eff. 6-1-2018; Crt eff. 4-8-2025.

201 KAR 45:100 Fees for licensure of diabetes educators {#sec-201-kar-45-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:100}

Section 1. Licensure Fee. The fee for licensure as a licensed diabetes educator, apprentice diabetes educator, or master licensed diabetes educator shall be fifty (50) dollars.

Section 2. Renewal and Reinstatement.

(1) The renewal date for all licenses issued by the board shall be November 1 of each calendar year.

(2) The fees established in paragraphs (a) through (c) of this subsection shall be paid for renewals and reinstatements for licenses and permits issued by the board.

(a) The renewal fee on or before November 1 shall be fifty ($50) dollars annually.

(b) The renewal fee after November 1 but before December 31 shall be the licensure fee as set forth in Section 1 of this administrative regulation, plus a twenty (20) dollar late fee.

History

RELATES TO: KRS 309.335
STATUTORY AUTHORITY: KRS 309.331, 309.335
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.335 requires the board to promulgate an administrative regulation establishing the initial fee, annual fee, and late renewal fee for licensure as a diabetes educator. This administrative regulation establishes fees for licensure as a diabetes educator.
History: 40 Ky.R. 185; 583; eff. 11-1-2013; 43 Ky.R. 1642; 1943; eff. 6-2-2017; Cert eff. 5-10-2024.

201 KAR 45:110 Supervision and work experience {#sec-201-kar-45-110 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:110}

Section 1. Accumulation of Work Experience. An apprentice diabetes educator shall accumulate at least 750 hours of supervised work experience within five (5) years from the date of application for licensure, of which 250 hours shall have been obtained within the last twelve (12) months preceding licensure application.

Section 2. Supervision.

(1) An apprentice diabetes educator shall not practice diabetes education until a supervisor has been approved by the board in accordance with this administrative regulation.

(2) The board-approved supervisor shall assume responsibility for and supervise the apprentice diabetes educator's practice as follows:

(a) The supervisor shall complete a post-learning assessment of the apprentice using the, Diabetes Education Apprentice Assessment, form DPL-BDE-02, which shall accompany an application for full licensure.

(b) The apprentice diabetes educator shall meet with the supervisor no less than two (2) hours quarterly, one (1) hour of which shall be face-to-face while being physically present in the same room, or may be virtual utilizing an online platform with both audio and visual connectivity during the entire supervision meeting.

Identifying strengths, developmental needs, and providing direct feedback to foster the professional development of the apprentice diabetes educator;
Identifying and providing resources to facilitate learning and professional growth;
Developing awareness of professional and ethical responsibilities in the practice of diabetes education; and
Ensuring the safe and effective delivery of diabetes education services and fostering the professional competence and development of the apprentice diabetes educator.

(d) The supervisor shall complete a Supervised Work Experience Report, Form DPL-BDE-03, which shall accompany an application for full licensure.

(e)

Prior to the apprentice applying for full licensure, the supervisor shall:

a. Observe the apprentice providing diabetes education to a patient while the supervisor is physically present in the same room with the apprentice and the patient, or through telehealth as provided in 201 KAR 45:190;

b. Observation of the apprentice and the patient shall occur on at least two (2) separate occasions, for a combined total of at least four (4) hours; and

c. Two (2) hours of said observation shall occur within the twelve (12) months preceding full licensure application.

The apprentice shall be responsible for obtaining any permissions, releases, or waivers required by law in order for the supervisor to observe the apprentice providing diabetes education to a patient.

(3) The hours of work experience and verification by the apprentice diabetes educator and supervisor shall be documented on the Supervised Work Experience Report, DPL-BDE-03.

(4) A supervisor shall not serve as a supervisor for more than four (4) apprentice diabetes educators at a time.

Section 3. Documentation Requirements. The documentation required for the Supervised Work Experience Report, DPL-BDE-03 shall be maintained by the apprentice and the supervisor for a period of five (5) years and provided to the board upon request.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Diabetes Educator Apprentice Assessment", DPL-BDE-02, July 2025; and

(b) "Supervised Work Experience Report", DPL-BDE-03, July 2025.

(2) This material may be located on the board website at bde.ky.gov or inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensed Diabetes Educators, Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 5 p.m.

History

RELATES TO: KRS 309.331
STATUTORY AUTHORITY: KRS 309.331(1), 309.334(2)(a)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331(1) requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.325 to 309.339. KRS 309.334(2)(a) requires the board to promulgate administrative regulations to establish the duties of the apprentice diabetes educator supervisor. This administrative regulation establishes the amount of work experience required for licensure and the qualifications to be a supervisor.
History: 201 KAR 045:110. 40 Ky.R. 187; 584; eff. 11-1-2013; 41 Ky.R. 88; 447; eff. 10-3-2014; 1705; eff. 4-3-2015; 43 Ky.R. 537; eff. 11-4-2016; 1643; 1944; eff. 6-2-2017; 44 Ky.R. 563; eff. 12-1-2017; TAm eff. 10-16-2020; 52 Ky.R. 1023, 1690; eff. 6-30-2026.

201 KAR 45:120 Renewal, reinstatement, and inactive status {#sec-201-kar-45-120 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:120}

Section 1. Regular License Renewal.

(1) A licensed diabetes educator or master licensed diabetes educator shall submit to the board by November 1 of each year:

(a) A completed Renewal Application, Form DPL-BDE-05 July 2025;

(b) Proof of the required continuing education as set forth in 201 KAR 45:130; and;

(2) If a license is not renewed by December 31 of the new licensure year, the license shall automatically expire.

Section 2. Reinstatement.

(1) An expired license or permit shall be reinstated upon the licensee or permit holder:

(a) Submitting a completed Reinstatement Application, Form DPL-BDE-07;

(b) Paying the required fees established in 201 KAR 45:100; and

(c) Submitting proof of completion of an amount of continuing education courses equivalent to the continuing education requirements as established in 201 KAR 45:130 for each year since the last date the license was active.

(2) An expired license or permit may be reinstated within five (5) years of the date of expiration.

Section 3. Inactive Status.

(1) A licensee or permit holder may place his or her license or permit in inactive status. To request that a license or permit be placed in inactive status, the licensee or permit holder shall submit written notice to the board prior to November 1.

(2)

(a) An individual with an inactive license or permit shall not practice diabetes education while the license or permit is inactive.

(b) A licensee or permit holder may remain in inactive status for a maximum of five (5) years.

(3)

(a) During the period of inactive status, the licensee or permit holder shall not be required to meet the annual continuing education requirements as established in 201 KAR 45:130.

(b) Upon the licensee's or permit holder's request for licensure reactivation, the licensee or permit holder shall provide proof of completion of an amount of continuing education courses equivalent to the continuing education requirements as established in 201 KAR 45:130 for each year the license was inactive, and payment of the fee as established in 201 KAR 45:100.

(4)

(a) An individual shall submit in writing a request to the board to be placed back in active status and shall include an explanation for any inactive status exceeding one (1) year. The board may elect to invite the individual for an interview prior to approving active status.

(b) The request shall be submitted at least one (1) week in advance of the board's regularly scheduled board meeting.

Section 4. Regular Diabetes Educator Apprentice Permit Renewal.

(1) An apprentice diabetes educator shall submit to the board by November 1 of each year:

(a) A completed Apprentice Renewal Application, Form DPL-LDE-06;

(b) Proof of the required continuing education established in 201 KAR 45:130; and

(2)

(a) If a permit is not renewed by December 31, it shall automatically expire.

(b) A permit may be reinstated. Reinstatement shall comply with the requirements of section 2 of this administrative regulation.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Renewal Application", Form DPL-BDE-05, July 2025;

(b) "Reinstatement Application," Form DPL-BDE-07, Revised July 2025;and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensed Diabetes Educators, Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 5 p.m.

History

RELATES TO: KRS 309.331, 309.334, 309.335
STATUTORY AUTHORITY: KRS 309.331(1), 309.335
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331 requires the board to promulgate administrative regulations establishing procedures for annual renewal of licenses, and KRS 309.335(2)(c) requires the board to promulgate administrative regulations for reinstatement of licenses. This administrative regulation establishes procedures for annual renewal and reinstatement of licenses.
History: 201 KAR 045:120. 40 Ky.R. 188; 586; 789; eff. 11-1-2013; 41 Ky.R. 89; 448; eff. 10-3-2014; 1707; 1979; eff. 4-3-2015; 2611; eff. 9-4-2015; 43 Ky.R. 1644; 1944; eff. 6-2-2017; 44 Ky.R. 565; eff. 12-1-2017; TAm eff. 10-16-2020; 52 Ky.R. 1026; eff. 6-30-2026.

201 KAR 45:130 Continuing education {#sec-201-kar-45-130 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:130}

Section 1. Accrual of Continuing Education Hours.

(1)

(a) The annual continuing education accrual period shall be from November 1 of each year to October 31 of the next year.

(b) Prior to renewal of a diabetes educator license or apprentice diabetes educator permit for the next licensure period, a licensee or permit holder shall have earned at least fifteen (15) hours of approved continuing education.

(2) No more than fifteen (15) hours of continuing education shall be carried over into the next continuing education period.

(3) It shall be the responsibility of each licensee to finance the costs of continuing education.

Section 2. Methods of Acquiring Continuing Education Hours.

(1) Continuing education hours for license or permit renewal shall have a substantial emphasis on diabetes and be presented at a professional level that enhances the quality and effectiveness of diabetes self-management education.

(2) A licensee or permit holder shall obtain continuing education courses from any of the following continuing education providers or programs approved by the providers:

(a) American Association of Diabetes Educators (AADE);

(b) American Diabetes Association (ADA);

(d) Accreditation Council for Pharmacy Education (ACPE);

(e) Accreditation Council for Continuing Medical Education (ACCME-AMA);

(f) American Nurses Credentialing Center (ANCC);

(g) American Academy of Family Physicians (AAFP);

(h) American Academy of Nurse Practitioners (AANP);

(i) American Academy of Optometry (AAO);

(j) American Academy of Physician Assistants (AAPA);

(k) American Association of Clinical Endocrinologists (AACE);

(l) American College of Endocrinology (ACE);

(m) American College of Sports Medicine (ACSM);

(n) American Medical Association (AMA) or its Kentucky affiliate;

(o) American Nurses Association (ANA);

(p) American Occupational Therapy Association (AOTA);

(q) American Physical Therapy Association (APTA);

(r) American Psychological Association (APA);

(s) Commission on Dietetic Registration (CDR);

(t) Council on Continuing Medical Education (CCME-AOA);

(u) Council on Podiatric Medical Education (CPME-APMA);

(v) International Diabetes Federation (IDF);

(w) National Association of Clinical Nurse Specialists (NACNS);

(x) National Association of Social Workers (NASW);

(y) Kentucky Board of Nursing (KBN);

(z) Kentucky Board of Pharmacy;

(aa) Kentucky Board of Medical Licensure;

(bb) Kentucky Nurses Association (KNA); or

(cc) National Board for Certification in Occupational Therapy (NBCOT®).

Section 3. Recordkeeping of Continuing Education Hours.

(1) A licensee or permit holder shall maintain a record of all continuing education courses attended for at least two (2) years after attending the course.

(2) Appropriate documentation to be kept shall include:

(a) Proof of attendance;

(b) Date of activity;

(d) Total hours of instruction, excluding breaks; and

(e) The name of the continuing education provider or program approved by the providers listed in Section 2.(2) above..

(3)

(a) Each licensee or permit holder shall sign a statement on the Renewal Application form incorporated by reference in 201 KAR 45:120, indicating compliance with the continuing education requirements.

(b) A license or permit shall not be renewed without the licensee signing this sworn statement.

Section 4. Reconsideration.

(1) A licensee or permit holder may request the board to reconsider its denial of a continuing education course. The request shall be filed with the board in writing.

(2)

(a) A licensee or permit holder shall file the request for reconsideration pursuant to KRS Chapter 13B within thirty (30) calendar days of notification of the denial.

(b) The request will be reviewed by the board at its next regularly scheduled meeting.

Section 5. Auditing of Continuing Education.

(1) During the annual renewal period, the board shall conduct a random audit of up to fifteen (15) percent of current licensees and permit holders.

(2) Each licensee or permit holder selected for audit shall submit documentation of completion of continuing education units from the current license year to the board no later than the end of the current license period.

(3) A licensee or permit holder who fails to comply with the audit request or the continuing education requirements shall be subject to disciplinary action.

History

RELATES TO: KRS 309.337, 309.339
STATUTORY AUTHORITY: KRS 309.331
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.337 requires licensees to provide documentation of the successful completion of board-approved continuing education credits and that waivers and extensions of continuing education may be approved at the discretion of the board. KRS 309.331(1) requires the board to promulgate administrative regulations establishing continuing education requirements. This administrative regulation establishes continuing education requirements for licensed diabetes educators.
History: 201 KAR 045:130. 40 Ky.R. 189; 587; 790; eff. 11-1-2013; 42 Ky.R. 1918; 2474; eff. 4-1-2016; 43 Ky.R. 1646; 1945; eff. 6-2-2017; 47 Ky.R. 1251; eff. 6-16-2021; 52 Ky.R. 1028, 1536; eff. 6-30-2026.

201 KAR 45:140 Code of ethics {#sec-201-kar-45-140 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:140}

Section 1. Responsibility to Patients.

(1) A diabetes educator shall:

(a) Provide services with respect for the uniqueness, dignity, and autonomy of each individual; and

(b) Advance and protect the welfare of the patient.

(2) A diabetes educator shall not recommend the use of a specific product or service based solely on the educator's relationship with the manufacturer of the product or provider of the service.

Section 2. Confidentiality A diabetes educator shall respect and guard the confidences of each patient, maintaining all records according to state and federal law.

(1) A diabetes educator shall not disclose a patient confidence except:

(a) As mandated or permitted by law;

(b) If the diabetes educator is a defendant in a civil, criminal, or disciplinary action arising from services provided, confidences may be disclosed only in the course of that action; or

(c) If a waiver has been obtained in writing, confidential information shall be revealed only in accordance with the terms of the waiver.

(2) A diabetes educator may use patient or clinical materials in teaching, writing, and public presentations if:

(a) A written waiver has been obtained in accordance with subsection (1)(c) of this section; or

(b) Appropriate steps have been taken to protect patient identity and confidentiality.

Section 3. Professional Competence and Integrity. A diabetes educator shall maintain standards of professional competence and integrity and hold himself or herself out in a manner that demonstrates honesty, integrity, and fairness and shall be subject to disciplinary action for:

(1) Having been subject to disciplinary action by another regulatory agency;

(2) Impairment due to mental incapacity or the abuse of substances which negatively impacts the practice of diabetes education;

(3) Conviction, as used in KRS 309.339, of a felony or a misdemeanor;

(4) Refusing to comply with an order or request from the board;

(5) Failure to cooperate with the board by not:

(a) Furnishing in writing a complete explanation to a complaint filed with the board; or

(b) Appearing before the board at the time and place designated; or

(6) Failure to provide the board with new contact information within thirty (30) business days the changes is effective.

Section 4. Supervisor's Responsibility. A supervisor shall not permit an apprentice diabetes educator under the supervisor's supervision to hold himself or herself out as competent to perform professional services beyond the apprentice's level of training, experience, and competence. A supervisor shall promptly notify the board in writing if an apprentice diabetes educator under the supervisor's supervision holds himself or herself out as competent to perform professional services beyond the apprentice's level of training, experience, and competence.

Section 5. Diabetes Educator's Responsibility. A diabetes educator shall not represent that he or she is competent to perform professional services beyond his or her level of training, experience, and competence.

Section 6. Financial Arrangements.

(1) A diabetes educator shall make financial arrangements with a patient, apprentice diabetes educator, or third party payor that are reasonably understandable and conform to accepted professional practices.

(2) A diabetes educator shall:

(a) Not offer or accept payment for referrals;

(b) Not charge excessive fees for services;

(d) Represent facts truthfully to patients and third party payors regarding services rendered.

Section 7. Advertising. A diabetes educator shall:

(1) Accurately represent his or her education, training, and experience relevant to the practice of diabetes education;

(2) Not make false, fraudulent, misleading, or deceptive claims or any statement intended to or likely to create an unjustified expectation.

Section 8. Board Member Responsibilities.

(1) A board member shall recuse himself or herself in matters in which:

(a) The board member is the supervisor of the apprentice diabetes educator at issue; and

(b) The board member will be providing a course in diabetes education pursuant to KRS 309.335(1)(b)1.

(2) A board member shall not receive compensation for providing a board-approved course in diabetes education pursuant to KRS 309.335(1)(b)1. that is excessive.

History

RELATES TO: KRS 309.331, 309.339
STATUTORY AUTHORITY: KRS 309.331
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331(1) requires the board to promulgate a code of ethics for licensed diabetes educators. This administrative regulation establishes the required code of ethics.
History: 40 Ky.R. 191; 588; eff. 11-1-2013; Crt eff. 10-27-2020.

201 KAR 45:150 Complaint procedures {#sec-201-kar-45-150 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:150}

Section 1. Definitions.

(1) "Board" is defined by KRS 309.325(1).

(2) "Charge" means a specific allegation contained in any document issued by the board alleging a violation of a specified provision of KRS 309.325 through 309.339.

(3) "Complaint" means a written complaint alleging a violation of KRS 309.325 through 309.339.

(4) "Complainant" means a person who files a complaint pursuant to this administrative regulation.

(5) "Formal complaint" means a formal administrative pleading authorized by the board that establishes a charge against a licensee or applicant and commences a formal disciplinary proceeding pursuant to KRS Chapter 13B.

Section 2. Complaints. A complaint:

(1) Shall be submitted by completing an Information and Complaint Form with Authorization for the Use and Disclosure of Health Information, DPL-BDE-08 and signed by the person offering the complaint; or

(2) May be filed by the board based upon information in its possession.

Section 3. Receipt of Complaints.

(1) A copy of the complaint shall be mailed to the individual named in the complaint along with a request for that individual's response to the complaint.

(2) The individual shall be allowed a period of twenty (20) days from the date of receipt to submit a written response to the board.

(3) Upon receipt of the written response of the individual named in the complaint, a copy of the response shall be sent to the complainant.

(4) The complainant shall have seven (7) days from receipt to submit a written reply to the response to the board.

Section 4. Initial Review.

(1)

(a) After the receipt of the complaint and the expiration of the period for the individual response, the board shall consider the individual's response, complainant's reply to the response, and any relevant material available.

(b) The names of the individuals and other identifying information shall be redacted to provide anonymity.

(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 conduct a formal investigation into the matter.

Section 5. Results of Formal Investigation; Board Decision on Hearing.

(1) Upon completion of the formal investigation, the board shall determine whether there has been a prima facie violation of KRS 309.325 to 309.339 or the administrative regulations promulgated thereunder. If so, a formal complaint shall be filed.

(2) If the board determines that a complaint does not warrant the issuance of a formal complaint, 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 violation has occurred but is not serious, the board shall issue a written admonishment to the license holder.

(a) A copy of the written admonishment shall be placed in the permanent file of the license holder.

(b) The license holder shall have the right to file a response in writing to the admonishment within thirty (30) days of its receipt and may have it placed in the license holder's permanent file.

(c) Alternatively, the license holder may file a request for a hearing with the board within thirty (30) days of the admonishment.

(d) Upon receipt of the request, the board shall set aside the written admonishment and set the matter for hearing pursuant to the provisions of KRS Chapter 13B.

(4)

(a) If the board determines that a complaint warrants the issuance of a formal complaint against the license holder, the board or its counsel shall prepare a formal complaint that states clearly the charge or charges to be considered at the hearing.

(b)

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.
The formal complaint shall be processed in accordance with KRS Chapter 13B.

Section 6. Settlement by Informal Proceedings.

(1) The board, through counsel, may 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 chair and the individual who is the subject of the complaint.

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

Section 7. Incorporation by Reference.

(1) The Information & Complaint Form With Authorization for the Use and Disclosure of Health Information, DPL-BDE-08, July 2025, is incorporated by reference.

History

RELATES TO: KRS 309.335
STATUTORY AUTHORITY: KRS 309.331, 309.335
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331 requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.330 to 309.339. This administrative regulation provides for the complaint procedures to be used by the board in the enforcement of those statutes and administrative regulations promulgated thereunder.
History: 201 KAR 045:150. 40 Ky.R. 192, 590, 790; eff. 11-1-2013; TAm eff.10-16-2020; Crt. eff. 10-27-2020; 52 Ky.R. 1030, 1691; eff. 6-30-2026.

201 KAR 45:160 Scope of practice {#sec-201-kar-45-160 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:160}

Section 1. A person holding a license or a permit from the board may perform the following functions:

(1) Provide education and support for people with diabetes, people at risk for diabetes, and caregivers of those with diabetes;

(2) Communicate and coordinate with other health care professionals to provide education and support for people with diabetes, people at risk for diabetes, and caregivers of those with diabetes;

(3) Provide diabetes self-management services, including activities that assist a person in implementing and sustaining the behaviors needed to manage diabetes on an ongoing basis;

(4) Determine the persons to whom diabetes education and services will be provided, how those education and services may be best delivered, and what resources will assist those persons;

(5) Develop a program for diabetes management, which may include:

(a) Describing the diabetes treatment process and treatment options;

(b) Incorporating nutritional management into lifestyle;

(d) Using medications safely and effectively;

(e) Monitoring blood glucose and other parameters and interpreting and using the results for self-management and decision making;

(f) Preventing, detecting, and treating acute and chronic complications of diabetes;

(g) Developing personal strategies to address psychosocial issues and concerns; or

(h) Developing personal strategies to promote health and behavior change;

(6) Develop an individualized education and support plan focused on behavior change, which shall be documented in an education or health record;

(7) Develop a personalized follow-up plan for ongoing self-management support, and communicate that follow-up plan to other health care providers as necessary;

(8) Monitor if participants are achieving their personal diabetes self-management goals and other outcomes using the following appropriate frameworks and measurement techniques:

(a) Physical activity;

(b) Healthy eating;

(d) Monitoring blood glucose;

(e) Diabetes self-care related problem solving;

(f) Reducing risks of acute and chronic complications of diabetes;

(g) Evaluation of the psychosocial aspects of living with diabetes; or

(9) Evaluate the effectiveness of the education and services, and engage in a systematic review of process and outcome data.

History

RELATES TO: KRS 309.331, 309.339
STATUTORY AUTHORITY: KRS 309.331
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331 requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.325 to 309.339. This administrative regulation establishes the functions that a diabetes educator may perform.
History: 40 Ky.R. 194; 591; 791; eff. 11-1-2013; Crt eff. 10-27-2020.

201 KAR 45:170 Application procedures {#sec-201-kar-45-170 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:170}

Section 1. Licensed Diabetes Educator Application Procedures.An applicant for licensure as a licensed diabetes educator shall submit the following to the board:

(1) A completed Application for Licensure, Form DPL-BDE-01;

(2) A completed Diabetes Education Apprentice Assessment (Post-Learning), Form DPL-BDE-02, incorporated by reference in 201 KAR 45:110;

(3) The Supervised Work Experience Report, Form DPL-BDE-03, incorporated by reference in 201 KAR 45:110, verifying completion of 750 hours of work experience as an apprentice diabetes educator under a supervisor as provided in 201 KAR 45:110;

(4)

(a) Evidence showing successful completion of the credentialing program of the American Association of Diabetes Educators or the National Certification Board for Diabetes Educators or;

(b) Evidence showing the successful completion of the Association of Diabetes Care and Education Specialists ("ADCES") Core Concepts Course, either online or in-person, or an equivalent credentialing program as approved by the board pursuant to 201 KAR 45:180; and

Section 2. Master Licensed Diabetes Educator Application Procedures. An applicant for licensure as a master licensed diabetes educator shall submit to the board:

(1) A completed Application for Licensure, Form DPL-BDE-01;

(2) Proof of completion of the credentialing program of the American Association of Diabetes Educators or the National Certification Board for Diabetes Educators in Board Certified Advanced Diabetes Management or as a Certified Diabetes Educator; and

(3) Payment of the licensure fee as established in 201 KAR 45:100.

Section 3. Apprentice Diabetes Educator Application Procedures. An applicant for an apprentice diabetes educator permit shall submit to the board:

(1) A completed Application for Apprentice Diabetes Educator Permit, Form DPL-BDE-04;

(2) Payment of the licensure fee as established in 201 KAR 45:100; and

(3) A completed Diabetes Educator Apprentice Assessment, Form DPL-BDE-02, incorporated by reference in 201 KAR 45:110;

(4) Proof of an active license or certification in good standing as at least one (1) of the following:

(a) American College of Sports Medicine Certified Clinical Exercise Specialist or Registered Clinical Exercise Physiologist;

(b)

Certified social worker or licensed clinical social worker pursuant to KRS Chapter 335; and
The applicant shall also have at least two (2) years of experience in a health profession;

(d) Health educator holding active certification as a master certified health education specialist with the National Commission on Health Education Credentialing;

(e) Nutritionist pursuant to KRS Chapter 310;

(f) Occupational therapist pursuant to KRS Chapter 319A;

(g) Optometrist pursuant to KRS Chapter 320;

(h) Osteopath pursuant to KRS Chapter 311;

(i) Pharmacist pursuant to KRS Chapter 315;

(j) Physical therapist pursuant to KRS Chapter 327;

(k) Physician pursuant to KRS Chapter 311;

(l) Physician assistant pursuant to KRS Chapter 311;

(m) Podiatrist pursuant to KRS Chapter 311;

(n) Psychologist pursuant to KRS Chapter 319;

(o) Registered nurse pursuant to KRS Chapter 314; or

(p) A license or certification from a state or the District of Columbia equivalent to one (1) of the licenses or certifications listed in this subsection.

(5) The board shall not consider an applicant for an apprentice diabetes educator permit who does not hold an active license or certification as listed in subsection (3) of this section.

(6) An applicant for an apprentice diabetes educator permit shall include the Supervised Work Experience Report, Form DPL-BDE-03, which lists the name of the supervisor, the employer, and the type of setting the work experience will be gained, incorporated by reference in 201 KAR 45:110.

Section 4. Applications involving prior convictions of a crime.

(1) If the board considers denying an application based solely on an applicant's prior conviction of a crime, the board, pursuant to KRS 335B.030(2), shall:

(a) Provide the applicant with written notice that the board has determined that the prior conviction may disqualify the applicant for a license or permit, and demonstrates the connection between the prior conviction and the license or permit being sought; and

(b) Afford the applicant an opportunity to be personally heard before the board prior to the board making a decision on whether to disqualify the applicant.

(2) If the board resolves to deny an application based solely on an applicant's prior conviction of a crime after complying with the procedures in Section 4(1) of this administrative regulation, the board, pursuant to KRS 335B.030(2), shall notify the applicant in writing of:

(a) The grounds and reasons for the denial or disqualification;

(b) That the applicant has a right to a hearing conducted in accordance with KRS Chapter 13B, if a written request for a hearing is made within twenty (20) days after service of notice;

(d) That evidence of rehabilitation may be considered upon reapplication.

Section 5. Incorporation by Reference. The following material is incorporated by reference:

(1) "Application for Licensure, Form DPL-BDE-01, July 2025, is incorporated by reference;

(2) "Application for Apprentice Diabetes Educator Permit", Form DPL-BDE-04, July 2025, is incorporated by reference.

(3) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Licensed Diabetes Educators, Department of Professional Licensing, 500 Mero Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 309.331, 309.334, 309.335, 309.336, 335B.030
STATUTORY AUTHORITY: KRS 309.331(1), 309.334(2)(c), 309.335(1)(b)1., 309.336(2)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331(1) requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.325 to 309.339. KRS 309.335(1)(b)1. requires an applicant for licensure as a licensed diabetes educator to file an application as provided by the board, to show successful completion of a course or program as determined by the board, and to demonstrate experience in the care of people with diabetes under supervision that meets requirements specified in administrative regulations promulgated by the board. KRS 309.334(2)(c) requires the board to establish additional requirements to apply for an apprentice diabetes educator permit, and KRS 309.336(2)(b) requires the board to establish additional requirements to apply for licensure as a master licensed diabetes educator. This administrative regulation establishes application procedures for licensed diabetes educators, master licensed diabetes educators, and apprentice diabetes educators.
History: 201 KAR 045:170. 41 Ky.R. 211; Am. 448; eff. 10-3-2014; 2612; 42 Ky.R. 276; eff. 9-4-2015; 44 Ky.R. 566, 921; eff. 12-1-2017; TAm eff. 10-16-2020; 52 Ky.R. 1032, 1692; eff. 6-30-2026.

201 KAR 45:180 Diabetes Education Courses {#sec-201-kar-45-180 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:180}

Section 1. The Association of Diabetes Care and Education Specialists (ADCES) Core Concepts Course shall constitute a board-approved course in diabetes education.

Section 2. A person may petition the board to approve another course in diabetes education that is substantially equivalent to the American Association of Diabetes Educators Core Concepts Course by submitting to the board a completed Application for KBLDE Board Approved Course, Form DPL-BDE-09. The application form shall be accompanied by:

(1) A thorough course description;

(2) A statement of the learning objectives;

(3) A statement of the target audience;

(4) The content focus of the course;

(5) A detailed agenda for the activity;

(6) The number of contact hours requested;

(7) The qualifications required for presenters; and

(8) A sample of the certificate of completion awarded to successful attendees.

Section 3. Incorporation by Reference.

(1) "Application for KBLDE Board Approved Course", Form DPL-BDE-09, July 2025 is incorporated by reference.

History

RELATES TO: KRS 309.331
STATUTORY AUTHORITY: KRS 309.331(1), 309.335
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331(1) requires the board to promulgate administrative regulations for the administration and enforcement of KRS 309.325 to 309.339. KRS 309.335(1)(b)1. requires the board to promulgate administrative regulations specifying requirements for the board-approved course in diabetes education. This administrative regulation establishes the requirements and procedures for the board-approved course in diabetes education.
History: 201 KAR 045:180. 41 Ky.R. 213; Am. 449; eff. 10-3-2014; TAm eff. 10-16-2020; Cert. eff. 9-22-2021; 52 Ky.R. 1034, 1693; eff. 6-30-2026.

201 KAR 45:190 Telehealth diabetes education {#sec-201-kar-45-190 omnilex-key=us-ky-regs-official--title-201--201 KAR 45:190}

Section 1. Definitions.

(1) "Client" means the person receiving the services of the licensed diabetes educator or the diabetes educator apprentice.

(2) "Credential holder" is defined as licensed diabetes educator or the diabetes educator apprentice.

(3) "Telehealth" is defined by KRS 211.332(5). Telehealth shall not include the delivery of services through electronic mail, text chat, facsimile, or standard audio-only telephone call and shall be delivered over a secure communications connection that complies with the federal Health Insurance Portability and Accountability Act of 1996, 42 U.S.C. secs. 1320d to 1320d-9.

(4) "Telehealth diabetes education" means the practice of diabetes education, as defined by KRS 309.325(2), between the credential holder and the patient that is provided using:

(a) Electronic communication technology; or

(b) Two (2) way, interactive, simultaneous audio and video.

(5) "Telehealth service" means any service that is provided via telehealth and is one (1) of the following:

(a) Event;

(b) Encounter;

(d) Visit;

(e) Remote patient monitoring;

(f) Referral; or

(g) Treatment.

Section 2. Patient Requirements. A credential holder using telehealth to deliver diabetes education services or who practices diabetes education shall, upon initial contact with the patient:

(1) Make reasonable attempts to verify the identity of the patient;

(2) Obtain alternative means of contacting the patient other than electronically, which may include obtaining the patient's phone number or email address;

(3) Provide to the patient alternative means of contacting the credential holder other than electronically, which may include providing the credential holder's phone number or email address;

(4) Document if the patient has the necessary knowledge and skills to benefit from the type of diabetes education provided by the credential holder;

(5) Use secure communications with the patient, including encrypted text messages via e-mail or secure Web sites, and not use personal identifying information in non-secure communications;

(6) Inform the patient in writing about:

(a) The limitations of using technology in the provision of diabetes education;

(b) Potential risks to confidentiality of information due to technology in the provision of diabetes education;

(d) When and how the credential holder will respond to routine electronic messages;

(e) The circumstances in which the credential holder will use alternative communications for emergency purposes;

(f) Who else may have access to patient communications with the credential holder;

(g) How communications can be directed to a specific credential holder; and

(h) How the credential holder stores electronic communications from the patient.

(7) Within forty-eight (48) hours of the telehealth service, the credential holder shall document within the patient's medical record that a service was provided by telehealth, and follow all documentation requirements of the practice.

Section 3. Competence, Limits on Practice, Maintenance, and Retention of Records.

(1) A credential holder using telehealth to deliver diabetes education services or who practices telehealth diabetes education shall:

(a) Limit the practice of telehealth diabetes education to the area of competence in which proficiency has been gained through education, training, and experience;

(b) Maintain current competency in the practice of telehealth diabetes education through continuing education, consultation, or other procedures, in conformance with current standards of scientific and professional knowledge;

(d) Ensure that confidential communications obtained and stored electronically cannot be recovered and accessed by unauthorized persons when the credential holder disposes of electronic equipment and data; and

(e) Document the patient's written informed consent to the services being provided and the provision of those services via telehealth, including that the patient or client:

Has the right to refuse telehealth consultation or services;
Has been informed of alternatives to telehealth services;
Shall be entitled to receive information from the provider regarding the services rendered;
Information shall be protected by applicable federal and state law regarding patient confidentiality;
Shall have the right to know the identity of all persons present at any site involved in the telehealth services, and to exclude any such person; and
Shall have the right to be advised, and to object to, any recording of the telehealth consultation or services.

(2) The requirement of a written informed consent shall not apply to an emergency situation if the patient is unable to provide informed consent and the patient's legally authorized representative is not available.

Section 4. Compliance with Federal, State, and Local Law. A credential holder using telehealth to deliver diabetes education services shall:

(1) Comply with the state law where the credential holder is credentialed and state law regarding the practice of diabetes education where the patient is located at the time services are rendered;

(2) Comply with Section 508 of the Rehabilitation Act, 29 U.S.C. 794(d), to make technology accessible to a patient with disabilities; and

(3) Maintain patient privacy and security in accordance with 900 KAR 12:005, Section 2(2).

Section 5. Representation of Services and Code of Conduct. A credential holder using telehealth to deliver diabetes education services:

(1) Shall not, by or on behalf of the credential holder, engage in false, misleading, or deceptive advertising of telehealth diabetes services; and

(2) Shall comply with the code of ethics established by 201 KAR 45:140.

(3) Shall not allow fee-splitting through the use of telehealth diabetes education services.

Section 6. A person holding a license as a diabetes educator or a permit as a diabetes educator apprentice who provides telehealth services to a person physically located in Kentucky shall be subject to the laws and administrative regulations governing diabetes education in Kentucky.

History

RELATES TO: KRS 309.331, 211.332, 211.334, 211.335, 211.336, 211.338
STATUTORY AUTHORITY: KRS 309.331
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.331 authorizes the board to promulgate administrative regulations to carry out and enforce KRS 309.325 to 309.339. KRS 211.332 authorizes the use of telehealth in the Commonwealth to ensure a patient's informed consent and to maintain confidentiality. This administrative regulation protects the health and safety of the citizens of Kentucky and establishes procedures for preventing abuse and fraud through the use of telehealth, prevents fee-splitting through the use of telehealth, and utilizes telehealth in the provision of diabetes educator services and in the provision of continuing education.
History: 201 KAR 045:190. 52 Ky.R. 1064, 1694; eff. 6-30-2026.

Chapter 46 Board of Medical Imaging and Radiation Therapy

201 KAR 46:010 Definitions for 201 KAR Chapter 46 {#sec-201-kar-46-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:010}

Section 1. Definitions.

(1) "Accredited educational program" means an educational program accredited by the Joint Review Committee on Education in Radiologic Technology (JRCERT), the Joint Review Committee on Educational Programs in Nuclear Medicine Technology (JRCNMT), or other accrediting agencies recognized by the American Registry of Radiologic Technologists (ARRT), which have been approved by the board.

(2) "Advanced imaging professional" means an individual who holds credentialing by the American Registry of Radiologic Technologists (ARRT) or by the Nuclear Medicine Technology Certification Board (NMTCB) as a registered radiologist assistant (R.R.A.) or nuclear medicine advanced associate (NMAA).

(3) "Alternate course of study" means an independent course of study that qualifies an individual to take an examination approved by the board.

(4) "Authorized user" is defined by KRS 311B.020(4).

(5) "Bedside radiography" means the use of portable x-ray equipment, mobile x-ray equipment, transportable x-ray equipment, or any other nonstationary piece of ionizing radiation emitting equipment used to perform medical imaging.

(6) "Board" is defined by KRS 311B.020(5).

(7) "Clinical education" means the component of the educational program that provides for supervised, competency-based, clinical education and experience.

(8) "Computed tomography" or "CT" means the process of using specialized radiation producing equipment to create cross-sectional images of any part of the body.

(9) "Computed tomography technologist" or "CT technologist" means an individual who has obtained a post-primary certification in computerized tomography from the American Registry of Radiologic Technologists (ARRT) or the Nuclear Medicine Technology Certification Board (NMTCB).

(10) "Continuing education" is defined by KRS 311B.020(7).

(11) "Continuing education unit" or "CEU" means fifty (50) contact minutes of participation in a continuing education experience completed by:

(a) Attendance at a professional meeting;

(b) Documenting completed, approved independent study; or

(c) Documenting completed academic courses applicable to health care, medical imaging, radiation therapy, or related courses.

(12) "Contrast procedure" means a diagnostic or therapeutic procedure performed while administering contrast media into the human body to visualize anatomy not otherwise demonstrated on an image receptor.

(13) "Course of study" means a curriculum in radiologic technology, nuclear medicine technology, the advanced imaging profession, limited x-ray machine operation, or radiation therapy approved by the board.

(14) "Didactic education" means the component of the educational program that provides formal instruction with specific objectives and methods for assessing the student's progress for entry-level competency.

(15) "Direct supervision" means supervised by, and in the physical presence of, a licensed practitioner of the healing arts.

(16) "Educational program" means a board-approved, accredited educational program or limited x-ray machine operator program.

(17) "Facility" means a hospital, outpatient department, clinic, radiology practice, mobile unit, or office of a physician or portion thereof, in which medical imaging or radiation therapy are performed.

(18) "Indirect supervision" means supervised by a licensed practitioner of the healing arts who is immediately available in person or remotely via telecommunications device.

(19) "License" means the document issued to a licensee to work as an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, a nuclear medicine technologist, or a limited x-ray machine operator in Kentucky.

(20) "Licensed practitioner" or "licensed practitioner of the healing arts" is defined by KRS 311B.020(8).

(21) "Licensee" means an individual licensed to perform the duties of an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, a nuclear medicine technologist, or a limited x-ray machine operator.

(22) "Licensure" means the process by which a license is issued by the board pursuant to 201 KAR Chapter 46 and in accordance with KRS Chapter 311B.

(23) "Limited radiographic procedures" means the following:

(a) Static x-ray exams of the thorax, lungs, and ribs;

(b) Static x-ray exams of the abdomen;

(d) Static x-ray exams of the upper and lower extremities;

(e) Static x-ray exams of the pectoral girdle, hips, and pelvis;

(f) Static x-ray exams of the cervical, thoracic, and lumbar spines; and

(g) Bone densitometry exams utilizing dedicated Dual Energy X-ray Absorptiometry (DEXA or DXA) equipment.

(24) "Limited x-ray machine operator" is defined by KRS 311B.020(9).

(25) "Medical Imaging" means producing visual images of the human body utilizing various types of energy and technologies to determine the presence of disease and injury. Medical imaging is used for diagnostic, screening, treatment and monitoring purposes.

(26) "Medical imaging technologist" is defined by KRS 311B.020(10).

(27) "National organization" is defined by KRS 311B.020 (11).

(28) "Nuclear medicine advanced associate" means an individual certified by the Nuclear Medicine Technology Certification Board (NMTCB) as a nuclear medicine advanced associate (NMAA) who works under the supervision of a radiologist or nuclear medicine physician, in accordance with practice standards.

(29) "Nuclear medicine technologist" is defined by KRS 311B.020(12).

(30) "Nuclear medicine technology" means technology applied by a nuclear medicine technologist utilizing radioactive material and with the nuclear medicine technologist being under the supervision of an authorized user.

(31) "PET" means the positron emission tomography.

(32) "Positron emission tomography" means the utilization of positron-emitting radioactive material for medical imaging under the supervision of an authorized user.

(33) "Practice standards" means the standards established by board-approved professional organizations that define the practice expectations of individuals within the professions.

(34) "Primary discipline" means radiography, nuclear medicine, and radiation therapy.

(35) "Professional educational guidelines" means curriculum and educational standards established by national organizations and approved by the board.

(36) "Program director" means an individual designated by a sponsoring institution to assure that the educational programs for an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, a nuclear medicine technologist, and a limited x-ray machine operator are properly conducted.

(37) "Provisional nuclear medicine technology license" means a license issued by the board to an individual participating in the alternate nuclear medicine course of study approved by the board.

(38) "Provisional training license" means a license issued to a nuclear medicine technologist or a radiation therapist pursuing post-primary certification in computed tomography or a license issued to a radiographer or radiation therapist pursuing post-primary certification in PET.

(39) "Radiation safety officer" means an individual who has the training, knowledge, and responsibility to apply appropriate radiation safety practices.

(40) "Radiation therapist" is defined by KRS 311B.020(15).

(41) "Radiation therapy" means the therapeutic administration of ionizing radiation by a radiation therapist.

(42) "Radioactive materials" means a solid, liquid, or gas that emits ionizing radiation spontaneously.

(43) "Radiographer" is defined by KRS 311B.020(16).

(44) "Radiography" means:

(a) The utilization and administration of ionizing radiation to produce medically relevant images for the diagnosis of injury or disease; and

(b) Includes a comprehensive scope of diagnostic-radiologic procedures.

(45) "Radiologist assistant" means an individual certified by the American Registry of Radiologic Technologists (ARRT) as a registered radiologist assistant (R.R.A.) who works under the supervision of a radiologist, in accordance with supervision guidelines jointly established by the American College of Radiology (ACR), the American Society of Radiologic Technologists (ASRT), and the ARRT.

(46) "Radionuclide" means a radioactive element or a radioactive isotope.

(47) "Radiopharmaceuticals" means radioactive drugs used for the diagnosis and treatment of disease.

(48) "Scope of practice" means the parameter of the specific practice.

(49) "Source of radiation" means a radioactive material, device, or equipment emitting or capable of producing ionizing radiation.

(50) "Sponsoring institution" means an institution recognized by the board to provide a post-secondary educational program in medical imaging, limited x-ray machine operation, radiation therapy, or advanced imaging professions.

(51) "Student" means an individual enrolled in a board-recognized educational program.

(52) "Supervision of students" means supervised by a licensed practitioner of the healing arts or a licensee in the appropriate field of practice who directs the activity of students.

(53) "Temporary license" means a nonrenewable license issued by the board as established in 201 KAR Chapter 46 permitting an individual to practice for a specified period of time.

(54) "Therapeutic procedures" means medical treatments that can help diagnose, cure, or treat a patient's condition.

History

RELATES TO: KRS 311B.020
STATUTORY AUTHORITY: KRS 311B.010, 311B.050
CERTIFICATION STATEMENT: This is to certify that this administrative regulation is in compliance with the requirements of 2025 RS HB 6, Section 8(2) because this administrative regulation is being promulgated to meet a deadline established by 2025 RS HB 72. The Board of Medical Imaging and Radiation Therapy is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.010 and 311B.050 require the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to regulate medical imaging, radiation therapy, and related occupations. This administrative regulation establishes definitions for terms used in 201 KAR Chapter 46.
History: 201 KAR 046:010. 1 Ky.R. 1158; 2 Ky.R. 217; 3 Ky.R. 635; eff. 3-2-1977; 4 Ky.R. 289; eff. 3-3-1978; 12 Ky.R. 1424; eff. 3-4-1986; 18 Ky.R. 1586; eff. 1-10-1992; 34 Ky.R. 133; 607; 763; eff. 10-17-2007; Recodified from 902 KAR 105:010; 11-20-2013; 41 Ky.R. 2295; 42 Ky.R. 338; 1486; eff. 11-18-2015; 44 Ky.R. 1384, 1817; eff. 2-15-2018; 45 Ky.R. 2967, 3403; eff. 7-5-2019; 46 Ky.R. 2994; eff. 10-28-2020; 52 Ky.R. 218; eff. 11-12-2025.

201 KAR 46:015 Compensation {#sec-201-kar-46-015 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:015}

Section 1.

(1) Members of the board shall receive compensation of $100 per diem for each day they actually spend in the discharge of their official duties.

History

RELATES TO: KRS 311B.040(8), 311B.130
STATUTORY AUTHORITY: KRS 311B.040(8), 311B.050(1), (2), 311B.120(9)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.040(8) and 311B.120(9) require the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to compensate a member of the board engaged in the discharge of official duties at scheduled or called meetings of the board. KRS 311B.050(1) and (2) require the board to promulgate administrative regulations to administer and enforce KRS Chapter 311B. This administrative regulation establishes the requirements for compensation of board members.
History: 40 Ky.R. 1517; Am. 2126; eff. 3-20-2014; Cert. eff. 3-5-2021.

201 KAR 46:020 Fees {#sec-201-kar-46-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:020}

Section 1. Initial Application and License Fee. A non-refundable initial application and license fee shall be $100.

Section 2. Renewal License Fee. A non-refundable renewal fee shall be fifty (50) dollars per year.

Section 3. Temporary Application and License Fee. A non-refundable fee for a temporary license shall be $100.

Section 4. Provisional Training License Fee. A non-refundable fee for a provisional training license for a radiation therapist and a nuclear medicine technologist shall be fifty (50) dollars per twenty-four (24) month training period.

Section 5. Temporary Limited X-ray Machine Operator Application and License Fee. A non-refundable, non-transferrable fee for a license shall be $100.

Section 6. Duplicate License Fee. A non-refundable fee for a duplicate license shall be twenty (20) dollars.

Section 7. Reinstatement Fee. A reinstatement fee shall be $100. Reinstatement fee shall be assessed starting on day six (6) following the expiration date of license.

Section 8. Name Change Fee. A non-refundable fee for a new printed license with a name change shall be twenty (20) dollars.

Section 9. Limited X-ray Machine Operator Examination Qualification Fee. A non-refundable fee for the qualification to register for the limited x-ray machine operator examination shall be twenty-five (25) dollars.

Section 10. Insufficient Funds Fee. A fee for returned check or denied online banking (ACH) payment shall be fifty (50) dollars.

Section 11. Written Verification of Qualifications Fee. The fee for completion of written verification documents shall be twenty-five (25) dollars per document.

Section 12. Continuing Education Approval Fee.

(1) Individual continuing education program fee shall be ten (10) dollars.

(2) Annual sponsoring institution fee shall be $100.

Section 13. Temporary Student Radiography Application and License Fee. A non-refundable fee for a license shall be fifty (50) dollars.

History

RELATES TO: KRS 311B.050, 311B.100(2), 311B.110, 311B.120, 311B.130, 311B.140, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.010, 311B.050, 311B.120
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.010 and 311B.050 require the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to regulate medical imaging, radiation therapy, and related occupations. KRS 311B.120 requires the board to promulgate administrative regulations to establish fees and penalties. This administrative regulation establishes fees for the licensure of an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, a nuclear medicine technologist, a limited x-ray machine operator, and a student radiographer.
History: 201 KAR 046:020. 1 Ky.R. 1158; 2 Ky.R. 246; 3 Ky.R. 636; eff. 3-2-1977; 12 Ky.R. 1425; eff. 3-4-1986; 14 Ky.R. 2087; eff. 6-22-1988; 16 Ky.R. 2560; eff. 6-27-1990; 18 Ky.R. 1588; eff. 1-10-1992; 19 Ky.R. 305; 733; eff. 8-28-1992; 27 Ky.R. 3384; 28 Ky.R. 393; eff. 8-15-2001; Recodified from 902 KAR 105:020, 11-20-2013; 41 Ky.R. 2299; 42 Ky.R. 1488; eff. 11-18-2015; 42 Ky.R. 2932; 43 Ky.R. 199; eff. 8-17-2016; 44 Ky.R. 1386; eff. 2-15-2018; 45 Ky.R. 2970; eff. 7-5-2019; 49 Ky.R. 2274; eff. 7-20-2022; Cert. eff. 11-8-2023; 52 Ky.R. 1036; eff. 3-12-2026.

201 KAR 46:030 Education for medical imaging technologists, advanced imaging professionals, nuclear medicine technologists, radiographers, and radiation therapists {#sec-201-kar-46-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:030}

Section 1. Curricular Standards for Medical Imaging, Radiation Therapy, Radiography, Nuclear Medicine, and Advanced Imaging Programs. Educational programs shall ensure:

(1) Radiography and radiation therapy programs meet the curricular standards established by the American Society of Radiologic Technologists (ASRT);

(2) Nuclear medicine programs meet the curricular standards established by the Society of Nuclear Medicine and Molecular Imaging Technologists Section (SNMMITS); and

(3) Programs maintain accreditation by the Joint Review Committee on Education in Radiologic Technology, the Joint Review Committee on Educational Programs in Nuclear Medicine Technology, or other accrediting agencies recognized by the American Registry of Radiologic Technologists (ARRT), which have been approved by the board.

Section 2. Student Employment Outside the Academic Clinical Setting. A student shall not be employed in the operation of radiation-producing equipment or the administration of ionizing radiation for the purpose of medical imaging or radiation therapy in Kentucky unless they hold an active Temporary Student Radiography License pursuant to 201 KAR 46:045.

History

RELATES TO: KRS 311B.020, 311B.050, 311B.080
STATUTORY AUTHORITY: KRS 311B.050(2), (5), 311B.080
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050(2) requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B. KRS 311B.050(5) requires the board to approve accredited educational programs and monitor compliance with educational standards established by the individual disciplines and recognized by the board. KRS 311B.080 requires the board to recognize and enforce national standards. This administrative regulation establishes uniform curricula standards for postsecondary educational institutions.
History: 201 KAR 046:030. 1 Ky.R. 1159; Am. 2 Ky.R. 218; 3 Ky.R. 637; eff. 3-2-77; 5 Ky.R. 630; 1068; eff. 6-6-79; 12 Ky.R. 1427; eff. 3-4-86; 18 Ky.R. 1590; eff. 1-10-92; 34 Ky.R. 136; 765; eff. 10-17-2007; Recodified from 902 KAR 105:030; 11-20-2013; 41 Ky.R. 2301; 42 Ky.R. 1490; eff. 11-18-2015; 45 Ky.R. 2971; eff. 7-5-2019; 52 Ky.R. 1038; eff. 3-12-2026.

201 KAR 46:035 Practice standards, scopes of practice, and ethical standards {#sec-201-kar-46-035 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:035}

Section 1. Applicability. A licensee shall only perform medical imaging or radiation therapy for diagnostic medical imaging or therapeutic purposes while under the direct or indirect supervision as specified by a licensee's practice standards, by a licensee's scope of practice, or in the ACR-AAPM Technical Standard for the Management of the Use of Radiation in Fluoroscopic Procedures as listed in Section 3 of this administrative regulation.

Section 2. If a licensee's practice standards, a licensee's scope of practice, or the ACR-AAPM Technical Standard for the Management of the Use of Radiation in Fluoroscopic Procedures fails to specify who may provide direct or indirect supervision, a licensee shall only perform medical imaging or radiation therapy for diagnostic medical imaging or therapeutic purposes while under the direct or indirect supervision of a licensed practitioner of the healing arts.

Section 3. Practice Standards. A licensee shall perform according to practice standards of the discipline for which the licensee holds a credential, as established by the American Society of Radiologic Technologists (ASRT), the American College of Radiology (ACR), the American Association of Physicists in Medicine (AAPM), and the Society of Nuclear Medicine and Molecular Imaging (SNMMI) and incorporated by reference. These standards include the:

(1) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Radiography;

(2) Nuclear Medicine Technologist Scope of Practice and Performance Standards;

(3) Scope of Practice for the Nuclear Medicine Advanced Associate;

(4) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Radiation Therapy;

(5) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Bone Densitometry;

(6) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Cardiac-Interventional and Vascular-Interventional Technology;

(7) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Computed Tomography;

(8) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Limited X-ray Machine Operator;

(9) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Mammography;

(10) The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Radiologist Assistant;

(11) ACR ASRT Joint-Policy Statement-Radiologist Assistant: Roles and Responsibilities;

(12) ACR-AAPM Technical Standard for Management of the Use of Radiation in Fluoroscopic Procedures;

(13) The American Registry of Radiologic Technologists' Code of Ethics; and

(14) The Nuclear Medicine Technology Certification Board's Code of Ethics.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Radiography", revised June 30, 2024;

(b) "Nuclear Medicine Technologist Scope of Practice and Performance Standards", June 9, 2022;

(d) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Radiation Therapy", revised June 30, 2024;

(e) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Bone Densitometry", revised June 30, 2024;

(f) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Cardiac- Interventional and Vascular-Interventional Technology", revised June 30, 2024;

(g) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Computed Tomography", revised June 30, 2024;

(h) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Limited X-ray Machine Operator", revised June 30, 2024;

(i) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Mammography", revised June 30, 2024;

(j) "The ASRT Practice Standards for Medical Imaging and Radiation Therapy – Radiologist Assistant", revised June 30, 2024;

(k) "ACR ASRT Joint Policy Statement-Radiologist Assistant: Roles and Responsibilities", May 2003;

(l) "ACR-AAPM Technical Standard for Management of the Use of Radiation in Fluoroscopic Procedures", revised 2023;

(m) "The American Registry of Radiologic Technologists' Code of Ethics", (September 1, 2023); and

(n) "The Nuclear Medicine Technology Certification Board's Code of Ethics", (November 15, 2017).

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at:

(a) American Society of Radiologic Technologists, 15000 Central Ave. SE Albuquerque, NM 87123-3909, https://www.asrt.org/main/standards-regulations/practice-standards/practice-standards;

(b) Society for Nuclear Medicine and Molecular Imaging, 1850 Samuel Morse Drive Reston, Virginia 20190, http://www.snmmi.org;

(c) The American Registry of Radiologic Technologists' Code of Ethics, 125 Northland Drive, Saint Paul, Minnesota 55120, https://www.arrt.org/docs/default-source/Governing-Documents/code-of-ethics.pdf?sfvrsn=10;

(d) The Nuclear Medicine Technology Certification Board, 3558 Habersham at Northlake, Building I, Tucker, Georgia 30084, https://www.nmtcb.org/policies/ethics.php; or

(e) The Board of Medical Imaging and Radiation Therapy, 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky 40504, Monday through Friday, 8:00 a.m. to 4:30 p.m.

History

RELATES TO: 311B.080
STATUTORY AUTHORITY: KRS 311B.050(2), 311B.080
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050(2) requires the Kentucky Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B. KRS 311B.080 requires the board to recognize and enforce national practice standards, scopes of practice, and ethical standards. This administrative regulation establishes uniform standards for the licensure of individuals who perform medical imaging and radiation therapy for diagnostic and therapeutic purposes while under the supervision of a licensed practitioner of the healing arts.
History: 44 Ky.R. 50; eff. 7-17-2017; TAm eff. 11-30-2017; 44 Ky.R. 51, 1388, 1818; eff. 2-15-2018; 46 Ky.R. 2997; 47 Ky.R. 709; eff. 10-28-2020; TAm eff. 9-28-2023; 51 Ky.R. 739; eff. 2-5-2025.

201 KAR 46:040 Medical imaging technologist, advanced imaging professional, radiographer, nuclear medicine technologist, and radiation therapist licenses {#sec-201-kar-46-040 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:040}

Section 1. Eligibility for an Advanced Imaging Professional, a Medical Imaging Technologist, a Radiographer, a Radiation Therapist, and a Nuclear Medicine Technologist License. A person shall not be eligible for a license pursuant to this administrative regulation for diagnostic imaging or therapeutic purposes unless the person has:

(1) Satisfactorily passed the national examination administered by the American Registry of Radiologic Technologists or the Nuclear Medicine Technology Certification Board examination;

(2) Satisfactorily completed an accredited educational program; and

(3) Maintained current active status of certification and registration with ARRT or NMTCB.

Section 2. Application for Initial License. An applicant shall submit:

(1) A completed and signed application KBMIRT Form 1;

(2) A nonrefundable initial application and license fee as established by 201 KAR 46:020, Section 1, unless the fee is waived in accordance with KRS 311B.140;

(3) The results of a criminal background check completed within the past six (6) months in state of residence and employment and any other state of residence and employment within the past five (5) years;

(4) A copy of a government-issued photo ID;

(5) Documentation of active registration or certification with the ARRT or NMTCB; and

(6) Verification of graduation from an accredited educational program.

Section 3. Applicant from an Unaccredited Educational Program.

(1) If an applicant qualifies for licensure under KRS 311B.100(3), the applicant shall submit and satisfy the requirements of Section 2(1) through (5) of this administrative regulation and shall submit proof:

(a) Of an active valid license or certificate from another jurisdiction's regulatory board to practice as an advanced imaging professional, medical imaging technologist, radiographer, radiation therapist, or nuclear medicine technologist and is in good standing;

(b) Of certification or licensure by a national organization recognized by the board;

(c) That the applicant has not been disciplined as an advanced imaging professional, medical imaging technologist, radiographer, radiation therapist, or nuclear medicine technologist by any jurisdiction or national organization that has issued a license or certificate to the applicant;

(d) Of a minimum of five (5) years of work experience as a certified or licensed advanced imaging professional, medical imaging technologist, radiographer, radiation therapist, or nuclear medicine technologist; and

(e) That the applicant maintained continuing education requirements during the applicant's period of licensure or certification, which includes copies of any continuing education certificates received for attending from the sponsor.

(2) If an applicant qualifies for licensure under KRS 12.245, 12.354, or 12.357, the applicant shall submit and satisfy the requirements of Section 2(1) through (5) of this administrative regulation, subsection (1)(a) through (c) of this Section, and shall submit form DD-214 or other proof of active or prior military service for the applicant or spouse of the applicant.

Section 4. The issued license shall identify the licensee as an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, or a nuclear medicine technologist. The medical imaging technologist license shall also identify any ARRT or NMTCB disciplines awarded to the licensee.

Section 5. The license shall expire annually on the last day of the licensee's birth month. If a license is first issued to an individual less than six (6) months before the individual's birth month, the license issued to the individual shall not expire on that date, but instead it shall expire at the last day of the individual's birth month in the following calendar year.

Section 6. Renewal of License. To renew a license, the licensee shall submit:

(1) KBMIRT Form 2;

(2) Verification of current active status with the ARRT or NMTCB; and

(3) The renewal license fee as established by 201 KAR 46:020, Section 2, unless the fee is waived in accordance with KRS 311B.140.

Section 7. Reinstatement of Lapsed License.

(1) A licensee who has allowed the license to lapse up to twelve (12) months shall be eligible to be reinstated upon:

(a) Submission of KBMIRT Form 2;

(b) Verification of current active status with the ARRT or NMTCB;

(d) The payment of reinstatement and renewal fees as established by 201 KAR 46:020, Sections 2 and 7, unless the fees are waived in accordance with KRS 311B.140.

(2) A licensee whose license has lapsed for more than twelve (12) months shall submit:

(a) Verification of current active status with the ARRT or NMTCB;

(b) KBMIRT Form 1;

(c) Continuing education KBMIRT Form 8, as incorporated by reference in 201 KAR 46:060, that documents twenty-four (24) hours of approved continuing education;

(d) The payment of nonrefundable initial application and license fee and reinstatement fee as established by 201 KAR 46:020, Sections 1 and 7, unless the fees are waived in accordance with KRS 311B.140;

(e) The results of a criminal background check completed within the past six (6) months in state of residence and employment and any other state of residence and employment within the past five (5) years; and

(f) A copy of a government-issued photo ID.

Section 8. Reinstatement of Revoked License. An applicant seeking reinstatement after a license revocation shall follow the same process as a new applicant as required under KRS 311B.100, 311B.110, and this administrative regulation.

Section 9. Lapsed Credential. A licensee shall not allow a credential to lapse while the license is active. If a licensee's credential is suspended, revoked, or otherwise discontinued by a national organization, the licensee shall notify the board immediately. A licensee seeking reinstatement following a lapse in credential shall submit:

(1) Verification of current active status with the ARRT or NMTCB; and

(2) Payment of reinstatement fee as established by 201 KAR 46:020, Section 7.

Section 10. Temporary License. The board may, upon completion of Form KBMIRT 3, as incorporated by reference in 201 KAR 46:045, and payment of the fee established in 201 KAR 46:020, Section 3, issue a temporary license to an applicant who has successfully completed an approved course of study in radiography, nuclear medicine technology, radiation therapy, or an advanced imaging profession and meets the other requirements of 201 KAR 46:045 other than having taken the required examination. A temporary license shall be effective for up to one (1) year only and shall not be renewable. Upon certification, a temporary license may be converted to a permanent license as described in 201 KAR 46:045, Section 2. A temporary license shall expire upon issuance of a permanent license.

Section 11. Continuing Education Audit Process.

(1) The board shall select a sample of licensees to audit for continuing education compliance.

(2) The board shall send each licensee selected for audit a notification of audit.

(3) Each licensee shall maintain his or her personal files such as certificates or records of credit from approved continuing education programs from the current biennium and immediate prior biennium.

(4) A licensee selected for audit shall provide the board with a copy of his or her certificate or records of completion.

(5) Failure to comply with an audit may result in nonrenewal, suspension, or revocation of license.

Section 12. Contrast Procedures. Only individuals holding a license pursuant to this administrative regulation shall perform diagnostic imaging or radiation therapy procedures regulated by KRS Chapter 311B at facilities where contrast studies are performed.

Section 13. CT Training for Nuclear Medicine Technologists and Radiation Therapists. Individuals who are licensed in the primary discipline of nuclear medicine or radiation therapy, are certified by the ARRT or NMTCB, and are seeking post-primary certification in computed tomography (CT) may work under the direct supervision of a licensed and certified CT technologist to gain clinical competency. An individual who wishes to complete clinical training in CT shall submit a Provisional License Application, as incorporated by reference in 201 KAR 46:050, which shall expire twenty-four (24) months from the date of issuance.

Section 14. PET Training for Radiographers and Radiation Therapists. Individuals who are licensed in the primary discipline of radiography or radiation therapy, are certified by the ARRT, and are seeking post-primary certification in positron emission tomography (PET) may work under the direct supervision of a licensed and certified PET technologist with the permission of an authorized user to gain clinical competency. An individual who wishes to complete clinical training in PET shall submit a Provisional License Application, as incorporated by reference in 201 KAR 46:050, which shall expire twenty-four (24) months from the date of issuance.

Section 15. Applications for licensure shall be filed with the Board of Medical Imaging and Radiation Therapy, 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky 40504.

Section 16. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) KBMIRT Form 1, "License Application-Medical Imaging or Radiation Therapy", August 2024; and

(b) KBMIRT Form 2, "License Renewal Application-Medical Imaging or Radiation Therapy", August 2024.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Medical Imaging and Radiation Therapy, 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky 40504, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbmirt.ky.gov.

History

RELATES TO: KRS 311B.020, 311B.050, 311B.080, 311B.100(2), (3), 311B.110, 311B.120, 311B.140, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.050, 311B.080, 311B.100(2), 311B.110
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050 requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to establish the procedures for the issuance and renewal of a license. KRS 311B.100(2) and KRS 311B.110(6) require the board to promulgate administrative regulations to establish the qualifications for an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, and a nuclear medicine technologist. This administrative regulation establishes requirements for licensure, renewal, and reinstatement.
History: 1 Ky.R. 1160; Am. 2 Ky.R. 218; rejected 12-10-1975; 3 Ky.R. 638; eff. 3-2-1977; 4 Ky.R. 290; eff. 3-3-1978; 5 Ky.R. 631; eff. 3-7-1979; 12 Ky.R. 1428; eff. 3-4-1986; 18 Ky.R. 1591; eff. 1-10-1992; 33 Ky.R. 1733; 34 Ky.R. 768; eff. 10-17-2007; Recodified from 902 KAR 105:040, 11-20-2013; 41 Ky.R. 2304; 42 Ky.R. 344; eff. 11-18-2015; 44 Ky.R. 52; eff. 7-17-2017; TAm eff. 11-30-2017; 45 Ky.R. 2972; eff. 7-5-2019; 46 Ky.R. 2999; 47 Ky.R. 710; eff. 10-28-2020; TAm eff. 9-28-2023; 51 Ky.R. 741, 1274; eff. 2-5-2025.

201 KAR 46:045 Temporary license application for medical imaging technologists, advanced imaging professionals, radiographers, nuclear medicine technologists, radiation therapists, and student radiographers {#sec-201-kar-46-045 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:045}

Section 1. Eligibility.

(1) A person shall be eligible for a Temporary License if the person:

(a) Has satisfactorily completed an accredited educational program; and

(b) Is eligible to sit for the certification exam of the:

American Registry of Radiologic Technologists (ARRT); or
Nuclear Medicine Technology Certification Board (NMTCB).

(2) A person shall be eligible for a Temporary Student Radiography License if the person:

(a) Is actively enrolled and in good academic standing in an accredited radiography program;

(b) Has completed at least fifty (50) percent of the program with clinical experience in varied imaging procedures as endorsed by the program director; and

(c) Has established appropriate supervisory personnel at each health care facility in which the person intends to practice.

Section 2. Application Requirements.

(1) An applicant for a Temporary License shall submit:

(a) A Completed and signed Temporary License Application-Medical Imaging and Radiation Therapy, Form KBMIRT 3;

(b) The non-refundable temporary application and license fee as established by 201 KAR 46:020, Section 3;

Within the past six (6) months in the state of residence and employment; and
For any other state of residence and employment within the past five (5) years;

(d) A copy of a government issued photo ID; and

(e) Verification of successful completion of an accredited educational program.

(2) An applicant for a Temporary Student Radiography License shall submit:

(a) A completed and signed Temporary License Application – Student Radiography, Form KBMIRT 15;

(b) The non-refundable student radiography application and license fee as established by 201 KAR 46:020, Section 13;

Within the past six (6) months in the state of residence and employment; and
For any other state of residence and employment within the past five (5) years;

(d) A Copy of a government issued photo ID; and

(e) Endorsements from program director and employer.

Section 3. Conversion of License.

(1)

(a) The Temporary License may be converted to a permanent license upon submission of documentation of certification by the ARRT or the NMTCB.

(b) If a temporary license is converted to a permanent license less than six (6) months before the individual's birth month, then the permanent license issued to the individual shall not expire on that date, but instead it shall expire at the last day of the individual's birth month in the following calendar year.

(c) If a temporary licensee has not submitted documentation of the ARRT or the NMTCB certification during the twelve (12) month period:

the license shall not be renewed; and
The individual shall:

a. Follow the procedure for initial license application pursuant to 201 KAR 46:040; and

b. Pay the initial application and license fee mandated in 201 KAR 46:020.

(2) The Temporary Student Radiography License may be converted to a Temporary License upon completion of the accredited educational program and submission of application as established in Section 2(1) of this administrative regulation.

Section 4. Limitations on License.

(1) An individual who holds an active Temporary License may perform within the practice standards for the discipline in which he or she is licensed and under the supervision requirements set forth by 201 KAR 46:035.

(2)

(a) An individual who holds an active Temporary Student Radiography License may perform static x-rays under the supervision of a licensed Radiographer that is immediately available and physically present within the department.

(b) The Temporary Student Radiography Licensee shall not:

Perform bedside radiography or fluoroscopy procedures; and
Submit x-ray images for interpretation unless approved by a licensed Radiographer.

Section 5. Conditions on the Temporary Student Radiography License. An individual who holds a Temporary Student Radiography License shall remain actively enrolled and in good standing with the educational program throughout the duration of his or her licensure. If a licensee fails to maintain continuous enrollment, is suspended, dismissed, or withdraws from the educational program, the licensee shall notify the board immediately.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Temporary License Application-Medical Imaging and Radiation Therapy", Form KBMIRT 3, October 2023; and

(b) "Temporary License Application- Student Radiography", Form KBMIRT 15, September 2025.

History

RELATES TO: KRS 311B.050, 311B.100(2), 311B.120, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.010, 311B.050, 311B.100(2)
CERTIFICATION STATEMENT: This certifies that this administrative regulation complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050 requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B and to regulate the licensure of medical imaging technologists, advanced imaging professionals, radiographers, nuclear medicine technologists, and radiation therapists other than a licensed practitioner of the healing arts. KRS 311B.100(2) requires the board to establish licensure qualifications. This administrative regulation establishes procedures for the temporary licensure of medical imaging technologists, advanced imaging professionals, radiographers, nuclear medicine technologists, and radiation therapists who are eligible to apply for the appropriate national board exam, procedures for the temporary licensure of student radiographers, and limitations on temporary licensure, including clarifications.
History: 201 KAR 046:045. 41 Ky.R. 2449; 42 Ky.R. 347; 1495; eff. 11-18-2015; TAm eff. 11-30-2017; 45 Ky.R. 2972; eff. 7-5-2019; TAm eff. 9-28-2023; 52 Ky.R. 1039, 1520; eff. 3-12-2026.

201 KAR 46:050 Provisional training license for medical imaging technologists, radiographers, nuclear medicine technologists, and radiation therapists {#sec-201-kar-46-050 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:050}

Section 1. Eligibility for Provisional CT Training License. An individual who is licensed in a primary discipline of nuclear medicine or radiation therapy, certified by the American Registry of Radiologic Technologists (ARRT) or the Nuclear Medicine Technology Certification Board (NMTCB), and who is seeking post-primary computed tomography certification may work under the direct supervision of a licensed and certified CT technologist to gain clinical competency. An individual who wishes to complete clinical training in computed tomography shall submit a Provisional License Application. A provisional license shall expire twenty-four (24) months from the date of issuance.

Section 2. Eligibility for Provisional PET Training License. An individual who is licensed in a primary discipline of radiography or radiation therapy, certified by the ARRT, and who is seeking post-primary PET certification may work under the direct supervision of a licensed and certified PET technologist with the permission of an authorized user to gain clinical competency. An individual who wishes to complete clinical training in PET shall submit a Provisional License Application. A provisional license shall expire twenty-four (24) months from the date of issuance.

Section 3. Application for Provisional Training License. A licensee shall submit a:

(1) Completed and signed KBMIRT Form 7 Provisional License Application; and

(2) Nonrefundable provisional training license fee as mandated in 201 KAR 46:020, Section 4.

Section 4. Upon completion of post-primary ARRT or NMTCB computed tomography or NMTCB (PET) certification, a provisional licensee shall submit documentation of registry or certification and shall receive an updated license.

Section 5. If a provisional training licensee has not submitted documentation of appropriate registry or certification prior to expiration of the provisional license, the licensee shall reapply for a new provisional license pursuant to the process established in this administrative regulation and pay the nonrefundable provisional training license fee mandated in 201 KAR 46:020, Section 4. A provisional license may be renewed once.

Section 6. Incorporation by Reference.

(1) "Provisional License Application", KBMIRT Form 7, October 2023, is incorporated by reference.

(2) This material may be inspected, copied or obtained, subject to applicable copyright law, at the Board of Medical Imaging and Radiation Therapy, 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky, 40504, Monday through Friday, 8:00 a.m. to 4:30 p.m.

History

RELATES TO: KRS 311B.050, 311B.100(2), 311B.120, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.010, 311B.050, 311B.100(2)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050 requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B and to regulate the licensure of medical imaging technologists, advanced imaging professionals, and radiation therapists other than a licensed practitioner of the healing arts. KRS 311B.100(2) requires the board to establish licensure qualifications. This administrative regulation establishes procedures for the provisional licensure of nuclear medicine technologists and radiation therapists who are seeking post-primary certification in computed tomography (CT) and radiographers or radiation therapists who are seeking post-primary certification in positron emission tomography (PET) to gain clinical competency.
History: 41 Ky.R. 2450; 41 Ky.R. 1496; eff. 11-18-2015; TAm eff. 11-30-2017; 46 Ky.R. 3001; eff. 10-28-2020; TAm eff. 9-28-2023.

201 KAR 46:060 Continuing education requirements {#sec-201-kar-46-060 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:060}

Section 1. Mandatory Continuing Education Units.

(1) Medical imaging technologists, advanced imaging professionals, radiographers, nuclear medicine technologists, and radiation therapists shall obtain a minimum of twenty-four (24) continuing education units per biennium.

(2) Limited X-Ray machine operators shall obtain a minimum of twelve (12) continuing education units per biennium.

(3) A continuing education unit shall be earned by participating in fifty (50) contact minutes in an approved continuing education program.

Section 2. Methods of Acquiring Continuing Education.

(1) Continuing education units applicable to the renewal of a license shall be directly relevant to the professional growth and development of the medical imaging technologist, radiation therapist, advanced imaging professional, radiographer, nuclear medicine technologist, or limited x-ray machine operator.

(2) Continuing education units may be earned by completing any of the following educational activities:

(a) Academic courses relevant to the radiologic sciences or patient care and is offered by a post-secondary educational institution accredited by a mechanism recognized by the American Registry of Radiologic Technologists (ARRT) or the Nuclear Medicine Technologist Certification Board (NMTCB). Relevant courses in the biologic sciences, physical sciences, medical imaging, interventional procedures, radiation therapy, health and medical sciences, social sciences, verbal communication (oral and written), mathematics, computer use related to medical imaging or radiation therapy, management, cultural competency and ethics related to medical professionals, or post-secondary adult education methodology shall be considered for acceptance. Some subject areas that shall not be applicable include formal education clinical hours or credits, independent study, courses in archeology, astronomy, fine arts, geology, geography, history, music, philosophy, and religion;

(b) Continuing education units approved by a professional organization recognized by the board or designated as a Recognized Continuing Education Evaluation Mechanism (RCEEM); or

(c) Continuing education units offered by other individuals, organizations, or institutions that have been approved by the board.

(3) Academic course credit equivalency for continuing education units shall be based on one (1) academic quarter credit hour is equal to twelve (12) continuing education units or one (1) academic semester credit hour is equal to sixteen (16) continuing education units.

Section 3. Procedure for Preapproval of Continuing Education Programs.

(1) A continuing education program may be approved by two (2) mechanisms:

(a) By applying and receiving approval from a RCEEM; or

(b) By applying and receiving approval from the board.

(2) For board approval of continuing education programs, a person, agency, or company, "CE Sponsor", shall:

(a) Submit KBMIRT Form 9, Continuing Education Program Approval Request Form at least twenty (20) business days in advance of the date of the offering;

(b) Submit the continuing education approval fee as established by 201 KAR 46:020, Section 12;

(d) Participate in the audit of approved continuing education programs including presentation evaluations, attendance, and continuing education participation documentation, as requested by the board; and

(e) Comply with policies set forth by the board, the ARRT, and NMTCB regarding continuing education programs.

(3) A continuing education activity shall be approved if the board determines that the activity is appropriate. The criteria as established in paragraphs (a) through (d) of this subsection shall be used by the board to determine the preapproval of a continuing education program.

(a) The activity shall enhance knowledge and skills associated with professional performance.

(b) It shall pertain to services provided to patients, the public, or medical profession by an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, a nuclear medicine technologist, or a limited x-ray machine operator.

(d) The objectives shall be obtainable for the time frame, outline, and scope of the presentation.

Section 4. Responsibilities and Reporting Requirements of Licensee. A licensee shall be responsible for obtaining required continuing education units and submit documents only if requested by the board. Each licensee shall maintain all documentation verifying successful completion of continuing education units for the current and prior biennium. Documentation shall include:

(1) Official transcripts for completed academic courses; or

(2) Completion certificates or cards for continuing education programs.

Section 5. Audit Procedures.

(1) The board shall audit a random selection of twenty-five (25) percent of limited x-ray machine operator licensees and ten (10) percent of all other licensees per year and notify the randomly-selected licensees.

(2) Each licensee selected for audit shall furnish documentation of completed continuing education units on KBMIRT Form 8, Licensee Continuing Education Documentation Form, for the identified time frame, and provide the board with a copy of the certificates or records of completion.

(3) Failure to comply with an audit may result in non-renewal, suspension or revocation of license.

Section 6. Temporary Licensees. Continuing education requirements shall not apply to the holders of a temporary license.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) KBMIRT Form 9, "Continuing Education Program Approval Request Form", October 2023; and

(b) KBMIRT Form 8, "Licensee Continuing Education Documentation Form", October 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Medical Imaging and Radiation Therapy, 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky, 40504, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at https://kbmirt.ky.gov.

History

RELATES TO: KRS 311B.050, 311B.110
STATUTORY AUTHORITY: KRS 311B.050(2), (4), 311B.110(6)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050(2) requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B. KRS 311B.050(4) and 311B.110(6) require the board to determine and enforce continuing education requirements and establish guidelines for the approval of continuing education. KRS 311B.110(3) authorizes the board to require that all licensees obtain continuing education for ongoing knowledge of current practices in radiation safety and clinical procedures prior to licensure renewal. This administrative regulation delineates the requirements for continuing education and prescribes methods and standards for the approval of continuing education courses.
History: 41 Ky.R. 2452; 42 Ky.R. 1496; eff. 11-18-2015; 43 Ky.R. 1651; eff. 7-17-2017; TAm eff. 11-30-2017; 46 Ky.R. 3003; eff. 10-28-2020; 48 Ky.R. 2509, 2966; eff. 7-20-2022; TAm eff. 9-28-2023; 51 Ky.R. 744; eff. 2-5-2025.

201 KAR 46:070 Violations and enforcement {#sec-201-kar-46-070 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:070}

Section 1. Denial, Revocation, and Suspension of Licenses.

(1) The board may deny, revoke, or suspend the license of a licensee in accordance with KRS 311B.160.

(2) A licensee shall comply with an order of the board.

(3) An order of the board in subsection (2) of this section shall include items such as discovery orders, requests for information, subpoenas, requests for attendance before the board, and responses to complaints.

Section 2. Hearings.

(1) The board shall notify the licensee in accordance with KRS 311B.170(1) and (2).

(2) A licensee to whom a notice or order is directed shall comply with KRS 311B.170(3) to avoid license revocation.

(3) The board shall issue the licensee a notice of proposed action in accordance with 201 KAR 46:090.

(4) A licensee may request a conference and appeal the board's action in accordance with KRS 311B.170(5) and 201 KAR 46:090.

Section 3. Penalties.

(1)

(a) The board shall assess civil penalties in accordance with KRS 311B.180 and 311B.190 against an individual who performs diagnostic or therapeutic procedures without valid licensure.

(b) The board shall investigate an allegation that an individual performed a diagnostic or therapeutic procedure without valid licensure in accordance with 201 KAR 46:090.

(c) The board shall only assess a civil penalty after confirmation through one (1) of the means enumerated in KRS 311B.180(2).

(2) An individual who performs a diagnostic or therapeutic procedure without valid licensure shall be assessed a civil penalty of fifty (50) dollars per day that the procedure occurs.

(3) Civil penalties double the amount assessed against an individual shall be assessed against the employer of the individual without a valid license pursuant to KRS 311B.180.

(4) Any person or employer assessed a civil penalty may request a hearing as specified in 201 KAR 46:090, Section 6.

(5)

(a) An individual who performs diagnostic or therapeutic procedures without valid licensure shall be subject to a civil penalty of no more than $1,500.

(b) An employer of an individual without a valid license shall be subject to a civil penalty of no more than $3,000.

(6) For each day an individual performs a diagnostic or therapeutic procedure without valid licensure if the range is:

(a) One (1) to five (5) days, the individual shall receive a five (5) day suspension;

(b) Six (6) to twenty-nine (29) days, the individual shall receive a suspension for each day a procedure is performed; and

History

RELATES TO: KRS 311B.100, 311B.120, 311B.150, 311B.160, 311B.170, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.050, 311B.120, 311B.180, 311B.190
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050 requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B. KRS 311B.120 and 311B.190 require the board to promulgate administrative regulations to establish appropriate fees and penalties for violations. KRS 311B.180 requires the board to assess penalties against an individual or licensee who performs diagnostic or therapeutic procedures without a valid license. This administrative regulation establishes uniform enforcement procedures regarding the licensure of an advanced imaging professional, a medical imaging technologist, a radiographer, a radiation therapist, a nuclear medicine technologist, or a limited x-ray machine operator and penalties for violation of licensure requirements.
History: 2 Ky.R. 299; Am. 3 Ky.R. 640; eff. 3-2-1977; 18 Ky.R. 1594; eff. 1-10-1992; 23 Ky.R. 1783; 2524; eff. 11-20-1996; 33 Ky.R. 1736; 34 Ky.R. 770; eff. 10-17-2007; Recodified from 902 KAR 105:070, 11-20-2013; 41 Ky.R. 2308; 42 Ky.R. 1497; eff. 11-18-2015; 42 Ky.R. 2933; 43 Ky.R. 200; eff. 8-17-2016; 4 Ky.R. 54; eff. 7-17-2017; 46 Ky.R. 3005; eff. 10-28-2020.

201 KAR 46:081 Limited X-Ray machine operator {#sec-201-kar-46-081 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:081}

Section 1. Applicability. This administrative regulation shall apply to individuals who perform limited diagnostic radiography while under the direct supervision or indirect supervision of a licensed practitioner of the healing arts.

Section 2. Pathway to the Limited X-ray Machine Operator License.

(1) An applicant shall complete a board-approved postsecondary educational program that meets the curricular standards of Section 6 of this administrative regulation and successfully pass the Kentucky Limited Scope Exam as referenced in Section 3 of this administrative regulation.

(2) If an applicant qualifies for licensure under KRS 12.245, 12.354, or 12.357, the applicant shall submit and satisfy the requirements of Section 4(1) through (6) of this administrative regulation, and shall submit form DD-214 or other proof of active or prior military service for the applicant or spouse of the applicant.

Section 3. Application for Temporary Limited X-ray Machine Operator License.

(1) An applicant who has completed an educational program shall submit:

(a) A completed and signed application Form KBMIRT Form 5;

(b) A nonrefundable, non-transferrable temporary limited x-ray machine operator application and license fee as mandated in 201 KAR 46:020, Section 5, unless the fee is waived in accordance with KRS 311B.140;

(c) The satisfactory results of a criminal background check completed within the past six (6) months in state of residence and employment and any other state of residence and employment within the past five (5) years; and

(d) A copy of a government-issued photo ID.

(2) The temporary limited x-ray machine operator license shall be effective for up to one (1) year from date of program completion and shall not be renewable.

(3) Upon completion of the limited x-ray machine operator educational program, individuals shall:

(a) Apply for the Kentucky Limited Scope Exam; and

(b) Submit the nonrefundable, non-transferrable limited x-ray machine operator examination fee as mandated in 201 KAR 46:020, Section 9.

(4) An individual shall successfully pass the Kentucky Limited Scope Exam, administered by the American Registry of Radiologic Technologists (ARRT) within one (1) calendar year of program completion and prior to the expiration date of the temporary license, except in the case of instances such as, disability, major illness, accident, or if an active duty member of the Armed Forces of the United States at the discretion of the board.

(5) If a temporary licensee has successfully passed the Kentucky Limited Scope Exam prior to the expiration date of the temporary license, the licensee shall be issued a limited x-ray machine operator license, which shall expire on the last day of the licensee's birth month. If the limited x-ray machine operator license is first issued to an individual less than six (6) months before the individual's birth month, the license issued to the individual shall not expire on that date, but instead it shall expire at the last day of the individual's birth month in the following calendar year.

Section 4. Application for Initial Limited X-ray Machine Operator License. An Applicant shall submit:

(1) A completed and signed application, KBMIRT Form 4;

(2) A nonrefundable initial application and license fee as established in 201 KAR 46:020, Section 1, unless the fee is waived in accordance with KRS 311B.140;

(3) The results of a criminal background check completed within the past six (6) months in the state of residence and employment, and any other state of residence and employment within the past five (5) years;

(4) A copy of government-issued photo ID;

(5) Documentation of passing results of the Kentucky Limited Scope Exam within one (1) calendar year of program completion, except in the case of instances such as, disability, major illness, accident, or if an active duty member of the Armed Forces of the United States at the discretion of the board; and

(6) Verification of graduation from an educational program for limited x-ray machine operators approved by the board.

Section 5. The issued license shall identify the licensee as a limited x-ray machine operator. The license shall also identify the category as general, bone densitometry, or podiatry.

Section 6. Curricular Standards for Educational Program. This administrative regulation applies to institutions offering a postsecondary educational program for limited x-ray machine operators.

(1) Programs for general limited x-ray machine operators shall:

(a) Meet the curricular standards established by the American Society of Radiologic Technologists (ASRT);

(b) Include a minimum of 240 classroom hours of didactic instruction and 360 clinical hours of education which shall include supervised practice and demonstration of clinical competency until June 30, 2027;

(c) Beginning July 1, 2027, include a minimum of 480 classroom hours of didactic instruction and a minimum of 700 clinical clock hours of education that shall include supervised practice and demonstration of clinical competency;

(d) Supply data requested for a complete evaluation of its administration, organization, faculty, physical facilities, student policies, and curriculum;

(e) Provide a structured curriculum with clearly written course descriptions, lesson plans, and objectives;

(f) Provide an adequate faculty, which shall be qualified through academic preparation or experience to teach the subjects assigned;

(g) Employ a program director who is a licensed radiographer with a minimum of three (3) years of clinical or teaching experience or a combination of clinical and teaching experience;

(h) Provide a one-to-one licensee-to-student ratio consistent with professional educational guidelines in the appropriate field of practice;

(i) Provide appropriate facilities, diverse patient populations, sufficient volume, and a variety of diagnostic exams to properly conduct the educational program;

(j) Prohibit students from applying radiation to human beings for diagnostic purposes until they have obtained practical experience and have had their performance evaluated as satisfactory by the program faculty;

(k) Provide direct or indirect supervision by a licensed practitioner of the healing arts or a licensee as required by the student's level of competency;

(l) Prohibit students from administering radiation to a human being unless under direct or indirect supervision as required by the student's level of competency;

(m) Maintain records of each student's attendance, grades, clinical competency, and subjects completed;

(n) Designate a radiation safety officer; and

(o) Permit site inspections by the board's representative.

(2) Programs for limited podiatry x-ray machine operators shall:

(a) Consist of instruction that reflects current modules of the Examination Content Specifications - Limited Scope of Practice in Radiography published by the ARRT. The curriculum shall include items such as:

Safety, including radiation physics; radiation protection, including personnel protection; radiation exposure, monitoring, and radiation units; biological effects of radiation; low-dose technique and minimizing patient exposure; applicable federal and state radiation regulations;
Image Production, including principle of the radiographic equipment; image acquisition and technical evaluation; equipment operation and quality assurance; developing and using technique charts; and
Patient Care, including patient interactions and management; and

(b) Consist of at least six (6) months of clinical experience of static x-ray exams of the foot and ankle while under the direct supervision of a licensed practitioner of the healing arts, a licensed radiologic technologist, or a licensed limited x-ray machine operator.

(3) Programs for limited bone densitometry x-ray machine operators shall:

(a) Consist of instruction that reflects current content categories of the Examination Content Specifications - Bone Densitometry Equipment Operator published by the ARRT. The curriculum shall include items such as:

Patient Care, including osteoporosis, bone physiology, bone health and patient education, and patient preparation;
Safety, including fundamental principles, biological effects of radiation, units of measurement, and radiation protection; and
Image Production, including fundamentals of x-ray production, quality control, measuring and determining quality in bone mineral density; and

(b) Consist of at least six (6) months of bone densitometry clinical experience under the direct supervision of a licensed practitioner of the healing arts, a licensed radiologic technologist, or a licensed limited x-ray machine operator.

Section 7. Approved Limited Radiographic Procedures. An individual who holds a limited x-ray machine operator license is limited to performing the procedures authorized for his or her license as described in subsections (1), (2), and (3) of this section.

(1) An individual holding a general limited x-ray machine operator license shall perform only the following:

(a) Static x-ray exams of the thorax, lungs, and ribs;

(b) Static x-ray exams of the abdomen;

(d) Static x-ray exams of the upper and lower extremities;

(e) Static x-ray exams of the pectoral girdle, hips, and pelvis; and

(f) Static x-ray exams of the cervical, thoracic, and lumbar spines.

(2) An individual holding a limited podiatry x-ray machine operator license shall perform static x-ray exams on the foot and ankle only.

(3) An individual holding a limited bone densitometry x-ray machine operator license shall perform bone densitometry exams utilizing dedicated Dual Energy X-ray Absorptiometry (DEXA or DXA) equipment only.

(4) A limited x-ray machine operator shall comply with the Limited X-ray Machine Operator Practice Standards as incorporated by reference in 201 KAR 46:035, Section 4.

(5) A limited x-ray machine operator shall not:

(a) Perform contrast, fluoroscopy, mammography, computed tomography, magnetic resonance imaging, bedside radiography, nuclear medicine, positron emission tomography, or radiation therapy procedures; or

(b) Operate or manipulate equipment utilized in fluoroscopy, mammography, computed tomography, magnetic resonance imaging, bedside radiography, nuclear medicine, positron emission tomography, or radiation therapy procedures.

Section 8. Continuing Education Requirements. Licensees shall complete and document twelve (12) hours of continuing education biennially as required by 201 KAR 46:060. A minimum of six (6) hours shall be related to radiation safety or medical imaging.

Section 9. Continuing Education Audit Process.

(1) The board shall select a sample of twenty-five (25) percent of limited x-ray machine operator licensees to audit for continuing education compliance annually.

(2) The board shall send each licensee selected for audit a notification of audit.

(4) A licensee selected for audit shall complete KBMIRT Form 8, as incorporated by reference in 201 KAR 46:060, and provide the board with a copy of his or her certificates or records of completion.

(5) Failure to comply with an audit may result in nonrenewal, suspension or revocation of license.

Section 10. Renewal of License. A licensee shall renew annually prior to the expiration of his or her current license, which is the last day of the licensee's birth month, by:

(1) Completing KBMIRT Form 6; and

(2) Submitting the Renewal License Fee in accordance with 201 KAR 46:020, Section 2, unless the fee is waived in accordance with KRS 311B.140.

Section 11. Reinstatement of Lapsed License. A licensee who has allowed the license to lapse for up to twelve (12) months is eligible to be reinstated upon submission of KBMIRT Form 6, documentation of twelve (12) hours of continuing education, and the payment of reinstatement and renewal fees pursuant to 201 KAR 46:020, Sections 2 and 7, unless the fees are waived in accordance with KRS 311B.140. A licensee whose license has lapsed for more than twelve (12) months shall:

(1) Successfully pass the Kentucky Limited Scope Exam;

(2) Submit a completed and signed application KBMIRT Form 4;

(3) Submit a nonrefundable initial application and license fee and reinstatement fee as mandated in 201 KAR 46:020, Sections 1 and 7, unless the fees are waived in accordance with KRS 311B.140;

(4) Submit satisfactory results of a criminal background check completed within the past six (6) months in state of residence and employment and any other state of residence and employment within the past five (5) years; and

(5) Submit a copy of a government-issued photo ID.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) KBMIRT Form 4, "Limited X-ray Machine Operator License Application", October 2023;

(b) KBMIRT Form 5, "Temporary Limited X-ray Machine Operator License Application", October 2023;

(d) "Examination Content Specifications - Limited Scope of Practice in Radiography", January 2023; and

(e) "Examination Content Specifications - Bone Densitometry Equipment Operator", January 2023.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Board of Medical Imaging and Radiation Therapy, 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky 40504, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's website at https://kbmirt.ky.gov.

History

RELATES TO: KRS 12.245, 12.354, 12.357, 311B.020, 311B.050, 311B.100(2), 311B.110, 311B.120, 311B.140, 311B.150, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.050, 311B.100(2), 311B.110
CERTIFICATION STATEMENT: This is to certify that this administrative regulation is in compliance with the requirements of 2025 RS HB 6, Section 8(2) because this administrative regulation is being promulgated to meet a deadline established by 2025 RS HB 72. The Board of Medical Imaging and Radiation Therapy is not one of the agencies that is directed by House Bill 6, Section 8(3) to include a certification by the Governor.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050 requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to establish the procedures for the issuance and renewal of a license. KRS 311B.100(2) and KRS 311B.110(6) require the board to promulgate administrative regulations to establish the qualifications for a limited x-ray machine operator. This administrative regulation establishes the requirements for the licensure of a limited x-ray machine operator.
History: 201 KAR 046:081. 34 Ky.R. 145; 610; 771; eff. 10-17-2007; Recodified from 902 KAR 105:081, 11-20-2013; 41 Ky.R. 2309; 42 Ky.R. 1498; eff. 11-18-2015; TAm eff. 11-30-2017; 44 Ky.R. 1390; 1819; eff. 2-15-2018; TAm eff. 9-28-2018; 45 Ky.R. 2976; eff. 7-5-2019; 46 Ky.R. 3006; 47 Ky.R. 711; eff. 10-28-2020; TAm eff. 9-28-2023; 52 Ky.R. 221m, 715; eff. 11-12-2025.

201 KAR 46:090 Complaint Process and Administrative Hearings {#sec-201-kar-46-090 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:090}

Section 1. Receipt of Complaints.

(1) A complaint:

(a) May be submitted by an:

Individual;
Organization; or
Entity;

(b) Shall be:

In writing; and
Signed by the person offering the complaint; and

(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.

(c) The board shall evaluate the date of receipt based upon the postmark date, or, if not sent through the mail, the date hand stamped on the complaint.

(3)

(a) Upon receipt of the written response of the individual named in the complaint, a copy of the response shall be sent to the complainant.

(b) The complainant shall have seven (7) days from receipt of the response to submit a written reply to the response.

(c) The board shall evaluate the date of receipt based upon the postmark date or, if not sent through the mail, the date hand stamped on the response.

Section 2. Initial Review.

(1) After the receipt of a complaint and the expiration of the period for the individual's response, the complaint screening committee shall consider the individual's response, complainant's reply to the response, and any relevant material available and make a recommendation to the board.

(a) The names of the individuals and other identifying information shall be redacted to provide anonymity.

(b) The board shall find whether there is enough evidence to warrant a formal investigation of the complaint.

(2) If the board finds 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 finds 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.

(a) The complaint screening committee shall review the investigative report and make a recommendation to the board.

(b) The board shall find whether there has been a prima facie violation of KRS Chapter 311B or 201 KAR Chapter 46 and if a complaint shall be filed.

(2) If the board finds that a complaint does not warrant the issuance of a formal complaint, it shall:

(a) Dismiss the complaint; and

(b) Notify the complainant and respondent of the board's decision.

(3) If the board finds that a violation has occurred but is not serious, the board shall issue a private written admonishment to the licensee.

(a) A copy of the private written admonishment shall be placed in the permanent file of the licensee.

(b) The licensee shall have the right to file a response in writing to the private written admonishment within thirty (30) days of its receipt and may have it placed in a permanent file.

(c) Private admonishment shall not be subject to disclosure to the public under KRS 61.878(1)(l) and shall not constitute disciplinary action, but may be used by the board for statistical purposes or in subsequent disciplinary action against the credential holder or applicant.

(4) If the board finds that a complaint warrants a disciplinary action, the board shall issue a notice of disciplinary action and inform the licensee:

(a) Of the specific reason for the board's action, including:

The statutory or regulatory violation; and
The factual basis on which the disciplinary action is based;

(b) That the licensee may appeal the disciplinary action to the board within twenty (20) days after receipt of this notification, excluding the day he or she receives notice;

(c) That a written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the date of the board's notice. This request shall be sent to the Board of Medical Imaging and Radiation Therapy by mail or by hand-delivery to 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky 40504;

(d) That if the request for an appeal is not timely filed, the notice of disciplinary action shall be effective upon the expiration of the time for the licensee to request an appeal; and

(e) That the administrative hearing shall be conducted in accordance with KRS Chapter 13B.

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. Right of Appeal of Application. If the board denies an application or renewal for application, the board shall issue a notice of denial informing the applicant:

(1) Of the specific reason for the board's action, including:

(a) The statutory or regulatory violation; and

(b) The factual basis on which the denial is based;

(2) That the applicant may appeal the pending denial to the board within twenty (20) days after receipt of this notification, excluding the day he or she receives notice;

(3) That a written request for an administrative hearing shall be filed with the board within twenty (20) calendar days of the date of the board's notice. This request shall be sent to the Board of Medical Imaging and Radiation Therapy by mail or by hand-delivery to 2365 Harrodsburg Road, Suite A220, Lexington, Kentucky 40504;

(4) That if the request for an appeal is not timely filed, the notice of denial shall be effective upon the expiration of the time for the licensee to request an appeal;

(5) That the administrative hearing shall be conducted in accordance with KRS Chapter 13B;

(6) That the documentary evidence shall be limited to the application and supporting documents the applicant submitted to the board during the application process and that was considered as part of the board's denial of the application; and

(7) That if the final order of the board is adverse to an applicant, the board shall impose the costs in an amount equal to the cost of stenographic services, the cost of the hearing officer, and the board's attorney fees against the licensee or applicant. If there is financial hardship, the board may waive all or part of the fee.

Section 6. Procedures Without a License. If the board finds an individual performed a diagnostic or therapeutic procedure without a valid license, the board shall issue a notice of civil penalty and inform the individual, and employer of the individual:

(1) Of the specific reason for the board's action, including:

(a) The statutory or regulatory violation;

(b) The factual basis on which the civil penalty is based; and

(2) That the individual or employer may appeal the civil penalty to the board within twenty (20) days after receipt of this notification, excluding the day he or she receives notice;

(4) That if the request for an appeal is not timely filed, the notice of civil penalty shall be effective upon the expiration of the time for the licensee to request an appeal; and

(5) That the administrative hearing shall be conducted in accordance with KRS Chapter 13B.

Section 7.

(1) A person may petition for reinstatement after three (3) years from the date of a revocation.

(2) A person seeking reinstatement following a revocation shall comply with the requirements of 201 KAR 46:040, Section 8.

History

RELATES TO: KRS 311B.050, 311B.100, 311B.120, 311B.150, 311B.160, 311B.170, 311B.180, 311B.190
STATUTORY AUTHORITY: KRS 311B.050(1), (2), (7), 311B.120, 311B.170, 311B.180, 311B.190
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050(1) and (2) require the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce the chapter. KRS 311B.050(7) requires the board to investigate violations of the chapter, conduct hearings, resolve allegations, and to impose sanctions or penalties if appropriate. KRS 311B.120, 311B.180, and 311B.190 require the board to promulgate administrative regulations to establish and assess penalties and fees. KRS 311B.170 requires the board to provide an administrative hearing process for a violation of KRS Chapter 311B. KRS Chapter 13B establishes a uniform procedure to be followed by administrative agencies in conducting agency hearings. This administrative regulation establishes, consistent with the requirements of KRS Chapter 13B, the procedures to be followed by the board in hearing appeals of actions taken under the public health laws of the Commonwealth.
History: 40 Ky.R. 1518; Am. 2126; eff. 3-20-2014; TAm 3-11-2016; 44 Ky.R. 55; eff. 7-17-2017; TAm eff. 11-30-2017; TAm eff. 9-28-2023; Cert eff. 11-8-2023.

201 KAR 46:095 Administrative subpoena {#sec-201-kar-46-095 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:095}

Section 1. The Board of Medical Imaging and Radiation Therapy may issue an administrative subpoena to investigate a complaint or suspected violation of KRS Chapter 311B or 201 KAR Chapter 46.

Section 2. Administrative Subpoenas.

(1) The board shall issue a subpoena in accordance with KRS 311B.050(7) to require the production of books, electronic records, papers, documents, or other evidence at a specified time and place.

(2) If information requested by the board is encrypted, the respondent shall:

(a) Provide the information in a readable format; and

(b) Provide proof acceptable to the board that the requested information has been translated to a readable format without error or omission.

(3) A person or entity served with a subpoena in accordance with subsection (1) of this section shall not intentionally destroy, alter, or falsify documents requested by the board.

Section 3. Noncompliance.

History

RELATES TO: KRS 311B.050(7), 311B.160, 311B.170
STATUTORY AUTHORITY: KRS 311B.050(1), (2), KRS 311B.050(7)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050(1) and (2) require the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B. KRS 311B.050(7) requires the board to investigate suspected and alleged violations of KRS Chapter 311B. This administrative regulation establishes procedures for issuing an administrative subpoena, which is necessary to investigate and resolve suspected and alleged violations.
History: 44 Ky.R. 1454, 1821; eff. 2-15-2018; Cert eff. 8-21-2024.

201 KAR 46:100 Medical Imaging and Radiation Therapy Scholarship and Continuing Education Fund {#sec-201-kar-46-100 omnilex-key=us-ky-regs-official--title-201--201 KAR 46:100}

Section 1. Application:

(1) To be eligible for the scholarship, an applicant shall submit:

(a) A completed and signed application, KBMIRT Form 10;

(b) A current resume or curriculum vitae;

(d) Official transcripts from highest level of education achieved; and

(e) A written statement describing applicant's professional goals, not to exceed 250 words.

(2) In addition to items listed in subsection 1(1)(a) through (e) of this Section, an individual seeking scholarship for a non-degree program, such as structured education or limited x-ray machine operator program, shall also submit a document describing the financial obligations required of the program.

(3) Applications shall be accepted from January 1 through April 1 annually.

Section 2. Criteria for Awards.

(1) The board shall consider the following criteria in evaluating an application:

(a) Resident of Kentucky or employed in Kentucky;

(b) Potential for academic success as determined by the high school, vocational school, college, or university grade point average for whichever institution the applicant most recently attended;

(d) Written statement of professional goals.

(2) The applicant shall be considered ineligible for award if the application is:

(a) Postmarked after April 1;

(b) Deemed incomplete; or

Section 3. Procedure for Disbursement of Awards.

(1) The board shall be notified by the board's fiscal officer as to the current fund balance prior to making an award. The amount of award shall be determined by the board and shall not exceed $1500 annually per recipient.

(2) The board may prioritize awards to those recipients who:

(a) Received an award in the previous year; and

(b) Remain eligible to receive award pursuant to Section 4 of this administrative regulation in the current year.

(3) If funds remain available after the awards are made pursuant to paragraph (2)(a) and (b) of this subsection, the board may make an award to other eligible applicants.

(4) Disbursement of funds shall be made directly to the recipient.

(5) Each educational institution in which a student receiving a medical imaging, radiation therapy, or limited x-ray machine operator scholarship award is enrolled shall certify to the board no later than thirty (30) days from the beginning of each semester on KBMIRT Form 11, that the recipient:

(a) Has enrolled; and

(b) Is in good standing in the medical imaging, radiation therapy, or limited x-ray machine operator program.

(6) For a recipient receiving award for continued education, the recipient shall provide:

(a) A confirmation of enrollment into structured education course; and

(b) An approval letter from clinical site.

Section 4. Continuing Eligibility Criteria.

(1) Except as established in subsection (3) of this section, a recipient of the award shall be eligible to continue to receive an award if the recipient:

(a) Maintains successful academic progression through the program; and

(b) Submits to the board a completed KBMIRT Form 10 on or before April 1.

(2) The educational institution shall certify to the board no later than thirty (30) days from the beginning of each semester on KBMIRT Form 11 confirmation that the recipient is enrolled and in good standing in the medical imaging or radiation therapy program.

(3) An award recipient in a limited x-ray machine operator program or for continued education shall not be eligible for consecutive awards from the scholarship while enrolled in that program.

Section 5. Disbursement Contract and Promissory Note. Prior to disbursement of funds, the recipient shall sign a notarized KBMIRT Form 12 and KBMIRT Form 13.

Section 6. Repayment and Deferral.

(1) A recipient shall immediately become liable to the board to pay the sum of all scholarships received and the accrued interest on the scholarships if the recipient fails to complete the:

(a) Medical imaging, radiation therapy, or limited x-ray machine operator program in which the individual is enrolled within the time specified by the program;

(b) Structured education course or clinical requirements required to qualify for the post-primary certification within the time specified by the ARRT or NMTCB; or

(2) Written notification of demand for repayment shall be sent by the board to the scholarship recipient's last known address and shall be effective upon mailing.

(a) The board may agree to accept repayment in installments in accordance with a schedule established by the board.

(b) Payments shall first be applied to interest and then to principal on the earliest unpaid contracts.

(3) Repayment may be deferred in the case of instances such as disability, major illness, accident, or if an active duty member of the Armed Forces of the United States that prevents a recipient from completing a program or being employed as a medical imaging technologist, radiation therapist, or limited x-ray machine operator in Kentucky. Request for deferment requires completion of KBMIRT Form 14 and a physician's statement, or form DD-214, or other proof of active military status.

(4) A student enrolled in a program may defer repayment if the student fails to achieve successful academic progression. Request for deferral requires completion of KBMIRT Form 14 and a certified official transcript.

Section 7. Verification.

(1) Verification of employment as a medical imaging technologist, radiation therapist, or limited x-ray machine operator in Kentucky pursuant to the contract, KBMIRT Form 12 shall be submitted to the board when the recipient's employment commitment begins and when it is completed. A termination of employment prior to completion shall be reported to the board within thirty (30) days by the employer and the recipient.

(2) A recipient shall notify the board of a change of name or address or enrollment status in school immediately and within thirty (30) days of change.

Section 8. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) KBMIRT Form 10, "Scholarship Application - Medical Imaging and Radiation Therapy Scholarship and Continuing Education Fund ", August 2024;

(b) KBMIRT Form 11, "Scholarship Application - Verification of Student Status", October 2023;

(c) KBMIRT Form 12, "Medical Imaging and Radiation Therapy Scholarship and Continuing Education Fund Contract", August 2024;

(d) KBMIRT Form 13, "Medical Imaging and Radiation Therapy Scholarship and Continuing Education Fund Promissory Note", March 2020; and

(e) KBMIRT Form 14, "Medical Imaging and Radiation Therapy Scholarship and Continuing Education Fund Request for Deferment", August 2020.

History

RELATES TO: KRS 311B.050, 311B.130
STATUTORY AUTHORITY: KRS 311B.050, 311B.130
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311B.050 requires the Board of Medical Imaging and Radiation Therapy to promulgate administrative regulations to administer and enforce KRS Chapter 311B and designate funds for scholarships, program development, or continued education. KRS 311B.130 appropriates that moneys collected shall be used for the payment of operational expenses incurred in fulfilling the board's duties as described in KRS Chapter 311B and administrative regulation. This administrative regulation implements the Kentucky Medical Imaging and Radiation Therapy Scholarship and Continuing Education Fund and establishes the requirements relating to the program.
History: 46 Ky.R. 3065; 47 Ky.R. 713; eff. 10-28-2020; TAm eff. 9-28-2023; 51 Ky.R. 746, 1275; eff. 2-5-2025.

Chapter 47 Board of Durable Medical Equipment

201 KAR 47:010 Home medical equipment and supplier licenses, requirements, and fees {#sec-201-kar-47-010 omnilex-key=us-ky-regs-official--title-201--201 KAR 47:010}

Section 1. License Required. Unless exempted by KRS 309.412(2), an entity engaged in providing home medical equipment and services in the commonwealth shall hold a license.

Section 2. Initial License.

(1) An applicant for licensure that does not currently hold or that has not previously held a license in the commonwealth shall submit:

(a) Form 1, Application for Licensure or Renewal; and

(b) Evidence of the ability to comply with KRS 309.400 through KRS 309.422 and 201 KAR Chapter 47. To demonstrate the ability to comply with those provisions, the applicant shall:

At the time of application, submit proof of accreditation or exemption by a national accreditation organization approved by the Centers for Medicare and Medicaid Services that accredits suppliers of durable medical equipment; or
Within sixty (60) days of application, submit to an inspection by the board to ensure the applicant's ability to comply with the provisions of KRS 309.400 through KRS 309.422 and 201 KAR Chapter 47. The board shall not consider a license application, a license shall not be issued, and the applicant shall not engage in the business of providing home medical equipment or services until the board is provided a final report from the inspector demonstrating the applicant's ability to comply with the provisions of KRS 309.400 through KRS 309.422 and 201 KAR Chapter 47.

(2)

(a) An applicant issued a license based on proof of accreditation by a national accreditation organization approved by the Centers for Medicare and Medicaid Services shall maintain accreditation during the license period.

Each licensee shall advise the board in writing of any change in accreditation, including if the accreditation is revoked, suspended, not renewed, or expires.
If the accreditation is revoked, suspended, not renewed, or expires, the licensee shall request and submit to an inspection by the board to ensure the applicant's ability to comply with the provisions of KRS 309.400 through KRS 309.422 and 201 KAR Chapter 47.

(b) An applicant that does not maintain an accreditation by a national accreditation organization approved by the Centers for Medicare and Medicaid Services and is issued a license based upon an inspection by the board to ensure the applicant's ability to comply with the provisions of KRS 309.400 through KRS 309.422 and 201 KAR Chapter 47 shall submit to an annual inspection by the board.

Section 3. License Renewals. A licensee seeking to renew a license shall submit:

(1) Form 1, Application for Licensure or Renewal; and

(2) The evidence required by Section 2(1)(b) of this administrative regulation.

Section 4. Reciprocal Licenses. An applicant seeking licensure pursuant to KRS 309.420 on the basis of reciprocity shall submit:

(1) Form 1, Application for Licensure or Renewal;

(2) A certified copy of the applicant's license issued in a contiguous state that grants reciprocity to Kentucky licensees;

(3) A copy of the applicant's discipline history certified by the licensing authority that issued the license referenced in subsection (2) of this section; and

(4) The evidence required by Section 2(1)(b) of this administrative regulation.

Section 5.

(1) Annual Training Requirement. Licensees shall provide to employees and persons engaged in the provision of home medical equipment and services operating under its license at least six (6) hours of annual training related to providing home medical equipment and services, which may be provided in-house by the licensee.

(2) The training shall include programs in:

(a) Infection control and blood borne pathogens;

(b) Occupation Safety and Health Administration (OSHA) and safety issues to include fire safety, disaster preparedness, and office security;

(d) Any new home medical equipment or services the licensee plans to provide.

Section 6. Safety Requirements. Each licensee shall:

(1) Refrain from modifying home medical equipment in a way that might reasonably cause harm to its user;

(2) Maintain electrical components on licensed premises in a manner to prevent fire or shock hazard;

(3) Provide adequate lighting for the licensed premises;

(4) Provide adequate ventilation for the licensed premises;

(5) If essential to maintain life or if the lack of service might reasonably cause harm to the user, provide services twenty-four (24) hours daily if contracted for by supplier and user;

(6) Ensure that all home medical equipment is free of defects and operates within the manufacturer's specifications;

(7) Document the chain of custody and possession of home medical equipment;

(8) Establish, maintain, and adhere to a protocol for retrieving home medical equipment if a recall is initiated;

(9) Ensure that home medical equipment bears the appropriate labels, including:

(a) Warning labels and tags; and

(b) A label that contains the licensee's name, and telephone number;

(10) Maintain in a secure location all home medical equipment stored on the licensed premises;

(11) Establish, maintain, and adhere to procedures for accurately and precisely tracking records of all home medical equipment shipped or received that includes the home medical equipment purchased or the services rendered in each transaction, the date of the transaction, the quantity of the transaction, and an itemized description of the home medical equipment and services rendered; and

(12) Establish, maintain, and adhere to procedures that establish a detailed description of how the operation shall comply with applicable federal, state, or local laws or administrative regulations.

Section 7. Sanitation Requirements. A home medical equipment supplier shall:

(1) Instruct users of the home medical equipment on proper cleaning techniques as specified by the manufacturer;

(2) Repair and clean all components of home medical equipment in a confined and properly ventilated area;

(3) Maintain and store home medical equipment to ensure proper lighting, ventilation, temperature, humidity control, sanitation, space, and security; and

(4) Establish, maintain, and adhere to a protocol for cleaning and disinfecting home medical equipment that addresses both aerobic and anaerobic pathogens. The protocol shall include:

(a) Maintaining segregated areas on the licensed premises and in delivery vehicles for clean, dirty, and contaminated home medical equipment; and

(b) Cleaning and disinfecting home medical equipment according to manufacturer specifications.

Section 8. Record Retention and Inspection.

(1) Licensees shall maintain the following records for a period of at least three (3) years:

(a) Invoices and receipts for all home medical equipment and services provided;

(b) A complete and accurate list that includes the following information for the licensee's employees:

Names;
Addresses;
Telephone numbers;
Criminal history, if any; and
Dates of employment;

The names of the persons attending the training;
The date of attendance;
The title of the course;
The entity offering the course; and
A certificate of completion or similar document;

(d) Documentation of home medical equipment and services that includes:

The types of home medical equipment;
The manufacturer;
The model number;
The serial number;
Date of repair;
Specific repair made; and
The name of the person performing the repair;

(e) Documentation of any complaints received and how the complaint was resolved;

(f) Documentation of a function and safety check of home medical equipment that was performed prior to delivery of the home medical equipment and that the user of the home medical equipment is provided instruction on its proper use, safety, and maintenance; and

(g) A safety data sheet (SDS) documenting the solutions, products, and procedures used in cleaning and disinfecting home medical equipment.

(2) A licensee shall provide the records required by subsection (1) of this section to the board for inspection within three (3) business days of a request by the board. The board shall state the location to which the records shall be delivered and if the board shall require electronic or hard copies of the records.

Section 9. Fees.

(1) License fees. An applicant for licensure shall pay:

(a) An initial license fee of $350;

(b) A renewal license fee of $350; or

(2) Inspection fees. An applicant for licensure shall pay the inspection fees established in paragraphs (a) through (c) of this subsection.

(a) If an inspection is required within the Commonwealth, the fee for the inspection shall be $350.

(b) If an inspection is required outside of the Commonwealth, the fee for the inspection shall be the cost of the inspection, including inspector's hourly rate, mileage, and travel expenses.

(c) For any inspection, the sum of $350 shall be due before the inspection occurs. Any remaining balance shall be payable before the license is issued.

(3) Other fees.

(a) Duplicate License fee shall be twenty-five (25) dollars.

(b) License verification fee shall be ten (10) dollars.

(d) Mailing list fee for a commercial purpose shall be seventy-five (75) dollars.

Section 10. Department of Professional Licensing. Pursuant to KRS 309.404, 324B.030, and 324B.040, the Department of Professional Licensing may accept payments, employ inspectors, receive complaints, and receive appeals on behalf of the board.

Section 11. Incorporation by Reference.

(1) Form 1, "Application for Licensure or Renewal", June 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department of Professional Licensing, 500 Mero Street, 23SC32, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m., and is available at http://kbdmes.ky.gov/.

History

RELATES TO: KRS 309.404, 309.406, 309.412, 309.414, 309.416, 309.418, 309.420, 324B.030, 324B.040, Pub. L. 104-191
STATUTORY AUTHORITY: KRS 309.404, 309.406, 309.412, 309.414, 309.416, 309.418, 309.420, 324B.030, 324B.040
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.404(4) and 309.406(1)(a) authorize the board to promulgate administrative regulations governing home medical equipment and service providers. This administrative regulation establishes the minimum requirements for the licensing of a home medical equipment and services provider.
History: 43 Ky.R. 641, 1170; eff. 2-3-2017; TAm eff. 10-16-2020; 48 Ky.R. 543, 1527; eff. 11-23-2021.

201 KAR 47:020 Inspections, discipline, reinstatement, and administrative appeals {#sec-201-kar-47-020 omnilex-key=us-ky-regs-official--title-201--201 KAR 47:020}

Section 1. Inspections.

(1) Pursuant to KRS 309.406 and 309.414, the board and its inspectors may inspect and investigate all applicants and licensees as well as their premises and records:

(a) In conjunction with an application;

(b) If the board has grounds to believe that the actions of an applicant or licensee are endangering the public;

(c) If there is reason to believe an applicant or licensee has violated any provision of KRS Chapter 309.400 through 309.422 or 201 KAR Chapter 47;

(d) To investigate a complaint; or

(e) To verify that action has been taken to correct a violation.

(2) The board may conduct an unannounced inspection of a licensee's premises and records to ensure compliance with the provisions of KRS 309.400 through KRS 309.422 and 201 KAR Chapter 47.

(3) The board may investigate a licensee's or applicant's criminal history and may obtain those reports as part of the licensure process, an inspection, or during an investigation.

(4) Unless a deficiency threatens the public safety subject to KRS 309.406(1)(g), the licensee or applicant shall be advised in writing of any deficiencies and shall have thirty (30) days to correct the deficiency.

Section 2. Reinstatement.

(1) A person whose license has been revoked may petition the board for reinstatement of the license. The petition shall include:

(a) The person's name;

(b) The person's license number;

(c) A statement of why the license was revoked and if the person's license was revoked because the person was convicted of or entered an Alford plea or plea of nolo contendere to:

A sex crime as defined in KRS 17.500;
A criminal offense against a victim who is a minor as defined in KRS 17.500;
A felony offense under KRS Chapter 209; or
An offense that would classify the person as a violent offender under KRS 439.3401;

(d) An explanation of how the person has been rehabilitated and is again able to engage in the practice of providing home medical equipment and services with applicable skill, competency, and safety to the public; and

(e) A processing fee of twenty-five (25) dollars.

(2) A reinstated license shall expire two (2) years following the date it was first issued.

Section 3. Permanent Record. The board shall maintain a permanent record of:

(1) A licensee's violations;

(2) The date of the violation;

(3) The disciplinary action taken; and

(4) The date on which the disciplinary action was completed.

Section 4. Expungement.

(1) Except as established in subsection (3)(b) of this section, a licensee may request that the board expunge a minor violation.

(2) Minor violations shall include:

(a) The failure to meet an inspector at a scheduled inspection; or

(b) A first-time failure to update information provided on an application for licensure.

(3) To request an expungement, a licensee shall provide:

(a) A written request stating with specificity the violation to be expunged;

(b) If not listed as a minor violation in subsection (2) of this section, an explanation of why the violation should be deemed minor based upon the considerations established in KRS 309.418(7)(d); and

Section 5. Appeals.

(1) An applicant or licensee may request an administrative hearing before the board within twenty (20) days of the denial, suspension, or revocation of a license.

(2) The appeal shall include:

(a) The name of the licensee;

(b) A copy of the notice of the denial, suspension, or revocation; and

(3) Appeals shall be governed by KRS Chapter 13B.

History

RELATES TO: KRS 17.500, Chapter 209, 309.406, 309.412, 309.414, 309.416, 309.418, 309.420, 439.3401
STATUTORY AUTHORITY: KRS 309.404, 309.406, 309.412, 309.414, 309.416, 309.418, 309.420
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.404(4) and 309.406(1)(a) authorize the board to promulgate administrative regulations governing home medical equipment and services providers. KRS 309.418 authorizes the board to discipline licensees and expunge minor violations. This administrative regulation establishes inspection and investigation procedures, the process for seeking an expungement of a minor violation, and the process for appeals.
History: 43 Ky.R. 644, 1172; eff. 2-3-2017; Cert. eff. 12-20-2023.

201 KAR 47:030 Complaint and disciplinary process {#sec-201-kar-47-030 omnilex-key=us-ky-regs-official--title-201--201 KAR 47:030}

Section 1. Definitions.

(1) "Board" is defined by KRS 309.402.

(2) "Charge" means a specific allegation contained in a document issued by the board or hearing panel alleging a violation of a specified provision of KRS 309.400 through 309.422 or 201 KAR Chapter 47.

(3) "Complaint" means a written complaint alleging a violation of KRS 309.400 through 309.422 and 201 KAR Chapter 47.

(4) "Complainant" means a person who files a complaint pursuant to this administrative regulation.

(5) "Complaint Committee" means the committee appointed pursuant to Section 2 of this administrative regulation.

(6) "Formal complaint" means a formal administrative pleading or notice of administrative hearing authorized by the board that establishes charges against a licensee or applicant and commences a formal disciplinary proceeding in accordance with KRS Chapter 13B.

(7) "Initiating complaint" means an allegation alleging misconduct by a licensee or applicant or alleging that an unlicensed person is engaging in unlicensed practice or using a title without holding a license. A certified copy of a court record for a misdemeanor or felony conviction constitutes a valid initiating complaint.

(8) "Order" means the whole or a part of a final disposition of a hearing.

(9) "Respondent" means the individual or entity against whom an initiating or a formal complaint has been made.

Section 2. Initiating Complaint.

(1) An initiating complaint may be initiated by the board, an individual, an organization, an entity, or a governmental agency.

(2) An initiating complaint shall:

(a) Be in writing;

(b) Clearly identify the individual or entity against whom the initiating complaint is being made;

(d) Identify the individual or entity making the initiating complaint; and

(e) Contain a clear and concise statement of the facts giving rise to the initiating complaint.

(3) An initiating complaint may be submitted to the board in any manner.

(4) Upon receipt of an initiating complaint, a copy of the initiating complaint shall be mailed to the respondent along with a request for a response to the complaint within twenty (20) days of the date on which the initiating complaint was received, unless an extension is granted by the board upon written request from the respondent and for good cause.

(5) Upon receipt of the written response of the respondent, a copy of the response shall be sent to the complainant. The complainant shall have seven (7) days from receipt to submit a written reply to the response to the board, unless an extension is granted by the board upon written request from the complainant and for good cause.

(6) Complaint Committee.

(a) The complaint committee shall consist of two (2) board members appointed by the chair of the board.

(b) The complaint committee shall:

Review initiating complaints, responses, replies, investigative reports, and any other relevant material;
Participate in informal proceedings to resolve formal complaints; and
Make recommendations for disposition of initiating complaints and formal complaints to the full board.

Section 3. Initial Review.

(1) At the next regularly scheduled meeting of the board or as soon thereafter as practicable, the board, upon recommendation of the complaint committee, shall determine the proper disposition of the complaint.

(2) If the board determines before formal investigation that the facts alleged in the initiating complaint do not constitute a prima facie violation of KRS 309.400 through 309.422 or 201 KAR Chapter 47, the board shall dismiss the complaint and notify the complainant and respondent that no further action shall be taken.

(3) If the board determines that more investigation is warranted, the board shall appoint an agent or representative of the board to investigate the initiating complaint.

(4) If the board determines that there is a prima facie violation of KRS 309.400 through 309.422 or 201 KAR Chapter 47, the board shall issue a formal complaint against the respondent.

(5) In the case of a prima facie violation of KRS 309.422 and the respondent is not a licensee, the board may take one (1) or more of the following actions:

(a) Issue a cease and desist;

(b) File an injunction; and

Section 4. Final Review.

(1) Upon the completion of the investigation, the person or persons making that investigation shall submit a written report to the board containing a succinct statement of the facts disclosed by the investigation.

(2) Based on consideration of the complaint and, if any, the response, reply, investigative report, and other relevant evidence, the board shall determine if there has been a prima facie violation of KRS 309.400 through 309.422.

(3) If the board determines that the facts alleged in the initiating complaint do not constitute a violation of KRS 309.400 through 309.422 or 201 KAR Chapter 47, the board shall dismiss the complaint and notify the complainant and the respondent that no further action shall be taken.

(4) If the board determines that there is a violation of KRS 309.400 through 309.422 or 201 KAR Chapter 47, the board shall issue a formal complaint against the respondent.

(5) In the case of a violation of KRS 309.422 and the respondent is not a licensee, the board may take one (1) or more of the following actions:

(a) Issue a cease and desist;

(b) File an injunction; and

Section 5. Settlement by Informal Proceedings.

(1) The board, at any time during this process, may enter into informal proceedings with the respondent 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 chair and the respondent.

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

(4) The board may, at any time during this process, issue a letter of admonishment to the respondent as a means of resolving the complaint.

(a) Within thirty (30) day of the date of the letter, the respondent shall have the right to file a written response to the letter and have it attached to the letter of admonishment and placed in the file.

(b)

The respondent shall also, within thirty (30) days of the date of the letter, have the right to appeal the letter of admonishment and be granted a full hearing on the complaint.
If this appeal is requested, the board shall immediately file a formal complaint in regard to this matter and set a date for hearing.

Section 6. Formal Complaint.

(1) If the board votes to file a formal complaint, a notice of administrative hearing shall be filed as required by KRS 13B.050.

(2) Within twenty (20) days of service of the notice of administrative hearing, the respondent shall file with the board a written response to the specific allegations established in the notice of administrative hearing.

(3) Allegations not timely responded to shall be deemed admitted.

(4) The board shall upon written request and for good cause, allow the late filing of a response.

Section 7. Composition of the Hearing Panel. Disciplinary actions shall be heard by:

(1) The full board or a quorum of the board;

(2) A hearing panel consisting of at least one (1) board member appointed by the board; or

(3) The hearing officer alone in accordance with KRS 13B.030(1).

Section 8. Notification. Upon final resolution of a complaint submitted pursuant to this process, the board shall notify the complainant and the respondent of the outcome of the action in writing, including any appeal rights pursuant to KRS Chapter 13B.

History

RELATES TO: KRS 309.406, 309.412, 309.414, 309.416, 309.418, 309.420
STATUTORY AUTHORITY: KRS 309.406, 309.418
NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.406(1)(d) authorize the board to promulgate administrative regulations governing home medical equipment and service providers. KRS 309.406(1)(d) authorizes the board to investigate complaints or violations of the home medical equipment laws and the administrative regulations. This administrative regulation establishes the process by which the board investigates complaints and violations.
History: 48 Ky.R. 713, 1529; eff. 11-23-2021.